UNITED STATES PATENT AND TRADEMARK OFFICE
`
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`____________
`
`ROKU, INC.
`
`Petitioner,
`
`v.
`
`CANON KABUSHIKI KAISHA
`
`Patent Owner.
`
`____________
`
`Case IPR2020-00341
`
`U.S. Patent No. 8,078,767
`
`____________
`
`Declaration of John Levy, Ph.D.
`
`Roku Exhibit 1003
`Roku, Inc. v. Canon Kabushiki Kaisha
`IPR2020-00341
`Page 00001
`
`

`

`TABLE OF CONTENTS
`
`I. 
`
`II. 
`
`Introduction .................................................................................................... 1 
`
`Background and Qualifications .................................................................... 2 
`
`III.  Priority Date and A Person of Ordinary Skill ............................................ 7 
`
`IV.  Materials Relied Upon ................................................................................... 8 
`
`V. 
`
`Background on the State of the Art ............................................................. 8 
`
`VI.  Legal Standards ........................................................................................... 12 
`
`A.  Anticipation ......................................................................................... 12 
`
`B. 
`
`C. 
`
`Obviousness ......................................................................................... 14 
`
`Claim Construction ............................................................................. 19 
`
`VII.  Analysis of the ’767 Patent .......................................................................... 21 
`
`A.  Overview of the ’767 Patent ................................................................ 21 
`
`B. 
`
`C. 
`
`’767 Patent Prosecution History .......................................................... 24 
`
`Claim Construction of the ’767 Patent Claims ................................... 25 
`
`1. 
`
`2. 
`
`“a connection unit configured to connect an external device to
`be able to communicate with the external device” – Claims 1,
`11, 13, 14 ................................................................................... 26 
`
`“a control unit configured to control said display unit to make a
`display based on data received from the external device with
`which a communication connection is established via [said/the]
`connection unit” – Claims 1, 11, 13, 14 .................................... 27 
`
`i
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`IPR2020-00341 Page 00002
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`

`

`3. 
`
`“control unit acquires class information indicating a class of the
`external device from the external device via said connection
`unit, controls said display unit to [continue/end] the display
`based on the data received from the external device at the time
`of disconnection of the communication connection with the
`external device if the class of the external device indicated by
`the class information is a predetermined class, and controls said
`display unit to [end/continue] the display based on the data
`received from the external device at the time of disconnection
`of the communication connection with the external device if the
`class of the external device indicated by the class information is
`not the predetermined class” – Claims 1, 13 ............................ 28 
`
`4. 
`
`“a detection unit configured to detect whether or not the
`external device is physically connected to said connection unit”
`– Claim 6 ................................................................................... 31 
`
`VIII.  Overview of the Prior Art References ....................................................... 31 
`
`A.  Applicant Admitted Prior Art (“AAPA”) ........................................... 31 
`
`B. 
`
`C. 
`
`D. 
`
`E. 
`
`U.S. Patent No. 7,877,696 (“Telek”) .................................................. 34 
`
`European Patent Publication EP0989729 (“Takiguchi”) .................... 37 
`
`Chinese Patent CN2935383Y (“Lu”) .................................................. 39 
`
`Japanese Patent Application Publication JP2004-350160 (“Suda”) ... 40 
`
`IX.  Specific Grounds of Unpatentability ......................................................... 41 
`
`A.  Ground 1: Claims 1-14 are Rendered Obvious by AAPA in view of
`Takiguchi ............................................................................................. 42 
`
`1.  Motivation to Combine ............................................................. 42 
`
`2. 
`
`3. 
`
`Element [1.pre] (“A display apparatus”) .................................. 44 
`
`Element [1.a] (“a display unit”) ................................................ 45 
`
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`IPR2020-00341 Page 00003
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`

