`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`Huawei Device Co., Ltd., LG Electronics, Inc., and ZTE (USA) Inc.,
`Petitioner,
`
`Papst Licensing GmbH & Co. KG
`Patent Owner.
`
`Case No. To Be Assigned
`Patent No. 6,470,399
`
`DECLARATION OF KEVIN ALMEROTH IN SUPPORT OF PETITION
`
`FOR INTER PARTES REVIEW OF U.S. PATENT NO. 6,470,399: CLAIMS
`1-8, 10-11, AND 13-15
`
`HUAWEI EX. 1003 - 1/87
`
`
`
`TABLE OF CONTENTS
`
`I.
`
`Background and Qualifications ................................................................
`
`3 -
`
`II.
`
`Legal Standards and Background ........................................................... ..- 13 —
`
`A.
`
`B.
`
`Person of Ordinary Skill in the Art .............................................. ..- 13 -
`
`Claim Construction ....................................................................... ..— 14 —
`
`C.
`
`Validity ......................................................................................... ..- 14 -
`
`III. Overview of the ’399 Patent ................................................................... ..— 17 —
`
`IV.
`
`Level of Ordinary Skill ............................
`
`............................................. ..- 20 -
`
`V.
`
`Claim Construction ................................................................................. ..— 20 —
`
`VI. Analysis of Claims 1-8, 10-11, and 13-15 .............................................. ..- 23 -
`
`A.
`
`Claims 1-4, 6-8, 11, and 13-15 are Unpatentable Over the
`Combination of Murata, Schmidt and Lin ................................... ..— 23 —
`
`1.
`
`2.
`
`3.
`
`4.
`
`5.
`
`6.
`
`Rationale for Combining Murata, Schmidt and Lin .......... ..— 23 —
`
`Claim 1 [preamble] — “An interface device for communication
`between a host device, which comprises drivers for input/output
`devices customary in a host device and a multi—purpose
`interface,
`and
`a data
`transmit/receive device,
`the data
`transmit/receive device being arranged for providing analog
`data, comprisingz” .............................................................. ..— 27 -
`
`Claim 1[1a] — “a processor;” .............................................. ..- 35 —
`
`Claim 1 [1b] — “a memory;” ............................................... ..— 35 —
`
`Claim 1 [10] — “a first connecting device for interfacing the host
`device with the interface device via the multi—purpose interface
`of the host device; and” ...................................................... ..- 36 —
`
`Claim 1 [1d] ~ “a second connecting device for interfacing the
`interface device with the data transmit/receive device,
`the
`second connecting device including a sampling circuit
`for
`sampling the analog data provided by the data transmit/receive
`
`-i..
`
`HUAWEI EX. 1003 - 2/87
`
`
`
`device and an analog-to—digital converter for converting data
`sampled by the sampling circuit into digital data,” ........... ..— 36 —
`
`Claim 1 [le] — “wherein the interface device is configured by
`the processor and the memory to include a first command
`interpreter and a second command interpreter” ................. ..- 39 -
`
`is
`— “wherein the first command interpreter
`Claim 1[1f]
`configured in such a way that the command interpreter, when
`receiving an inquiry from the host device as to a type of a
`device attached to the multi—purpose interface of the host
`device, sends a signal,
`regardless of the type of the data
`transmit/receive device attached to the second connecting
`device of the interface device, to the host device which signals
`to the host device that it is an input/output device customary in
`a host device, whereupon the host device communicates with
`the interface device by means of the driver for the input/output
`device customary in a host device, and” ............................ ..- 39 —
`
`- “wherein the second command interpreter is
`Claim 1[1g]
`configured to interpret a data request command from the host
`device to the type of input/output device signaled by the first
`command interpreter as a data transfer command for initiating a
`transfer of the digital data to the host device.” .................. ..- 46 —
`
`Claim 2 — “An interface device according to claim 1, wherein
`the drivers for input/output drivers customary in a host device
`comprise a hard disk driver, and the signal indicates to the host
`device that the host device is communicating with a hard disk.”-
`49 —
`
`Claim 3 — “An interface device according to claim 1, wherein
`the memory means comprises a buffer to buffer data to be
`transferred between the data transmit/receive device and the
`
`host device.” ....................................................................... ..- 51 —
`
`Claim 4 — “An interface device according to claim 1, wherein
`the multi—purpose interface of the host device is an SCSI
`interface and the first connecting device also comprises an
`SCSI interface” .................................................................. ..- 52 —
`
`10.
