`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________
`
`SONY CORPORATION and
`POLYCOM, INC.
`Petitioners
`v.
`REALTIME ADAPTIVE STREAMING, LLC
`Patent Owner
`____________
`
`Case No. IPR2018-01413
`Patent 9,769,477
`____________
`
`DECLARATION OF DR. CHANDRAJIT BAJAJ
`
`
`
`Table of Contents
`
`I. BACKGROUND AND QUALIFICATIONS ............................................... 3
`
`II. LEGAL FRAMEWORK ............................................................................ 10
`
`III. OPINION ..................................................................................................... 16
`
`A. LEVEL OF SKILL OF A PERSON HAVING ORDINARY SKILL IN THE ART .......... 16
`
`B. CLAIM CONSTRUCTION ............................................................................... 18
`
`C. BACKGROUND OF THE TECHNOLOGY ........................................................... 18
`
`1. Data Compression .................................................................................. 19
`
`2. Video Compression Standards ................................................................ 21
`
`3. Video Compression ................................................................................. 26
`
`4. Storage Optimization .............................................................................. 33
`
`5. Video Decompression ............................................................................. 35
`
`D. OBVIOUS TO COMBINE PAULS AND BROOKS ................................................. 40
`
`IV. CONCLUSION ............................................................................................ 51
`
`
`
`
`
`
`
`
`
`
`
`IPR2018-01413
`SONY EX1003
`
`
`
`
`
`
`
`
`
`I, Chandrajit Bajaj, hereby declare the following:
`
`I.
`
`BACKGROUND AND QUALIFICATIONS
`1. My name is Chandrajit Bajaj and I am over 21 years of age and
`
`otherwise competent to make this Declaration. I make this Declaration based on facts
`
`and matters within my own knowledge and on information provided to me by others,
`
`and, if called as a witness, I could and would competently testify to the matters set
`
`forth herein.
`
`2.
`
`I have summarized in this section my educational background, career
`
`history, and other relevant qualifications. My curriculum vitae (“CV”) is attached
`
`hereto as Exhibit 1006 and provides an accurate identification of my background
`
`and experience.
`
`3.
`
`I am currently employed as a Professor of Computer Science at the
`
`University of Texas at Austin (“UT Austin”). I currently hold the Computational
`
`Applied Mathematics endowed Chair in Visualization. I am also the Director of the
`
`Computational Visualization Center at UT Austin, which has been funded by the
`
`National Institutes of Health, the National Science Foundation, the Department of
`
`Energy, and the Department of Defense. The center personnel include fifteen
`
`researchers, scientists, post-graduate students, and staff.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`3
`
`
`
`
`
`
`
`
`
`
`
`
`
`IPR2018-01413
`SONY EX1003
`
`
`
`
`
`4.
`
`I have a Bachelor of Technology degree in Electrical Engineering,
`
`which I obtained from the Indian Institute of Technology in Delhi (IITD) in 1980. I
`
`also have a Master of Science degree and a Doctorate in Computer Science from
`
`Cornell University in 1983 and 1984 respectively.
`
`5.
`
`Prior to my employment at the University of Texas, I was an assistant
`
`professor, then associate professor, and finally professor of Computer Sciences at
`
`Purdue University (Purdue) from 1984 until I resigned in 1997 and transferred to UT
`
`Austin. During this time, I was also the Director of Image Analysis and
`
`Visualization Center at Purdue University. I was a visiting associate professor of
`
`Computer Science at Cornell University from 1990–1991. I have also been invited
`
`for collaborative visits by several academic institutions and have presented
`
`numerous keynote presentations worldwide. I have been an editorial member of the
`
`SIAM Journal on Imaging Sciences, and the ACM Transactions on Graphics, and
`
`continue my editorial role for ACM Computing Surveys and the International
`
`Journal of Computational Geometry and Applications.
`
`6.
