`
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`____________
`
`ROKU, INC.
`
`Petitioner,
`
`v.
`
`CANON KABUSHIKI KAISHA
`
`Patent Owner.
`
`____________
`
`Case IPR2020-00342
`
`U.S. Patent No. 8,346,986
`
`____________
`
`Declaration of John Levy, Ph.D.
`
`Roku Exhibit 1003
`Roku, Inc. v. Canon Kabushiki Kaisha
`IPR2020-00342
`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 ........................................................................................... 11
`
`A. Anticipation ......................................................................................... 12
`
`B.
`
`C.
`
`Obviousness ......................................................................................... 13
`
`Claim Construction ............................................................................. 19
`
`VII. Analysis of the ’986 Patent .......................................................................... 21
`
`A. Overview of the ’986 Patent ................................................................ 21
`
`B.
`
`C.
`
`D.
`
`’986 Patent Prosecution History .......................................................... 24
`
`’767 Patent Prosecution History .......................................................... 25
`
`Claim Construction of the ’986 Patent Claims ................................... 26
`
`1.
`
`2.
`
`“a communication unit configured to communicate with an
`external device” – Claims 1, 6, 10, 11 ...................................... 27
`
`“information for controlling whether or not to continue the
`display of the image being displayed by the display unit when
`the communication is disconnected, wherein said information
`includes at least one of information indicating types of external
`devices for which display of an image should be continued and
`information indicating types of external devices for which
`display of an image should not be continued” – Claims 1, 10 . 27
`
`i
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`IPR2020-00342 Page 00002
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`
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`3.
`
`4.
`
`5.
`
`“a determination unit configured to determine whether or not to
`continue the display of the image received from the external
`device by comparing the type of the external device involving
`the communication by the communication unit with said
`information stored in the storing unit” – Claim 1 ..................... 28
`
`“a control unit configured to control whether or not to continue
`the display of the image being displayed by the display unit
`when the communication is disconnected, in accordance with
`the determination result by the determination unit” – Claims 1,
`6 ................................................................................................. 30
`
`“a determination unit configured to determine whether or not to
`continue the display of the image received from the external
`device by detecting whether the communication is physically
`disconnected or whether the communication is logically
`disconnected when the communication with the external device
`is disconnected” – Claim 6 ....................................................... 33
`
`VIII. Overview of the Prior Art References ....................................................... 33
`
`A. Applicant Admitted Prior Art (“AAPA”) ........................................... 33
`
`B.
`
`C.
`
`D.
`
`E.
`
`U.S. Patent No. 7,877,696 (“Telek”) .................................................. 36
`
`European Patent Publication EP0989729 (“Takiguchi”) .................... 39
`
`Chinese Patent CN2935383Y (“Lu”) .................................................. 41
`
`Japanese Patent Application Publication JP2004-350160 (“Suda”) ... 42
`
`IX. Specific Grounds of Unpatentability ......................................................... 43
`
`A. Ground 1: Claims 1-11 are Rendered Obvious by AAPA in view of
`Takiguchi ............................................................................................. 44
`
`1. Motivation to Combine ............................................................. 44
`
`2.
`
`3.
`
`Element [1.pre] (“A display apparatus”) .................................. 46
`
`Element [1.a] (“a communication unit configured to
`communicate with an external device”) .................................... 47
`
`ii
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`IPR2020-00342 Page 00003
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`
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`4.
`
`5.
`
`6.
`
`7.
`
`8.
`
`9.
`
`Element [1.b] (“a display unit configured to display an image
`received from the external device”) .......................................... 48
`
`Element [1.c] (“a storing unit configured to store information
`for controlling whether or not to continue the display of the
`image being displayed by the display unit when the
`communication is disconnected, wherein said information
`includes at least one of information indicating types of external
`devices for which display of an image should be continued and
`information indicating types of external devices for which
`display of an image should not be continued”)......................... 48
`
`Element [1.d] (“a determination unit configured to determine
`whether or not to continue the display of the image received
`from the external device by comparing the type of the external
`device involving the communication by the communication unit
`with said information stored in the storing unit”) ..................... 55
`
`Element [1.e] (“a control unit configured to control whether or
`not to continue the display of the image being displayed by the
`display unit when the communication is disconnected, in
`accordance with the determination result by the determination
`unit.”) ........................................................................................ 58
`
`Element [2] (“”The display apparatus according to claim 1,
`wherein said information stored in the storing unit includes
`information indicating types of external devices which logically
`disconnect the communication with the communication unit”)
` ................................................................................................... 60
`
`Element [3] (“The display apparatus according to claim 2,
`wherein the control unit controls to continue the display of the
`image being displayed by the display unit when the
`communication is disconnected, if the type of the external
`device is one of the types of external devices which logically
`disconnect the communication with the communication unit.”)