`
`11.
`
`12.
`
`HUAWEI EX. 1003 ~ 3/87
`
`
`
`13.
`
`Claim 6 — “An interface device according to claim 2, wherein
`the data to be transferred from the data transmit/receive device
`
`to the host device in the interface device is formatted in a
`
`suitable format for a hard disk present in the host device.”.— 52 -
`
`14.
`
`15.
`
`16.
`
`17.
`
`18.
`
`19.
`
`20.
`
`Claim 7 — “An interface device according to claim 2, which
`further comprises a root directory and virtual files which are
`present on the signaled hard disk drive and which can be
`accessed from the host device” .......................................... ..— 54 -
`
`Claim 8 ~“An interface device according to claim 7, wherein the
`virtual files comprise a configuration file in text format which
`are stored in the memory means and using which the user can
`configure
`the
`interface
`device
`for
`a
`specific
`data
`transmit/receive device.” .................................................... ..— 56 —
`
`Claim 11 [preamble] — “An interface device for communication
`between a host device, which comprises a multi—purpose
`interface and a specific driver for this interface, and a data
`transmit/receive device, the data transmit/receive device being
`arranged for providing analog data, comprisingz” ............. ..— 57 —
`
`Claim 11[11a] - “a processor;” .......................................... ..— 58 —
`
`Claim 11[11b] — “a memory,” ............................................ ..— 58 —
`
`Claim 11 [11c] — “a first connecting device for interfacing the
`host device with the interface device via the mu1ti—purpose
`interface of the host device; and” ....................................... ..— 58 -
`
`Claim 11 [11d] — “a second connecting device for interfacing
`the interface device with the data transmit/receive device, the
`second connecting device including a sampling circuit
`for
`sampling the analog data provided by the data transmit/receive
`device and an analog—to—digital converter for converting data
`sampled by the sampling circuit into digital data,” ...........
`59 —
`
`21.
`
`Claim 11 [lle] - “where the interface device is configured
`using the processor and the memory to include a first command
`interpreter and a second command interpreter,” ................ ..~ 59 -
`
`—iii-
`
`HUAWEI EX. 1003 — 4/87
`
`
`
`22.
`
`23.
`
`24.
`
`25.
`
`26.
`
`27.
`
`— “wherein the first command interpreter is
`Claim 11 [111]
`configured in such a way that
`the interface device, when
`receiving an inquiry from the host device as to the type of a
`device attached at
`the mu1ti—purpose interface of the host
`device, sends a signal,
`regardless of the type of the data
`transmit/receive device attached to the second connecting
`device of the interface device, to the host device which signals
`to the host device that it is an input/output device customary in
`a host device, whereupon the host device communicates with
`the interface device by means of the specific driver for the
`multi-purpose interface, and” ............................................. ..- 59 —
`
`Claim 11 [llg] - “wherein the second command interpreter is
`configured to interpret a data request command from the host
`device to the type of input/output device signaled by the first
`command interpreter as a data transfer command for initiating a
`transfer of the digital data to the host device.” .................. ..- 61 —
`
`Claim 13 - “An interface device according to claim ll, wherein
`the multi—purpose interface is an SCSI interface, and wherein
`the specific driver for the mu1ti—purpose interface is an ASPI
`manager.” ........................................................................... ..- 61 —
`
`Claim 14 [preamble] — “A method of communication between a
`host device, which comprises drivers for input/output devices
`customary in a host device and a multi—purpose interface, and a
`data transmit/receive device, the data transmit/receive device
`being arranged for providing analog data, via an interface
`device, comprising:” .......................................................... ..- 63 —
`
`Claim 14 [14a] — “interfacing of the host device with a first
`connecting device of the interface device via the mu1ti—purpose
`interface of the host device,” ............................................. ..- 64 -
`
`— “interfacing of the data transmit/receive
`Claim 14 [14b]
`device with a second connecting device of the interface device,
`the second connecting device including a sampling circuit for
`sampling the analog data provided by the data/transmit/receive
`device and an analog—to—digital converter for converting data
`sampled by the sampling circuit into digital data;” ........... ..- 64 —
`
`_iV-
`
`HUAWEI EX. 1003 — 5/87
`
`
`
`28.