`
`I have spent the better part of my career, both at Purdue and UT Austin,
`
`researching, designing, teaching and using computer systems to model, simulate,
`
`and visualize natural and synthetic objects, combining computational image and
`
`geometric processing. I am knowledgeable about and have much experience in both
`
`hardware and software, including algorithms, used for capturing, analyzing and
`
`4
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`IPR2018-01413
`SONY EX1003
`
`
`
`
`
`displaying interactive imagery.
`
`7.
`
`In the 1970s, while majoring in Electrical Engineering at Indian
`
`Institute of Technology with a minor in Computer Sciences, I was intimately
`
`involved in the design and fabrication of microprocessor-controlled circuits as well
`
`as the development of microprocessor controller software. In the 1980s, while at
`
`Cornell University, my past experiences led to research in image and geometry
`
`processing and optimization and the development of robot motion planning
`
`software. In the early 1990s, I created 3D collaborative multimedia software
`
`environments which were fully navigable for multi-person computer gaming and
`
`simulation. In 1994, I co-authored a technical paper entitled “Shastra: Multimedia
`
`Collaborative Design Environment.” The need for increasing computer graphics
`
`display realism without sacrificing interactivity led me also to explore image
`
`processing techniques such as texture mapping with data compression, such as
`
`described in my publications “Compression-Based 3D Texture Mapping for Real-
`
`Time Rendering,” and “3D RGB Image Compression for Interactive Applications.”
`
`During this time I was also intimately involved with the development of a new
`
`synthetic-natural hybrid data compression MPEG (Motion Pictures Expert Group)
`
`standard. During this time I also applied and received a joint patent “Encoding
`
`Images of 3-D Objects with Improved Rendering Time and Transmission Process,”
`
`August 2002, US Patent 6438266.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`5
`
`
`
`
`
`
`
`
`
`
`
`
`
`IPR2018-01413
`SONY EX1003
`
`
`
`
`
`8.
`
`In the early to mid-2000s, and now at University of Texas (UT) at
`
`Austin, I began to create, using novel hardware and software, spatially-realistic 3D
`
`graphical environments for a combination of different types of acquired and
`
`reconstructed imagery within which a user may explore, query, and learn. My
`
`publications included “Volumetric Video Compression and Interactive Playback”
`
`and “SIMD Optimization of Linear Expressions for Programmable Graphics in
`
`Hardware.” During this time at UT Austin, I was involved in developing hardware
`
`and software
`
`technology
`
`that allowed multiple computers with multiple
`
`programmable graphics cards (GPUs) to simultaneously and synchronously display
`
`to large multi-screen immersive displays. We called this the UT Meta-Buffer
`
`solution. One of the publications that resulted from this is titled “Active
`
`Visualization in a Multidisplay Immersive Environment.” Much of my past and
`
`current work involves issues relating to interactive computer multimedia, including
`
`interactive 3D video and real-time retrieval of texture image data for use in rendering
`
`applications in computer graphics and virtual environments. Over the course of my
`
`career, I have participated in the design and use of several computer systems
`
`including handhelds, laptops, graphics workstations to PC/Linux clusters, as well as
`
`very large memory supercomputers for capturing, modeling and displaying virtual
`
`and scientific phenomena. My experience with computer modeling and displaying
`
`computer graphics imagery encompasses many fields, such as interactive games,
`
`6
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`IPR2018-01413
`SONY EX1003
`
`
`
`
`
`molecular, biomedical and industrial diagnostics, oil and gas exploration, geology,
`
`cosmology, and military industries.
`
`9. Currently at UT Austin, I hold faculty appointments with, and supervise
`
`M.S. and Ph.D. students from several UT departments, including, electrical
`
`engineering, biomedical engineering, and mathematics. I currently serve on the
`
`editorial boards for the International Journal of Computational Geometry and
`
`Applications, and the ACM Computing Surveys. Much of my recent work involves
`
`issues relating to interactive image and video data sciences, 3D modeling, bio-
`
`informatics, computer graphics, and computational visualization. Examples of my
`
`publications, including peer-reviewed publications, are listed in my CV.