` ................................................................................................... 61
`
`iii
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`IPR2020-00342 Page 00004
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`
`
`10. Element [4] (“The display apparatus according to claim 1,
`wherein the control unit controls to end the display of the image
`being displayed by the display unit when the communication is
`disconnected, if the type of the external device is in a USB
`Mass Storage Class.”) ............................................................... 63
`
`11. Element [5] (“The display apparatus according to claim 1,
`wherein the control unit controls to continue the display of the
`image being displayed by the display unit when the
`communication is disconnected, if the type of the external
`device is in a USB Imaging Class.”) ......................................... 64
`
`12. Element [6.pre] (“A display apparatus”) .................................. 65
`
`13. Element [6.a] (“a communication unit configured to
`communicate with an external device”) .................................... 65
`
`14. Element [6.b] (“a display unit configured to display an image
`received from the external device”) .......................................... 65
`
`15. Element [6.c] (“a determination unit configured to determine
`whether or not to continue the display of the image received
`from the external device by detecting whether the
`communication is physically disconnected or whether the
`communication is logicallydisconnected when the
`communication with the external device is disconnected”) ..... 65
`
`16. Element [6.d] (“a control unit configured to control whether or
`not to continue the display of the image being displayed by the
`display unit when the communication is disconnected, in
`accordance with the determination result by the determination
`unit.”) ........................................................................................ 69
`
`17. Element [7] (“The display apparatus according to claim 6,
`wherein, when the communication with the external device is
`physically disconnected, the control unit controls to end the
`display of the image being displayed by the display unit after a
`predetermined first period elapses.”) ........................................ 71
`
`iv
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`IPR2020-00342 Page 00005
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`
`
`18. Element [8] (“The display apparatus according to claim 7,
`wherein, when the communication with the external device is
`logically disconnected, the control unit controls to end the
`display of the image being displayed by the display unit after a
`predetermined second period, which is longer than the first
`period, elapses.”) ....................................................................... 72
`
`19. Element [9] (“The display apparatus according to claim 6,
`wherein the communication unit is connected to the external
`device via a physical communication interface.”) .................... 74
`
`20. Element [10.pre] (“A control method of a display apparatus”) 74
`
`21. Element [10.a] (“a communication unit configured to
`communicate with an external device”) .................................... 74
`
`22. Element [10.b] (“a display unit configured to display an image
`received from the external device; and”) .................................. 74
`
`23. Element [10.c] (“a storing unit configured to store information
`for controlling whether or not to continue the display of the
`image being displayed by the display unit when the
`communication is disconnected, wherein said information
`includes at least one of information indicating types of external
`devices for which display of an image should be continued and
`information indicating types of external devices for which
`display of an image should not be continued”)......................... 74
`
`24. Element [10.d] (“a determination step of determining whether
`or not to continue the display of the image received from the
`external device by comparing the type of the external device
`involving the communication by the communication unit with
`said information stored in the storing unit”) ............................. 75
`
`25. Element [10.e] (“a control step of controlling whether or not to
`continue the display of the image being displayed by the
`display unit when the communication is disconnected, in
`accordance with the determination result in the determination
`step.”) ........................................................................................ 75
`
`26. Element [11.pre] (“A control method of a display apparatus”) 75
`
`v
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`IPR2020-00342 Page 00006
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`
`
`27. Element [11.a] (“a communication unit configured to
`communicate with an external device”) .................................... 75
`
`28. Element [11.b] (“a display unit configured to display an image
`received from the external device”) .......................................... 75
`
`29. Element [11.c] (“a determination step of determining whether
`or not to continue the display of the image received from the
`external device by detecting whether the communication is
`physically disconnected or whether the communication is
`logically disconnected when the communication with the
`external device is disconnected”).............................................. 75
`
`30. Element [11.d] (“a control step of controlling whether or not to
`continue the display of the image being displayed by the
`display unit when the communication is disconnected, in
`accordance with the determination result in the determination
`step.”) ........................................................................................ 76
`
`B.
`
`Ground 2: Claims 7-8 are Rendered Obvious by AAPA in view of
`Takiguchi and Suda ............................................................................. 76
`
`1.
`
`Suda ........................................................................................... 77
`
`2. Motivation to Combine ............................................................. 78
`
`C.
`
`Ground 3: Claims 1-11 are Rendered Obvious by Telek in view of
`Takiguchi and Lu Under 35 U.S.C. §103(a) ....................................... 79
`
`1. Motivation to Combine ............................................................. 79
`
`2.
`
`3.
`
`4.
`
`Element [1.pre] (“A display apparatus”) .................................. 83
`
`Element [1.a] (“a communication unit configured to
`communicate with an external device”) .................................... 84
`
`Element [1.b] (“a display unit configured to display an image
`received from the external device”) .......................................... 86
`
`vi
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`IPR2020-00342 Page 00007
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`
`
`5.