`

`4. 
`
`5. 
`
`6. 
`
`7. 
`
`8. 
`
`9. 
`
`Element [1.b] (“a connection unit configured to connect an
`external device to be able to communicate with the external
`device”) ..................................................................................... 45 
`
`Element [1.c] (“a control unit configured to control said display
`unit to make a display based on data received from the external
`device with which a communication connection is established
`via said connection unit,”) ........................................................ 46 
`
`Element [1.d] (“characterized in that said control unit acquires
`class information indicating a class of the external device from
`the external device via said connection unit, controls said
`display unit to continue the display based on the data received
`from the external device at the time of disconnection of the
`communication connection with the external device if the class
`of the external device indicated by the class information is a
`predetermined class, and controls said display unit to end the
`display based on the data received from the external device at
`the time of disconnection of the communication connection
`with the external device if the class of the external device
`indicated by the class information is not the predetermined
`class”) ........................................................................................ 48 
`
`Element [2] (“The display apparatus according to claim 1,
`characterized in that the predetermined class is a class of a
`device which logically disconnects a communication
`connection”) .............................................................................. 54 
`
`Element [3] (“The display apparatus according to claim 1,
`characterized in that if the class information indicates a USB
`mass storage class, said control unit controls to end the
`display.”) ................................................................................... 55 
`
`Element [4] (“The display apparatus according to claim 1,
`characterized in that if the class information is class information
`indicating a USB imaging class, said control unit controls to
`continue the display.”) .............................................................. 55 
`
`iii
`
`IPR2020-00341 Page 00004
`
`

`

`10.  Element [5] (“The display apparatus according to claim 4,
`characterized in that even if the class information is the class
`information indicating the USB imaging class, when the
`communication connection with the external device is
`disconnected during a communication with the external device,
`said control unit controls to end the display.”) ......................... 56 
`
`11.  Element [6a] (“The display apparatus according to claim 1,
`characterized by further comprising: a detection unit configured
`to detect whether or not the external device is physically
`connected to said connection unit,”) ......................................... 57 
`
`12.  Element [6b] (“characterized in that if said detection unit
`detects that a physical connection with the external device is
`disconnected at the time of disconnection of the communication
`connection with the external device, said control unit controls
`to end the display irrespective of the class information.”) ....... 57 
`
`13.  Element [7] (“The display apparatus according to claim 6,
`characterized in that said control unit controls to end the display
`after a predetermined first period elapses.”) ............................. 59 
`
`14.  Element [8] (“The display apparatus according to claim 7,
`characterized in that if said detection unit detects that a physical
`connection with the external device is not disconnected at the
`time of disconnection of the communication connection with
`the external device, said control unit controls to end the display
`irrespective of the class information after a predetermined
`second period elapses.”) ............................................................ 59 
`
`15.  Element [9] (“The display apparatus according to claim 8,
`characterized in that the first period is shorter than the second
`period.”) .................................................................................... 61 
`
`16.  Element [10] (“The display apparatus according to claim 1,
`characterized in that when the communication connection with
`the external device is disconnected, and said control unit
`controls to end the display based on the class information, said
`control unit controls said display unit to display a pre-set
`image.”) ..................................................................................... 62 
`
`iv
`
`IPR2020-00341 Page 00005
`
`

`

`17.  Element [11.pre] (“A control method of a display apparatus”) 62 
`
`18.  Element [11.a] (“a display unit”) .............................................. 62 
`
`19.  Element [11.b] (“a connection unit configured to connect an
`external device to be able to communicate with the external
`device”) ..................................................................................... 63 
`
`20.  Element [11.c] (“a control unit configured to control the display
`unit to make a display based on data received from the external
`device with which a communication connection is established
`via the connection unit”) ........................................................... 63 
`
`21.  Element [11.d] (“a control unit configured to control the display
`unit to make a display based on data received from the external
`device with which a communication connection is established
`via the connection unit”) ........................................................... 63 
`
`22.  Element [12] (“A program for making a computer execute each
`step of the control method of a display apparatus according
`to claim 11”) .............................................................................. 63 
`
`23.  Element [13.pre] (“A display apparatus”) ................................ 63 
`
`24.  Element [13.a] (“a display unit”) .............................................. 63 
`
`25.  Element [13.b] (“a connection unit configured to connect an
`external device to be able to communicate with the external
`device”) ..................................................................................... 64 
`
`26.  Element [13.c] (“a control unit configured to control said
`display unit to make a display based on data received from the
`external device with which a communication connection is
`established via said connection unit”) ...................................... 64 
`
`v
`
`IPR2020-00341 Page 00006
`
`