`
`10. As set forth in my CV, I have authored approximately 159 peer-
`
`reviewed journal articles, 33 book chapters (which were also peer reviewed), and
`
`146 peer-reviewed conference publications.
`
`11.
`
`I have written and edited four books, on topics ranging from image
`
`processing, geometric modeling and visualization techniques, to algebraic geometry
`
`and its applications. I have given 181 invited-speaker keynote presentations. I am a
`
`Fellow of the American Association for the Advancement of Science, a Fellow of
`
`the Institute of Electrical and Electronics Engineers (IEEE), a Fellow of the Society
`
`of Industrial and Applied Mathematics (SIAM), and also a Fellow of the Association
`
`of Computing Machinery (also known as ACM), which is the world’s largest
`
`7
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`IPR2018-01413
`SONY EX1003
`
`
`
`
`
`education and scientific computing society. ACM Fellow is ACM’s most
`
`prestigious member grade and recognizes the top 1% of ACM members for their
`
`outstanding accomplishments in computing and information technology and/or
`
`outstanding service to ACM and the larger computing community.
`
`12. As part of my work in connection with this proceeding, I have reviewed
`
`the corresponding IPR Petition and the following materials, which were included as
`
`exhibits filed in connection therewith. The prior art exhibits listed below (e.g., Exs.
`
`1004-05, 1007-36), some of which are discussed in more detail herein, informed my
`
`understanding of what would have been known to a person having ordinary skill in
`
`the art (“POSITA”) at the time.
`
`Citation
`Exhibit No.
`Exhibit 1001 U.S. Patent No. 9,769,477 (“’477 Patent”)
`Exhibit 1002
`File History of U.S. Patent No. 9,769,477 (“’477 File History”)
`Exhibit 1004 U.S. Patent No. 6,920,150 to Pauls et al. (“Pauls”)
`Exhibit 1005 U.S. Patent No. 7,143,432 to Brooks et al. (“Brooks”)
`Exhibit 1006 Curriculum Vitae of Dr. Chandrajit Bajaj
`Exhibit 1007 U.S. Patent No. 6,031,937 to Graffagnino (“Graffagnino”)
`Shi et al. Image and Video Compression for Multimedia Engineering,
`Exhibit 1008
`CRC Press (2000) (“Shi”)
`Exhibit 1009 U.S. Patent No. 6,327,304 to Miller et al. (“Miller”)
`Exhibit 1010 Dovstam, Video Coding in H.26L, Master of Science Thesis, Royal
`Institute of Technology (2000) (“Dovstam”)
`Exhibit 1011 Girod et al. Comparison of the H.263 and H.261 Video Compression
`Standards, SPIE Proceedings Vol. CR60 (1995) (“Girod”)
`Westwater et al., Real-Time Video Compression Techniques and
`Algorithms, Florida Atlantic University, Kluwer Academic Publishers
`(1997) (“Westwater”)
`
`Exhibit 1012
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`8
`
`
`
`
`
`
`
`
`
`
`
`
`
`IPR2018-01413
`SONY EX1003
`
`
`
`
`
`Exhibit 1016
`
`for Data Compression,
`Exhibit 1013 Witten et al., Arithmetic Coding
`Communications of the ACM (June 1987) (“Witten”)
`ITU-T H.263, Video coding for low bit rate communication (1998)
`Exhibit 1014
`(“H.263 Standard”)
`Exhibit 1015 U.S. Patent No. 6,885,643 to Teramoto et al. (“Teramoto”)
`ITU-T H.262, Information technology – Generic coding of moving
`information: Video (“MPEG-2