`
`29.
`
`30.
`
`31.
`
`Claim 14 [14c] — “inquiring by the host device at the interface
`device as to the type of device to which the multi—purpose
`interface of the host device is attached;” ........................... ..- 66 —
`
`— “regardless of the type of the data
`Claim 14 [14d]
`transmit/receive data attached to the second connecting device
`of the interface device, responding to the inquiry from the host
`device by the interface device in such a way that
`it
`is an
`input/output device customary in a host device, whereupon the
`host device communicates with the interface device by means
`of the usual driver for the input/output device, and” ......... ..- 67 —
`
`Claim 14 [14e] — “interpreting a data request command from the
`host device to the type of input/output device customary in the
`host device as a data transfer command for initiating a transfer
`of the digital data to the host device.” ............................... ..- 69 -
`
`Claim 15 - “A method according to claim 14, wherein the
`drivers for input/output devices customary in a host device
`comprise a driver for a storage device and in particular for a
`hard disk drive.” ................................................................. ..- 72 ~
`
`Claim 5 is Unpatentable Over the Combination of Murata,
`Schmidt, Lin and The Microsoft Press® Computer Dictionary ....— 73 -
`
`1.
`
`2.
`
`Rationale for Combining Murata, Schmidt, Lin and The
`Microsoft Press® Computer Dictionary ............................. ..- 73 —
`
`Claim 5 ~ “An interface device according to claim 1, wherein
`the processor is a digital signal processor” ........................ ..- 74 -
`
`Claim 10 is Unpatentable Over the Combination of Murata,
`Schmidt, Lin and Beretta .............................................................. ..- 75 -
`
`1.
`
`Rationale for Combining Murata, Schmidt, Lin and Beretta— 75
`
`2.
`
`Claim 10 —“An interface device according to claim 7, wherein
`the virtual files comprise batch files or executable files for the
`host device which are stored in the interface device.” ....... ..- 77 -
`
`HUAWEI EX. 1003 ~ 6/87
`
`
`
`I, Kevin C. Almeroth, hereby declare and state as follows:
`
`1.
`
`I have been retained as a technical consultant on behalf of
`
`Huawei Technologies Co. Ltd. and Huawei Technologies USA, Inc.
`
`I understand
`
`that the Petitioner (collectively) in the present proceeding is Huawei Device Co.,
`
`Ltd., LG Electronics, Inc., and ZTE (USA) Inc.
`
`I understand that the petition also
`
`names Huawei Device USA Inc., Huawei Device Co., Ltd., Huawei Device
`
`(Dongguan) Co., Ltd., Huawei Technologies Co., Ltd., Huawei Technologies
`
`USA, Inc., LG Electronics, Inc., LG Electronics U.S.A., Inc., LG Electronics
`
`Mobilecomm U.S.A., Inc., ZTE (USA) Inc., and ZTE Corporation as the real
`
`parties-in-interest.
`
`2.
`
`I have no financial interest in, or affiliation with, the Petitioner,
`
`real parties—in-interest, or the patent owner, which I understand to be Papst
`
`Licensing Gmbl-I & Co. KG.
`
`I have no financial interest in, or affiliation with, the
`
`Petitioner, real parties~in—interest, or the patent owner, which I understand to be
`
`Papst Licensing GmbH & Co. KG. My compensation is not dependent upon the
`
`outcome of, or my testimony in, the present inter partes review or any litigation
`
`proceedings.