`

`27.  Element [13.d] (“characterized in that said control unit acquires
`class information indicating a class of the external device from
`the external device via said connection unit, controls said
`display unit to end the display based on the data received from
`the external device at the time of disconnection of the
`communication connection with the external device if the class
`of the external device indicated by the class information is a
`predetermined class, and controls said display unit to continue
`the display based on the data received from the external device
`at the time of disconnection of the communication connection
`with the external device if the class of the external device
`indicated by the class information is not the predetermined
`class.”) ....................................................................................... 64 
`
`28.  Element [14.pre] (“A control method of a display apparatus”) 64 
`
`29.  Element [14.a] (“a display unit”) .............................................. 64 
`
`30.  Element [14.b] (“a connection unit configured to connect an
`external device to be able to communicate with the external
`device”) ..................................................................................... 65 
`
`31.  Element [14.c] (“a control unit configured to control the display
`unit to make a display based on data received from the external
`device with which a communication connection is established
`via the connection unit”) ........................................................... 65 
`
`32.  Element [14.d] (“the method characterized by comprising: the
`control step of acquiring class information indicating a class of
`the external device from the external device via the connection
`unit, controlling the display unit to end the display based on the
`data received from the external device at the time of
`disconnection of the communication connection with the
`external device if the class of the external device indicated by
`the class information is a predetermined class, and controlling
`the display unit to continue the display based on the data
`received from the external device at the time of disconnection
`of the communication connection with the external device if the
`class of the external device indicated by the class information is
`not the predetermined class.” .................................................... 65 
`
`vi
`
`IPR2020-00341 Page 00007
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`

`

`B. 
`
`Ground 2: Claims 7-9 are Rendered Obvious by AAPA in view of
`Takiguchi and Suda ............................................................................. 65 
`
`1. 
`
`Suda ........................................................................................... 66 
`
`2.  Motivation to Combine ............................................................. 67 
`
`C. 
`
`Ground 3: Claims 1-14 are Rendered Obvious by Telek in view of
`Takiguchi and Lu Under 35 U.S.C. §103(a) ....................................... 69 
`
`1.  Motivation to Combine ............................................................. 69 
`
`2. 
`
`3. 
`
`4. 
`
`5. 
`
`6. 
`
`Element [1.pre] (“A display apparatus”) .................................. 72 
`
`Element [1.a] (“a display unit”) ................................................ 73 
`
`Element [1.b] (“a connection unit configured to connect an
`external device to be able to communicate with the external
`device”) ..................................................................................... 74 
`
`Element [1.c] (“a control unit configured to control said display
`unit to make a display based on data received from the external
`device with which a communication connection is established
`via said connection unit,”) ........................................................ 75 
`
`Element [1.d] (“characterized in that said control unit acquires
`class information indicating a class of the external device from
`the external device via said connection unit, controls said
`display unit to continue the display based on the data received
`from the external device at the time of disconnection of the
`communication connection with the external device if the class
`of the external device indicated by the class information is a
`predetermined class, and controls said display unit to end the
`display based on the data received from the external device at
`the time of disconnection of the communication connection
`with the external device if the class of the external device
`indicated by the class information is not the predetermined
`class”) ........................................................................................ 76 
`
`vii
`
`IPR2020-00341 Page 00008
`
`

`

`7. 
`
`8. 
`
`9. 
`
`Element [2] (“The display apparatus according to claim 1,
`characterized in that the predetermined class is a class of a
`device which logically disconnects a communication
`connection”) .............................................................................. 82 
`
`Element [3] (“The display apparatus according to claim 1,
`characterized in that if the class information indicates a USB
`mass storage class, said control unit controls to end the
`display.”) ................................................................................... 83 
`
`Element [4] (“The display apparatus according to claim 1,
`characterized in that if the class information is class information
`indicating a USB imaging class, said control unit controls to
`continue the display.”) .............................................................. 83 
`
`10.  Element [5] (“The display apparatus according to claim 4,
`characterized in that even if the class information is the class
`information indicating the USB imaging class, when the
`communication connection with the external device is
`disconnected during a communication with the external device,
`said control unit controls to end the display.”) ......................... 84 
`
`11.  Element [6a] (“The display apparatus according to claim 1,
`characterized by further comprising: a detection unit configured
`to detect whether or not the external device is physically
`connected to said connection unit,”) ......................................... 85 
`
`12.  Element [6b] (“characterized in that if said detection unit
`detects that a physical connection with the external device is
`disconnected at the time of disconnection of the communication
`connection with the external device, said control unit controls
`to end the display irrespective of the class information.”) ....... 86 
`
`13.  Element [7] (“The display apparatus according to claim 6,
`characterized in that said control unit controls to end the display
`after a predetermined first period elapses.”) ............................. 87 
`
`viii
`
`IPR2020-00341 Page 00009
`
`