`pictures and associated audio
`Standard”)
`ISO/IEC 14496-1, Information Technology – Generic coding of audio-
`Exhibit 1017
`visual objects, Part 1: Systems (“MPEG-4 Standard”)
`Exhibit 1018
`Provisional Application cited in Brooks
`Exhibit 1019 U.S. Patent No. 5,276,898 to Kiel et al. (“Kiel”)
`Exhibit 1020 U.S. Patent No. 5,473,376 to Auyeung (“Auyeung”)
`Exhibit 1021 U.S. Patent No. 5,563,961 to Rynderman et al. (“Rynderman”)
`Exhibit 1022 U.S. Patent No. 5,675,789 to Ishii et al. (“Ishii”)
`Exhibit 1023 U.S. Patent No. 5,812,789 to Diaz et al. (“Diaz”)
`Exhibit 1024 U.S. Patent No. 6,021,198 to Anigbogu et al. (“Anigbogu”)
`Exhibit 1025 U.S. Patent No. 6,091,777 to Guetz et al. (“Guetz”)
`Exhibit 1026 U.S. Patent No. 6,172,987 to Razazian et al. (“Razazian”)
`Exhibit 1027 U.S. Patent No. 6,181,711 to Zhang et al. (“Zhang ‘711”)
`Exhibit 1028 U.S. Patent No. 6,185,625 to Tso et al. (“Tso ‘625”)
`Exhibit 1029 U.S. Patent No. 6,216,157 to Vishwanath et al. (“Vishwanath”)
`Exhibit 1030 U.S. Patent No. 6,229,850 to Linzer et al. (“Linzer”)
`Exhibit 1031 U.S. Patent No. 6,421,733 to Tso et al. (“Tso ‘733”)
`Exhibit 1032 U.S. Patent No. 7,003,171 to Takeo (“Takeo”)
`Exhibit 1033 U.S. Patent No. 7,039,116 to Zhang et al. (“Zhang ‘116”)
`Exhibit 1034 WO 01/63772 A1 to Ternovskiy et al. (“Ternovskiy”)
`Gao et al., A Programmable Router Architecture Supporting Control
`Plane Extensibility, IEEE Communications Magazine, March 2000
`(“Gao”)
`Exhibit 1036 Hoang, Fast and Efficient Algorithms for Text and Video
`Compression, May 1997
`Exhibit 1037 U.S. Patent No. 5,374,916 to Chu (“Chu”)
`Exhibit 1038 U.S. Patent No. 5,734,744 to Wittenstein (“Wittenstein”)
`
`Exhibit 1035
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`9
`
`
`
`
`
`
`
`
`
`
`
`
`
`IPR2018-01413
`SONY EX1003
`
`
`
`
`
`
`
`
`
`II. LEGAL FRAMEWORK
`
`13.
`
`I am a technical expert and do not offer any legal opinions. However,
`
`counsel has informed me as to certain legal principles regarding patentability and
`
`related matters under United States patent law, which I have applied in performing
`
`my analysis and arriving at my technical opinions in this matter.
`
`14.
`
`I understand that a person cannot obtain a patent on an invention if the
`
`differences between the invention and the prior art are such that the subject matter
`
`as a whole would have been obvious at the time the invention was made to a person
`
`having ordinary skill in the art (“POSITA”). Unless otherwise indicated below, when
`
`I use the term POSITA, the timeframe of my use of that term should be assumed to
`
`be at the time of the invention claimed in the ’477 Patent, which is February 13,
`
`2001. I have been informed that a conclusion of obviousness may be founded upon
`
`more than a single item of prior art. I have been further informed that obviousness
`
`is determined by evaluating the following factors: (1) the scope and content of the
`
`prior art, (2) the differences between the prior art and the claim at issue, (3) the level
`
`of ordinary skill in the pertinent art, and (4) secondary considerations of non-
`
`obviousness. In addition, the obviousness inquiry should not be done in hindsight.