`
`3.
`
`I have drafted, reviewed or provided from my own files each of
`
`the documents in the following table (which I am informed are also identified in
`
`the Petition):
`
`HUAWEI EX. 1003 - 7/87
`
`
`
`1 Exhibit
`
`Description
`
`lfi. 1001
`
`U.S. Patent No. 6,470,399 B1
`
`___..__.____L
`EX. 1002
`File History for U.S. Patent No. 6,470,399
`
`EX. 1004
`
`lCurriculum Vitae of Kevin C. Almeroth
`
`EX. 1005
`
`U.S. Patent No. 5,508,821 to Murata
`
`EX. 1006
`
`Friedhelm Schmidt, The SCSI Bus and IDE Interface (1995)
`
`Ex. 1007
`
`The Microsoft Press® Computer Dictionary (2nd ed. 1994)
`
`Ex. 1008
`
`U.S. Patent No. 6,522,432 to Lin
`
`Ex. 1009
`
`EX. 1010
`
`ITEX. 1012
`
`TEX. 1013
`
`Papst’s Opening Claim Constr. Brief and Appendix 8 of Papst’s
`Opening Claim Constr. Brief, Papst Licensing GmbH & Co., KG
`12. Apple, Inc., et al., No. 6:15—cV—01095—RWS (E.D. Tex. Nov. 22,
`2016)
`Papst’s Opening Claim Constr. Brief and Decl. of Robert
`Zeidman, In re Papst Licensing Digital Camera Patent Litig.,
`MDL No. 1880, N0. 1:07~mc-00493, (D.D.C. June 3, 2016)_
`Am. Nat’l Standards Inst., Inc., Am. Nat’! Standard for Info.
`Sys’s, Small Computer Sys.
`Interface-2, ANSI X3.131-1994
`§_l994) (“SCSI_§pecification”)
`In re Papst Licensing Digital Camera Patent Litig., 778 F.3d
`
`1255, 1265 (Fed. Cir. 2015)
`The Microsoft Press® Computer Dictionary (2nd ed. 1994)
`
`EX. 1014
`
`U.S. Patent No. 5,850,484 to Beretta et al.
`
`EX. 1015
`
`Intentionally left blank
`
`EX. 1016
`L___
`
`File History for U.S. Patent Application No. 08/411,369
`
`HUAWEI EX. 1003 - 8/87
`
`
`
`Exhibit
`
`Description
`
`Ex. 1017
`
`Ex. 1018
`
`Comparison of excerpts of File History for U.S. Patent
`Application No. 08/411,369 (Ex. 1016) and U.S. Patent No.
`5,850,484 to Beretta et al.
`1031)
`U.S. Patent No. 4,589,063
`
`EX. 1019
`
`U.S. Patent No. 5,038,320
`
`EX. 1020
`
`U.S. Patent No. 5,787,246
`
`EX. 1021
`EX. 1022
`
`.1
`Intentionally left blank
`Papst’s Brief, In re PapstLicensing Digital Camera Patent Litig.,
`No. 2014-1110 (Fed. Cir., February 20, 2014)
`
`Ex. 1023
`L_
`
`Rufus P. Turner et al., The Illustrated Dictionary ofElectronics
`(1991)
`
`J
`
`4.
`
`I understand that the application leading to U.S. Patent No.
`
`6,470,399 (“the ’399 patent”) was Application No. 09/331,002, filed June 14,
`
`1999, which claims priority to Patent Cooperation Treaty (PCT) Application No.
`
`PCT/EP98/01187 filed March 3, 1998. EX. 1002, at 8. The ’399 patent purports to
`
`also claim priority to German Application No. 197 08 755.8 filed March 4, 1997.
`
`Id. For purposes of my analysis, I assume the time of the purported invention to be
`
`no earlier than March 4, 1997.
`
`I.
`
`BACKGROUND AND QUALIFICATIONS
`
`5.