`

`14.  Element [8] (“The display apparatus according to claim 7,
`characterized in that if said detection unit detects that a physical
`connection with the external device is not disconnected at the
`time of disconnection of the communication connection with
`the external device, said control unit controls to end the display
`irrespective of the class information after a predetermined
`second period elapses.”) ............................................................ 88 
`
`15.  Element [9] (“The display apparatus according to claim 8,
`characterized in that the first period is shorter than the second
`period.”) .................................................................................... 90 
`
`16.  Element [10] (“The display apparatus according to claim 1,
`characterized in that when the communication connection with
`the external device is disconnected, and said control unit
`controls to end the display based on the class information, said
`control unit controls said display unit to display a pre-set
`image.”) ..................................................................................... 90 
`
`17.  Element [11.pre] (“A control method of a display apparatus”) 91 
`
`18.  Element [11.a] (“a display unit”) .............................................. 91 
`
`19.  Element [11.b] (“a connection unit configured to connect an
`external device to be able to communicate with the external
`device”) ..................................................................................... 92 
`
`20.  Element [11.c] (“a control unit configured to control the display
`unit to make a display based on data received from the external
`device with which a communication connection is established
`via the connection unit”) ........................................................... 92 
`
`21.  Element [11.d] (“a control unit configured to control the display
`unit to make a display based on data received from the external
`device with which a communication connection is established
`via the connection unit”) ........................................................... 92 
`
`22.  Element [12] (“A program for making a computer execute each
`step of the control method of a display apparatus according
`to claim 11”) .............................................................................. 92 
`
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`
`IPR2020-00341 Page 00010
`
`

`

`23.  Element [13.pre] (“A display apparatus”) ................................ 92 
`
`24.  Element [13.a] (“a display unit”) .............................................. 92 
`
`25.  Element [13.b] (“a connection unit configured to connect an
`external device to be able to communicate with the external
`device”) ..................................................................................... 93 
`
`26.  Element [13.c] (“a control unit configured to control said
`display unit to make a display based on data received from the
`external device with which a communication connection is
`established via said connection unit”) ...................................... 93 
`
`27.  Element [13.d] (“characterized in that said control unit acquires
`class information indicating a class of the external device from
`the external device via said connection unit, controls said
`display unit to end the display based on the data received from
`the external device at the time of disconnection of the
`communication connection with the external device if the class
`of the external device indicated by the class information is a
`predetermined class, and controls said display unit to continue
`the display based on the data received from the external device
`at the time of disconnection of the communication connection
`with the external device if the class of the external device
`indicated by the class information is not the predetermined
`class.”) ....................................................................................... 93 
`
`28.  Element [14.pre] (“A control method of a display apparatus”) 93 
`
`29.  Element [14.a] (“a display unit”) .............................................. 93 
`
`30.  Element [14.b] (“a connection unit configured to connect an
`external device to be able to communicate with the external
`device”) ..................................................................................... 94 
`
`31.  Element [14.c] (“a control unit configured to control the display
`unit to make a display based on data received from the external
`device with which a communication connection is established
`via the connection unit”) ........................................................... 94 
`
`x
`
`IPR2020-00341 Page 00011
`
`

`

`32.  Element [14.d] (“the method characterized by comprising: the
`control step of acquiring class information indicating a class of
`the external device from the external device via the connection
`unit, controlling the display unit to end the display based on the
`data received from the external device at the time of
`disconnection of the communication connection with the
`external device if the class of the external device indicated by
`the class information is a predetermined class, and controlling
`the display unit to continue the display based on the data
`received from the external device at the time of disconnection
`of the communication connection with the external device if the
`class of the external device indicated by the class information is
`not the predetermined class.” .................................................... 94 
`
`D.  Ground 4: Claims 7-9 are Rendered Obvious by Telek in view of
`Takiguchi, Lu, and Suda Under 35 U.S.C. §103(a) ............................ 94 
`
`1. 
`
`Suda ........................................................................................... 95 
`
`2.  Motivation to Combine ............................................................. 95 
`
`X. 
`
`Secondary Considerations .......................................................................... 96 
`
`XI.  Conclusion .................................................................................................... 97 
`
`Appendix A – Curriculum Vitae
`
`Appendix B – Prior Testimony
`
`Appendix C – Materials Considered
`
`Appendix D – Claim Charts
`
`
`
`xi
`
`IPR2020-00341 Page 00012
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`