`
`Instead, the obviousness inquiry should be done through the eyes of a POSITA at
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`10
`
`
`
`
`
`
`
`
`
`
`
`
`
`IPR2018-01413
`SONY EX1003
`
`
`
`
`
`the time of the alleged invention.
`
`15.
`
`In considering whether certain prior art renders a particular patent claim
`
`obvious, counsel has informed me that I can consider the scope and content of the
`
`prior art, including the fact that one of skill in the art would regularly look to the
`
`disclosures in patents, trade publications, journal articles, conference papers,
`
`industry standards, product
`
`literature and documentation,
`
`texts describing
`
`competitive technologies, requests for comment published by standard setting
`
`organizations, and materials from industry conferences, as examples. I have been
`
`informed that for a prior art reference to be proper for use in an obviousness analysis,
`
`the reference must be “analogous art” to the claimed invention. I have been informed
`
`that a reference is analogous art to the claimed invention if: (1) the reference is from
`
`the same field of endeavor as the claimed invention (even if it addresses a different
`
`problem); or (2) the reference is reasonably pertinent to the problem faced by the
`
`inventor (even if it is not in the same field of endeavor as the claimed invention). A
`
`reference is “reasonably pertinent” to the problem if it would logically have
`
`commended itself to an inventor's attention in considering his problem. In
`
`determining whether a reference is reasonably pertinent, one should consider the
`
`problem faced by the inventor, as reflected either explicitly or implicitly, in the
`
`specification.
`
`16.
`
`
`
`
`
`
`
`
`
`
`I understand that, in order to establish that a claimed invention was
`
`11
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`IPR2018-01413
`SONY EX1003
`
`
`
`
`
`obvious based on a combination of prior art elements, a clear articulation of the
`
`reason(s) why a claimed invention would have been obvious must be provided.
`
`Specifically, I am informed that, under the U.S. Supreme Court’s KSR decision, a
`
`combination of multiple items of prior art renders a patent claim obvious when there
`
`was an apparent reason for one of ordinary skill in the art, at the time of the invention,
`
`to combine the prior art, which can include, but is not limited to, any of the following
`
`rationales:
`
`• Combining prior art methods according to known methods to yield predictable
`results;
`
`• Substituting one known element for another to obtain predictable results;
`
`• Using a known technique to improve a similar device in the same way;
`
`• Applying a known technique to a known device ready for improvement to
`yield predictable results;
`
`• Obvious to try—trying a finite number of identified, predictable potential
`solutions, with a reasonable expectation of success;
`
`• Identifying that known work in one field of endeavor may prompt variations
`of it for use in either the same field or a different one based on design
`incentives or other market forces if the variations are predictable to one of
`ordinary skill in the art; and/or
`
`• Identifying an explicit teaching, suggestion, or motivation in the prior art that
`would have led one of ordinary skill to modify the prior art reference or to
`combine the prior art references to arrive at the claimed invention.
`17.
`
`I understand that the existence of an explicit teaching, suggestion, or
`
`motivation to combine known elements of the prior art is a sufficient, but not a
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`12
`
`
`
`
`
`
`
`
`
`
`
`
`
`IPR2018-01413
`SONY EX1003
`
`
`
`
`
`necessary, condition to a finding of obviousness. This so-called “teaching-
`
`suggestion-motivation” test is not the exclusive test and is not to be applied rigidly
`
`in an obviousness analysis. In determining whether the subject matter of a patent
`
`claim is obvious, neither the particular motivation nor the avowed purpose of the
`
`patentee controls. Instead, the important consideration is the objective reach of the
`
`claim. In other words, if the claim extends to what is obvious, then the claim is
`
`invalid. I am further informed that the obviousness analysis often necessitates
`
`consideration of the interrelated teachings of multiple patents, the effects of demands
`
`known to the technological community or present in the marketplace, and the
`
`background knowledge possessed by a person having ordinary skill in the art. All of
`
`these issues may be considered to determine whether there was an apparent reason
`
`to combine the known elements in the fashion claimed by the patent.