`
`I hold three degrees from the Georgia Institute of Technology:
`
`(1) a Bachelor of Science degree in Information and Computer Science (with
`
`_3_
`
`HUAWEI EX. 1003 — 9/87
`
`
`
`minors in Economics, Technical Communication, American Literature) earned in
`
`June, 1992;
`
`(2) a Master of Science degree in Computer Science (with
`
`specialization in Networking and Systems) earned in June, 1994; and (3) a Doctor
`
`of Philosophy (Ph.D.) degree in Computer Science (Dissertation Title: Networking
`
`and System Support for the Efficient, Scalable Delivery of Services in Interactive
`
`Multimedia System, minor in Telecommunications Public Policy) earned in June,
`
`1997.
`
`During my education,
`
`I have taken a wide variety of courses as
`
`demonstrated by my minor. My undergraduate degree also included a number of
`
`courses are more typical of a degree in electrical engineering including digital
`
`logic, signal processing, and telecommunications theory.
`
`6.
`
`One of the major themes of my research has been the delivery
`
`of multimedia content and data between computing devices and users.
`
`In my
`
`research I have looked at
`
`large—scale content delivery systems and the use of
`
`servers located in a variety of geographic locations to provide scalable delivery to
`
`hundreds, even thousands, of users simultaneously.
`
`I have also looked at smaller-
`
`scale
`
`content
`
`delivery
`
`systems
`
`in which content,
`
`including
`
`interactive
`
`communication like voice and video data, is exchanged between computers and
`
`portable computing devices. As a broad theme, my work has examined how to
`
`exchange content more efficiently across computer networks, including the devices
`
`that switch and route data traffic. More specific topics include the scalable
`
`-4-
`
`HUAWEI EX. 1003 — 10/87
`
`
`
`delivery of content
`
`to many users, mobile computing, satellite networking,
`
`delivering content to mobile devices, and network support for data delivery in
`
`wireless network.
`
`7.
`
`Beginning in 1992, when I started graduate school,
`
`the first
`
`focus of my research was on the provision of interactive functions (VCR—style
`
`functions like pause, rewind, and fast—forward) for near video—on—demand systems
`
`in cable systems, in particular, how to aggregate requests for movies at a cable
`
`head~end and then how to satisfy a multitude of requests using one audio/video
`
`stream broadcast to multiple receivers simultaneously. Continued evolution of this
`
`research has resulted in the development of new techniques to scalably deliver on-
`
`demand content, including audio, video, web documents, and other types of data,
`
`through the Internet and over other types of networks, including over cable systems,
`
`broadband telephone lines, and satellite links.
`
`8.
`
`An important component of my research from the very
`
`beginning has been investigating the challenges of communicating multimedia
`
`content between computers and across networks. Although the early Internet was
`
`designed mostly for text-based non—rea1 time applications, the interest in sharing
`
`multimedia content quickly developed. Multimedia—based applications ranged
`
`from downloading content to a device to streaming multimedia content to be
`
`instantly used. One of the challenges was that multimedia content is typically
`
`-5-
`
`HUAWEI EX. ‘I003 — 11/87
`
`
`
`larger than text-only content but
`
`there are also opportunities to use different
`
`delivery techniques since multimedia content is more resilient to errors.
`
`I have
`
`worked on a variety of research problems and used a number of systems that were
`
`developed to deliver multimedia content to users.
`
`9.
`
`In 1994,
`
`I began to research issues associated with the
`
`development and deployment of a one—to-many communication facility (called
`
`“mu1ticast”) in the Internet (first deployed as the Multieast Backbone, a virtual
`
`overlay network supporting one-to—many communications). Some of my more
`
`recent research endeavors have looked at how to use the scalability offered by
`
`multicast
`
`to provide streaming media support
`
`for complex applications like
`
`distance learning, distributed collaboration, distributed games, and large—scale
`
`wireless communications. Multicast has also been used as the delivery mechanism
`
`in systems that perform local filtering (i.e., sending the same content to a large
`
`number of users and allowing them to filter locally content in which they are not
`
`interested).
`
`10.