`

`I.
`
`INTRODUCTION
`
`1. My name is John Levy, and I have been retained by counsel for
`
`Petitioner Roku, Inc. (“Roku” or “Petitioner”) as an expert to provide assistance
`
`regarding U.S. Patent No. 8,078,767 (“the ’767 patent”). Specifically, I have been
`
`asked to consider the patentability of claims 1-14 of the ’767 patent (“the Challenged
`
`Claims”) in view of prior art and the understanding of a person of ordinary skill in
`
`the art (“POSITA”) as it relates to the ’767 patent. I have personal knowledge of the
`
`facts and opinions set forth in this declaration and believe them to be true. If called
`
`upon to do so, I would testify competently thereto.
`
`2.
`
`I am being compensated for my time at $525 per hour. I am also being
`
`reimbursed for expenses that I incur during the course of this work. My
`
`compensation is not contingent upon the results of my study, the substance of my
`
`opinions, or the outcome of any proceeding involving the Challenged Claims. I have
`
`no financial interest in the outcome of this matter or in the pending litigation between
`
`Petitioner and the Patent Owner.
`
`3. My opinions are based on my years of education, research and
`
`experience, as well as my investigation and study of relevant materials, including
`
`those cited herein.
`
`4.
`
`I may rely upon these materials, my knowledge and experience, and/or
`
`additional materials to rebut arguments raised by the Patent Owner. Further, I may
`
`1
`
`IPR2020-00341 Page 00013
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`

`

`also consider additional documents and information in forming any necessary
`
`opinions, including documents that may not yet have been provided to me.
`
`5. My analysis of the materials produced in this proceeding is ongoing and
`
`I will continue to review any new material as it is provided. This declaration
`
`represents only those opinions I have formed to date. I reserve the right to revise,
`
`supplement, and/or amend my opinions stated herein based on new information and
`
`on my continuing analysis of the materials already provided.
`
`II. BACKGROUND AND QUALIFICATIONS
`
`6.
`
`I am an expert in the field of computer hardware design including bus
`
`standards such as Universal Serial Bus (“USB”). I also have expertise in computer
`
`software including operating systems.
`
`7.
`
`I have a Bachelor of Engineering Physics degree from Cornell
`
`University (1965), a Master of Science degree in Electrical Engineering from
`
`California Institute of Technology (“Caltech”) (1966), and a Ph.D. in Computer
`
`Science from Stanford University (1973).
`
`8.
`
`From 1965 to 1966 at Caltech, my field of study was information
`
`processing systems. My coursework included systems programming, including the
`
`construction of compilers and assemblers. From 1966 to 1972, during my graduate
`
`study at Stanford, my field of study was computer architecture and operating systems.
`
`My coursework included computer systems design, programming and operating
`
`2
`
`IPR2020-00341 Page 00014
`
`

`

`systems. During my employment at Stanford Linear Accelerator Center while I was
`
`a graduate student at Stanford University, I was a programmer and I participated in
`
`the design and implementation of a real-time operating system for use in data
`
`acquisition, storage and display. My Ph.D. thesis research related to computer
`
`systems organization and programming of multi-processor computers. I developed
`
`and measured the performance of several parallel programs on a simulated 16-
`
`processor system. I also studied file systems, disk and tape storage subsystems, and
`
`input/output.
`
`9.
`
`I have been an employee and a consultant for over thirty years in the
`
`computer systems, software and storage industry. After earning my doctorate from
`
`Stanford University in Computer Science, I worked as an engineer at a number of
`
`leading companies in the computer industry, including Digital Equipment
`
`Corporation, Tandem Computer, Inc., Apple Computer, Inc., and Quantum
`
`Corporation.
`
`10. From 1972 to 1974 at Digital Equipment Corporation I supervised the
`
`development of an input/output channel for high-speed mass storage units (disk,
`
`drum and tape), and its implementation for four different peripheral units and three
`
`different computer systems. From 1974 to 1975 I was a project engineer leading the
`
`development of a new computer processor. In this role, I was the primary developer
`
`of the Synchronous Backplane Interconnect (“SBI”), a bus that later was
`
`3
`
`IPR2020-00341 Page 00015
`
`