`
`18.
`
`I also understand that in conducting an obviousness analysis, a precise
`
`teaching directed to the specific subject matter of the challenged claim need not be
`
`sought out because it is appropriate to take account of the inferences and creative
`
`steps that a POSITA would employ. The prior art considered can be directed to any
`
`need or problem known in the field of endeavor at the time of invention and can
`
`provide a reason for combining the elements of the prior art in the manner claimed.
`
`In other words, the prior art need not be directed towards solving the same specific
`
`problem as the problem addressed by the patent. Further, the individual prior art
`
`13
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`IPR2018-01413
`SONY EX1003
`
`
`
`
`
`references themselves need not all be directed towards solving the same problem. I
`
`am informed that, under the KSR obviousness standard, common sense is important
`
`and should be considered. Common sense teaches that familiar items may have
`
`obvious uses beyond their primary purposes.
`
`19.
`
`I also understand that the fact that a particular combination of prior art
`
`elements was “obvious to try” may indicate that the combination was obvious even
`
`if no one attempted the combination. If the combination was obvious to try
`
`(regardless of whether it was actually tried) or leads to anticipated success, then it is
`
`likely the result of ordinary skill and common sense rather than innovation. I am
`
`further informed that in many fields it may be that there is little discussion of obvious
`
`techniques or combinations, and it often may be the case that market demand, rather
`
`than scientific literature or knowledge, will drive the design of an invention. I am
`
`informed that an invention that is a combination of prior art must do more than yield
`
`predictable results to be non-obvious.
`
`20.
`
`I understand that for a patent claim to be obvious, the claim must be
`
`obvious to a POSITA at the time of the alleged invention. I understand that the
`
`factors to consider in determining the level of ordinary skill in the art include (1) the
`
`educational level and experience of people working in the field at the time the
`
`invention was made, (2) the types of problems faced in the art and the solutions
`
`found to those problems, and (3) the sophistication of the technology in the field.
`
`14
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`IPR2018-01413
`SONY EX1003
`
`
`
`
`
`21.
`
`I understand that it is improper to combine references where the
`
`references teach away from their combination. I understand that a reference may be
`
`said to teach away when a POSITA, upon reading the reference, would be
`
`discouraged from following the path set out in the reference, or would be led in a
`
`direction divergent from the path that was taken by the patent applicant. In general,
`
`a reference will teach away if it suggests that the line of development flowing from
`
`the reference’s disclosure is unlikely to be productive of the result sought by the
`
`patentee. I am informed that a reference teaches away, for example, if (1) the
`
`combination would produce a seemingly inoperative device, or (2) the references
`
`leave the impression that the product would not have the property sought by the
`
`patentee. I also am informed, however, that a reference does not teach away if it
`
`merely expresses a general preference for an alternative invention but does not
`
`criticize, discredit, or otherwise discourage investigation into the invention claimed.
`
`22.
`
`I understand that even if a prima facie case of obviousness is
`
`established, the final determination of obviousness must also consider “secondary
`
`considerations” if presented. In most instances, the patentee raises these secondary
`
`considerations of non-obviousness. In that context, the patentee argues an invention
`
`would not have been obvious in view of these considerations, which include: (a)
`
`commercial success of a product due to the merits of the claimed invention; (b) a
`
`long-felt, but unsatisfied need for the invention; (c) failure of others to find the
`
`15
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`IPR2018-01413
`SONY EX1003
`
`
`
`
`
`solution provided by the claimed invention; (d) deliberate copying of the invention
`
`by others; (e) unexpected results achieved by the invention; (f) praise of the
`
`invention by others skilled in the art; (g) lack of independent simultaneous invention
`
`within a comparatively short space of time; and/or (h) teaching away from the
`
`invention in the prior art.
`
`23.