`
`Starting in 1997,
`
`I worked on a project
`
`to integrate the
`
`streaming media capabilities of the Internet together with the interactivity of the
`
`web.
`
`I developed a project called the Interactive Multimedia Jukebox (IMJ).
`
`Users would visit a web page and select content to view. The content would then
`
`be scheduled on one of a number of channels, including delivery to students in
`
`-5-
`
`HUAWEI EX. 1003 - 12/87
`
`
`
`Georgia Tech dorms delivered via the campus cable plant. The content of each
`
`channel was delivered using multicast communication.
`
`11.
`
`In the IMJ, the number of channels varied depending on the
`
`capabilities of the server including the available bandwidth of its connection to the
`
`Internet.
`
`If one of the channels was idle, the requesting user would be able to
`
`watch their selection immediately.
`
`If all channels were streaming previously
`
`selected content, the user’s selection would be queued on the channel with the
`
`shortest wait time. In the meantime, the user would see what content was currently
`
`playing on other channels, and because of the use of multicast, would be able to
`
`join one of the existing channels and watch the content at the point it was currently
`
`being transmitted.
`
`12.
`
`The IMJ service combined the interactivity of the web with the
`
`streaming capabilities of the Internet to create a jukebox—like service.
`
`It supported
`
`true Video—on~Demand when capacity allowed, but scaled to any number of users
`
`based on queuing requested programs. As part of the project, we obtained
`
`permission from Turner Broadcasting to transmit cartoons and other short-subject
`
`content. We also attempted to connect the IMJ into the Georgia Tech campus
`
`cable television network so that students in their dorms could use the web to
`
`request content and then View that content on one of the campus’s public access
`
`channels.
`
`HUAWEI EX. 1003 - 13/87
`
`
`
`13. More recently, I have also studied issues concerning how users
`
`choose content, especially when considering the price of that content. My research
`
`has examined how dynamic content pricing can be used to control system load. By
`
`raising prices when systems start to become overloaded (i.e., when all available
`
`resources are fully utilized) and reducing prices when system capacity is readily
`
`available, users’ capacity to pay as well as their willingness can be used as factors
`
`in stabilizing the response time of a system. This capability is particularly useful
`
`in systems where content is downloaded or streamed to users on—demand.
`
`14. As
`
`a parallel
`
`research theme,
`
`starting in 1997,
`
`I began
`
`researching issues related to wireless devices.
`
`In particular, I was interested in
`
`showing how to provide greater communication capability to “lightweight
`
`devices,” i.e.,
`
`small
`
`form—factor,
`
`resource—constrained (e.g., CPU, memory,
`
`networking, and power) devices.
`
`15.
`
`Starting in 1998, I published several papers on my work to
`
`develop a flexible,
`
`lightweight, battery—aware network protocol stack.
`
`The
`
`lightweight protocols we envisioned were similar in nature to protocols like
`
`Universal Plug and Play (UPnP) and Digital Living Network Alliance (DLNA).
`
`16.
`
`From this initial work,
`
`I have made wireless networking——
`
`including ad hoc and mesh networks and wireless devices——-one of the major
`
`themes of my research. One topic includes developing applications for mobile
`
`-8-
`
`HUAWEI EX. 1003 - 14/87
`
`
`
`devices,
`
`for example, virally exchanging and tracking “coupons” through
`
`“opportunistic contact” (i.e., communication with other devices coming into
`
`communication range with a user). Other
`
`topics include building network
`
`communication among a set of mobile devices unaided by any other kind of
`
`network infrastructure. Yet another theme is monitoring wireless networks,
`
`in
`
`particular different variants of IEEE 802.11 compliant networks, to (1) understand
`
`the operation of the various protocols used in real—world deployments, (2) use these
`
`measurements to characterize use of the networks and identify protocol limitations
`
`and weaknesses, and (3) propose and evaluate solutions to these problems.
`
`17 .