`

`incorporated into the VAX-11/780 computer system. From 1975 to 1976, I
`
`supervised an operating system development group. During this time, I reviewed
`
`design changes and bug reports and fixes for two operating systems.
`
`11. While working for Digital Equipment Corporation, I wrote a long-term
`
`strategic plan for input/output buses and controllers and operating systems, including
`
`the conversion of most I/O buses to serial bus implementations. I am also the author
`
`of the chapter on computer bus design in the book Computer Engineering, published
`
`in 1978 by Digital Press.
`
`12. From 1977 to 1979 I was employed at Tandem Computer, Inc., where
`
`I worked on the design of future multiprocessor systems. I also worked on problems
`
`related to distributed (networked) systems including rollback and recovery of
`
`distributed databases.
`
`13. From 1979 to 1982 I was employed at Apple Computer, Inc., where I
`
`worked on the design of a new computer system, the Lisa, which was a precursor to
`
`the Macintosh. I also supervised hardware and software engineers in the
`
`development of a new local area network based on a serial bus.
`
`14.
`
`In 1980-81 I taught an upper-division course at San Francisco State
`
`University titled “Input/Output Architecture” which dealt with design of I/O
`
`channels, controllers, storage devices and their associated software.
`
`4
`
`IPR2020-00341 Page 00016
`
`

`

`15. From 1982 to 1992 I consulted for a variety of client companies,
`
`including Apple Computer, Quantum Corporation and Ricoh Co., Ltd., on project
`
`management and product development. Consulting work for Quantum included
`
`working as temporary supervisor of a team developing firmware (embedded
`
`microprocessor software) for a new hard disk drive. During this time period, I also
`
`co-authored a paper, cited in my attached CV, on the design of a file system for
`
`write-once optical disk drives, related to work I did for client Ricoh.
`
`16. From 1993 to 1998 I was employed at Quantum Corporation, a
`
`manufacturer of hard disk drives, where I formed and managed a new group called
`
`Systems Engineering. While in this role I managed, among others, software and
`
`systems engineers who developed hard disk input/output driver software for personal
`
`computers and software for disk drive performance analysis and simulation. I also
`
`became familiar with industry-standard techniques for disk drive design, including
`
`embedded servo, manufacturer-reserved cylinders (hidden storage area on the hard
`
`disk), and microprocessor firmware related to control and management of read/write
`
`operations on hard disks.
`
`17. While at Quantum, I also led the definition and implementation of high-
`
`speed improvements of the ATA disk interface bus standard, called Ultra-ATA/33
`
`and /66, which also led to improvements in the SCSI disk interface bus standard. I
`
`was also involved in the design of file systems for hard disks, data compression
`
`5
`
`IPR2020-00341 Page 00017
`
`

`

`schemes for disk data, and Ethernet-connected disk drives. I was Quantum’s
`
`representative to the Audio/Video Working Group of the 1394 (FireWire bus) Trade
`
`Association, a Consumer Electronics industry standards group, and participated in
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`Quantum’s work in designing disks that could record and play back video and audio
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`streams without needing an intervening computer system.
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`18. My qualifications for forming the opinions set forth in this report are
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`listed in this section and in Appendix A, which is my curriculum vitae. Appendix
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`A also includes a list of my publications.
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`19.
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`I am a named inventor on seven United States patents, including several
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`related to input/output buses and storage subsystems, including hard disk storage. I
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`also have served as a neutral technical advisor to two United States District Court
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`Judges.
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`20. For the past fourteen years I have taught a course per year, such as “The
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`Digital Revolution in the Home” and “Artificial Intelligence,” at the Fromm Institute
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`for Lifelong Learning at the University of San Francisco.
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`21. My current curriculum vitae is attached as Appendix A.
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`22.
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`I have also served as an expert in certain legal proceedings. A detailed
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`list of my prior testimony is attached as Appendix