`
` I further understand that secondary considerations evidence is only
`
`relevant if the offering party establishes a connection, or nexus, between the
`
`evidence and the claimed invention. The nexus cannot be based on prior art features.
`
`The establishment of a nexus is a question of fact. While I understand that the Patent
`
`Owner here has not offered any secondary considerations at this time, I will
`
`supplement my opinions in the event that the Patent Owner raises secondary
`
`considerations during the course of this proceeding.
`
`III. OPINION
`A. Level of Skill of a Person Having Ordinary Skill in the Art
`
`24.
`
`I was asked to provide my opinion as to the level of skill of a person
`
`having ordinary skill in the art (“POSITA”) for the ’477 Patent at the time the
`
`application for the patent was filed. Here, counsel has informed me to assume that
`
`the relevant timeframe is February 13, 2001, which is the filing date of the earliest
`
`application to which the ’477 Patent claims priority. In determining the
`
`characteristics of a hypothetical person of ordinary skill in the art of the ’477 Patent
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`16
`
`
`
`
`
`
`
`
`
`
`
`
`
`IPR2018-01413
`SONY EX1003
`
`
`
`
`
`at the time of the claimed invention, I was told to consider several factors, including
`
`the type of problems encountered in the art, the solutions to those problems, the
`
`rapidity with which innovations are made in the field, the sophistication of the
`
`technology, and the education level of active workers in the field. I also placed
`
`myself back in the time frame of the claimed invention and considered the colleagues
`
`with whom I had worked at that time.
`
`25.
`
`In my opinion, a person having ordinary skill in the art of the ’477
`
`Patent at the time of its filing would have been a person having the equivalent of (1)
`
`at least an undergraduate degree in computer science, computer engineering,
`
`electrical engineering, or a similar technical field; (2) a working knowledge of
`
`compression techniques for various types of media; and (3) two or more years of
`
`experience (or with a graduate degree in the above-stated fields, one or more years
`
`of experience) in analysis, design, or development related to media compression,
`
`with additional education substituting for experience and vice versa. Such a person
`
`of ordinary skill in the art would have been capable of understanding the ’477 Patent
`
`and the prior art references discussed herein.
`
`26. Based on my education, training, and professional experience in the
`
`field of the claimed invention, I am familiar with the level and abilities of a person
`
`of ordinary skill in the art at the time of the claimed invention. Additionally, I met
`
`at least these minimum qualifications to be a person having ordinary skill in the art
`
`17
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`IPR2018-01413
`SONY EX1003
`
`
`
`
`
`as of the time of the claimed invention of the ’477 Patent.
`
`B. Claim Construction
`27.
`I have been informed by counsel and understand that the first step in a
`
`patentability analysis involves construing the claims, as necessary, to determine their
`
`scope. The construed claim language is then compared to the disclosures of the prior
`
`art. For purposes of this proceeding, I do not offer any opinions as to how a POSITA
`
`would understand various terms in the claims of the ’477 Patent.
`
`28.
`
`In performing my analysis described herein, I have applied the claim
`
`construction set forth in the Petition. For those terms that have not expressly been
`
`construed, I have applied the meaning of the claim terms of the ’477 Patent that is
`
`generally consistent with the terms’ ordinary and customary meaning, as a POSITA
`
`would have understood them at the time of the invention.
`
`C. Background of the Technology
`29.
`I was asked to summarize the background of the prior art from the
`
`standpoint of the knowledge of a POSITA prior to February 13, 2001. There are
`
`numerous patents, publications, and systems that are relevant to the media
`
`compression technologies described and claimed in the ’477 Patent, and the specific
`
`references discussed herein are just examples of what would have been known to a
`
`POSITA. Many of the functionalities described and claimed in the ’477 Patent relate
`
`to well-known hardware and software programming techniques for media
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`18
`
`
`
`
`
`
`
`
`
`
`
`
`
`IPR2018-01413
`SONY EX1003
`
`
`
`
`
`compression at the time of the application for the ’477 Patent.