`
`Protecting networks, including their operation and content, has
`
`been an underlying theme of my research almost since the beginning. Starting in
`
`2000,
`
`I have also been involved in several projects that specifically address
`
`security, network protection, and firewalls. After significant background work, a
`
`team on which I was a member successfully submitted a $4.3M grant proposal to
`
`the Army Research Office (ARO) at the Department of Defense to propose and
`
`develop a high-speed intrusion detection system. Once the grant was awarded, we
`
`spent several years developing and meeting the milestones of the project.
`
`I have
`
`also used firewalls in developing techniques for the classroom to ensure that
`
`students are not distracted by online content.
`
`HUAWEI EX. 1003 — 15/87
`
`
`
`18. As an important component of my research program, I have
`
`been involved in the development of academic research into available technology
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`in the market place. One aspect of this work is my involvement in the Internet
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`Engineering Task Force (IETF) including many content delivery-related working
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`groups like the Audio Video Transport (AVT) group,
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`the MBone Deployment
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`(MBONED) group, Source Specific Multicast (SSM) group,
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`the Inter—Domain
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`Multicast Routing (IDMR) group, the Reliable Multicast Transport (RMT) group,
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`the Protocol Independent Multicast (PIM) group, etc.
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`I have also served as a
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`member of
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`the Multicast Directorate
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`(MADDOGS), which oversaw the
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`standardization of all things related to multicast in the IETF. Finally, I was the
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`Chair of the Internet2 Multicast Working Group for seven years.
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`19.
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`I am an author or co—author of nearly 200 technical papers,
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`published software systems, IETF Internet Drafts and IETF Request for Comments
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`(RFCs).
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`20. My involvement
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`in the
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`research community extends
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`to
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`leadership positions for several journals and conferences.
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`I am the co—chair of the
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`Steering Committee for the ACM Network and System Support for Digital Audio
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`and Video (NOSSDAV) workshop and on the Steering Committees for the
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`International Conference on Network Protocols
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`(ICNP), ACM Sigcomm
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`Workshop on Challenged Networks (CHANTS), and IEEE Global Internet (GI)
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`Symposium.
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`1 have served or am serving on the editorial boards of IEEE/ACM
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`Transactions on Networking, IEEE Transactions on Mobile Computing, IEEE
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`Transactions on Networks and System Management,
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`IEEE Network, ACM
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`Computers in Entertainment, AACE Journal of Interactive Learning Research
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`(JILR), and ACM Computer Communications Review.
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`21.
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`I have co-chaired a number of conferences and workshops
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`including the IEEE International Conference on Network Protocols (ICNP), ACM
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`International Conference on Next Generation Communication (CoNeXt), IEEE
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`Conference on Sensor, Mesh and Ad Hoc Communications and Networks
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`(SECON), International Conference on Communication Systems and Networks
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`(COMSNETS),
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`IFIP/IEEE International Conference
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`on Management
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`of
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`Multimedia Networks and Services (MMNS),
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`the International Workshop On
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`Wireless Network Measurement
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`(WiNMee), ACM Sigcomm Workshop on
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`Challenged Networks (CHANTS),
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`the Network Group Communication (NGC)
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`workshop, and the Global Internet Symposium; and I have been on the program
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`committee of numerous conferences.
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`22.
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`Furthermore, in the courses I teach, the class spends significant
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`time covering all aspects of the Internet including each of the layers of the Open
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`System Interconnect (OSI) protocol stack commonly used in the Internet. These
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`layers include the physical and data link layers and their handling of signal
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`modulation, error control, and data transmission.
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`1 also teach DOCSIS, DSL, and
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`other standardized protocols for communicating across a variety of physical media
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`including cable systems,
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`telephone lines, wireless, and high-speed Local Area
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`Networks (LANs).
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`I teach the configuration and operation of switches, routers,
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`and gateways including routing and forwarding and the numerous respective
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`protocols as they are standardized and used throughout
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`the Internet. Topics
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`include a wide variety of standardized Internet protocols at the Network Layer
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`(Layer 3), Transport Layer (Layer 4), and above.
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`23.