`
`1.
`Data Compression
`30. Compression is a scheme for reducing the amount of information
`
`required to represent data and can be performed on all types of data including text,
`
`speech/voice, audio, and video data. See Graffagnino (Ex. 1007) at 1:11-12. Data is
`
`compressed for various reasons. For example, data is often compressed to reduce the
`
`size, increasing storage efficiency. See id. at 1:12-14. Additionally, data may be
`
`compressed prior to transmission to reduce the amount of time required to transmit
`
`data. See id. at 1:14-17. There are several categories of compression techniques that
`
`can be used to compress data and in some instances these techniques can be used
`
`sequentially to produce greater compression. See generally Shi (Ex. 1008); see also
`
`Miller (Ex. 1009) at 1:47-49, 3:17-26.
`
`31.
`
`In lossless compression, the information content of the original data and
`
`the compressed data is exactly the same, and thus it is reversible. See Shi (Ex. 1008)
`
`at 29; see also Miller (Ex. 1009) at 1:37-44. Conversely, with lossy compression the
`
`compressed data will contain less information than the original and is irreversible.
`
`See Miller (Ex. 1009) at 1:44-49. Lossy compression removes irrelevant
`
`information, such as information that the intended recipient cannot perceive, and
`
`thus produces larger compression ratios (i.e., smaller files). Lossy compression
`
`algorithms include most video compression techniques, such as MPEG with
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`19
`
`
`
`
`
`
`
`
`
`
`
`
`
`IPR2018-01413
`SONY EX1003
`
`
`
`
`
`encoding standards called MPEG-1, MPEG-2, MPEG-4 and the ITU-IT video
`
`encoding standards called H.261, H.263, H.264. See, e.g., Shi (Ex. 1008) at 333, 403,
`
`429; Graffagnino (Ex. 1007) at 1:55-57; Miller (Ex. 1009) at 45-49.
`
`32. Symmetry refers to the ratio of the computational complexity of
`
`compression to that of decompression. Graffagnino (Ex. 1007) at 2:6-7. An
`
`asymmetrical compression algorithm exhibits a significant time difference for
`
`compression and decompression, while a symmetrical algorithm takes the same
`
`amount of time to compress and decompress data. See id. JPEG compression is
`
`widely considered a symmetric compression algorithm. See Graffagnino (Ex. 1007)
`
`at 4:39-43. Asymmetrical compression algorithms include Lempel-Ziv and most
`
`video compression algorithms such as MPEG. See id.
`
`33. Compression efficiency can be measured by the compression ratio of
`
`the compressed data. Graffagnino (Ex. 1007) at 1:20-24. Compression ratio refers
`
`to the ratio of number of bits of uncompressed data to the number of bits of
`
`compressed data. Id. The higher the compression ratio, the smaller the file size and
`
`as discussed above, smaller files are desirable because of the increased storage
`
`efficiency and speedier transmission times. However, compression to a very small
`
`size often also requires more complex techniques. The costs associated with using
`
`more complicated techniques include increased computing power required to
`
`perform the calculations and longer time and slower speed in compressing the data
`
`20
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`IPR2018-01413
`SONY EX1003
`
`
`
`
`
`itself (i.e., decreased compression rate). Various trade-offs can be used to balance a
`
`desired compression ratio with the compression rate and then transmit data rate. For
`
`example, by reducing the quality of the data the data may be compressed more
`
`quickly and to a smaller size and faster transmit data rate. In the case of compressing
`
`video data, a balance between compression ratio and image quality is generally
`
`desired in order to optimize storage, while maintaining a sufficient image quality for
`
`optimal compression and transmission rate to a remote user.
`
`34. Different types of compression techniques are better suited for certain
`
`types of data. For example, only lossless compression can be used to transmit
`
`computer program files as a lossy tech