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`In addition, I co—founded a technology company called Santa
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`Barbara Labs that was working under a sub-contract from the U.S. Air Force to
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`develop very accurate emulation systems for
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`the military’s next generation
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`internetwork. Santa Barbara Labs’ focus was in developing an emulation platform
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`to test the performance characteristics of the network architecture in the variety of
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`environments in which it was expected to operate, and in particular, for network
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`services including IPv6, multicast, Quality of Service (QoS),
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`satellite—based
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`communication, and security. Applications for this emulation program included
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`communication of a variety of multimedia—based services. Within this testing
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`infrastructure, we used a wide range of switches and routers.
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`24.
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`In addition to having co—founded a technology company myself,
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`I have worked for, consulted with, and collaborated with companies such as IBM,
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`Hitachi Telecom, Digital Fountain, RealNetworks, Intel Research, Cisco Systems,
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`and Lockheed Martin.
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`25.
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`I am a Member of the Association of Computing Machinery
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`(ACM) and a Fellow of the Institute of Electrical and Electronics Engineers (IEEE).
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`26.
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`Further details about my background, qualifications, and
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`experience are included in my curriculum vitae (“CV”) submitted herewith as Ex.
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`1004.
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`II.
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`LEGAL STANDARDS AND BACKGROUND
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`27.
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`I have been informed of a number of legal standards that govern
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`my analysis, including those discussed below. For example, a proper validity
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`analysis includes resolving the level of ordinary skill
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`in the pertinent art,
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`determining the scope and content of the prior art, and ascertaining the differences
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`between the claimed invention and the prior art.
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`I address all of these factors in my
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`declaration below.
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`A.
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`Person of Ordinary Skill in the Art
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`28.
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`I have been advised that the claims of a patent are reviewed
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`from the point of view of a hypothetical person of ordinary skill in the art at the
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`time of the filing of the patent. The “art” is the field of technology to which a
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`patent is related.
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`I understand that the purpose of using the viewpoint of a person
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`of ordinary skill in the art is for objectivity.
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`B.
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`Claim Construction
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`29.
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`It is my understanding that terms should be given their broadest
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`reasonable construction in an IPR. Under this standard, the terms should be given
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`their ordinary and customary meaning to one of ordinary skill in the art at the time
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`of invention, unless the patent
`
`teaches of a different meaning within the
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`specification.
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`30.
`
`I understand the appropriate context in which to read a claim
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`term includes both the specification and the claim language itself.
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`C.
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`Validity
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`31.
`
`I understand that the Petitioner bears the burden of proving the
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`instituted grounds of invalidity by a preponderance of the evidence.
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`I understand
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`that a “preponderance” means “more likely than not.” I understand that general
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`and conclusory assertions, without underlying factual evidence, may not support a
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`conclusion that something is “more likely than not.”
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`32.
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`Rather,
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`the preponderance of the evidence standard requires
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`that a reasonable finder of fact be convinced that
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`the existence of a specific
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`material
`
`fact
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`is more probable than the non-existence of
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`that
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`fact.
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`The
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`preponderance of the evidence standard does not support speculation regarding
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`specific facts, and is instead focused on whether the evidence more likely than not
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`demonstrates the existence or non—eXistence of specific material facts. Here, I
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`understand that Petitioner has argued that the claims at issue are obvious in view of
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`certain prior art references.
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`33.
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`I have been informed that a reference may qualify as prior art as
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`to the patents—in—suit if it was known or used by others in this country, or patented
`
`or described in a printed publication in this or a foreign country, before the
`
`invention by the patent holder.
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`34.
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`I have also been informed that a reference may qualify as prior
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`art to the patents—in—suit if the invention was patented or described in a printed
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`publication in this or a foreign country or in public use or on sale in this country,
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`more than one year before the effective filing date.
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`35.
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`For a printed publication to qualify as prior art, I understand
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`that the Petitioner must demonstrate that
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`the publication was disseminated or
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`otherwise sufficiently accessible to the public.
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`36.
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`I also understand that, in performing a proper unpatentability
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`analysis, an expert must do more than simply provide quotes from the evidentiary
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`record along with conclusory allega