`
`6.
`
`7.
`
`8.
`
`9.
`
`Element [1.c] (“a storing unit configured to store information
`for controlling whether or not to continue the display of the
`image being displayed by the display unit when the
`communication is disconnected, wherein said information
`includes at least one of information indicating types of external
`devices for which display of an image should be continued and
`information indicating types of external devices for which
`display of an image should not be continued”)......................... 87
`
`Element [1.d] (“a determination unit configured to determine
`whether or not to continue the display of the image received
`from the external device by comparing the type of the external
`device involving the communication by the communication unit
`with said information stored in the storing unit”) ..................... 95
`
`Element [1.e] (“a control unit configured to control whether or
`not to continue the display of the image being displayed by the
`display unit when the communication is disconnected, in
`accordance with the determination result by the determination
`unit.”) ........................................................................................ 98
`
`Element [2] (“The display apparatus according to claim 1,
`wherein said information stored in the storing unit includes
`information indicating types of external devices which logically
`disconnect the communication with the communication unit”)
` .................................................................................................100
`
`Element [3] (“The display apparatus according to claim 2,
`wherein the control unit controls to continue the display of the
`image being displayed by the display unit when the
`communication is disconnected, if the type of the external
`device is one of the ypes of external devices which logically
`disconnect the communication with the communication unit.”)
` .................................................................................................101
`
`10. Element [4] (“The display apparatus according to claim 1,
`wherein the control unit controls to end the display of the image
`being displayed by the display unit when the communication is
`disconnected, if the type of the external device is in a USB
`Mass Storage Class.”) .............................................................103
`
`vii
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`IPR2020-00342 Page 00008
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`
`
`11. Element [5] (“The display apparatus according to claim 1,
`wherein the control unit controls to continue the display of the
`image being displayed by the display unit when the
`communication is disconnected, if the type of the external
`device is in a USB Imaging Class.”) .......................................104
`
`12. Element [6.pre] (“A display apparatus”) ................................105
`
`13. Element [6.a] (“a communication unit configured to
`communicate with an external device”) ..................................105
`
`14. Element [6.b] (“a display unit configured to display an image
`received from the external device”) ........................................105
`
`15. Element [6.c] (“a determination unit configured to determine
`whether or not to continue the display of the image received
`from the external device by detecting whether the
`communication is physically disconnected or whether the
`communication is logically disconnected when the
`communication with the external device is disconnected”) ...105
`
`16. Element [6.d] (“a control unit configured to control whether or
`not to continue the display of the image being displayed by the
`display unit when the communication is disconnected, in
`accordance with the determination result by the determination
`unit.”) ......................................................................................109
`
`17. Element [7] (“The display apparatus according to claim 6,
`wherein, when the communication with the external device is
`physically disconnected, the control unit controls to end the
`display of the image being displayed by the display unit after a
`predetermined first period elapses.”) ......................................111
`
`18. Element [8] (“The display apparatus according to claim 7,
`wherein, when the communication with the external device is
`logically disconnected, the control unit controls to end the
`display of the image being displayed by the display unit after a
`predetermined second period, which is longer than the first
`period, elapses.”) .....................................................................112
`
`viii
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`IPR2020-00342 Page 00009
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`
`
`19. Element [9] (“The display apparatus according to claim 6,
`wherein the communication unit is connected to the external
`device via a physical communication interface.”) ..................114
`
`20. Element [10.pre] (“A control method of a display apparatus”)
` .................................................................................................115
`
`21. Element [10.a] (“a communication unit configured to
`communicate with an external device”) ..................................115
`
`22. Element [10.b] (“a display unit configured to display an image
`received from the external device; and”) ................................115
`
`23. Element [10.c] (“a storing unit configured to store information
`for controlling whether or not to continue the display of the
`image being displayed by the display unit when the
`communication is disconnected, wherein said information
`includes at least one of information indicating types of external
`devices for which display of an image should be continued and
`information indicating types of external devices for which
`display of an image should not be continued”).......................115
`
`24. Element [10.d] (“a determination step of determining whether
`or not to continue the display of the image received from the
`external device by comparing the type of the external device
`involving the communication by the communication unit with
`said information stored in the storing unit”) ...........................115
`
`25. Element [10.e] (“a control step of controlling whether or not to
`continue the display of the image being displayed by the
`display unit when the communication is disconnected, in
`accordance with the determination result in the determination
`step.”) ......................................................................................115
`
`26. Element [11.pre] (“A control method of a display apparatus”)
` .................................................................................................116
`
`27. Element [11.a] (“a communication unit configured to
`communicate with an external device”) ..................................116
`
`ix
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`IPR2020-00342 Page 00010
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`
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`28. Element [11.b] (“a display unit configured to display an image
`received from the external device”) ........................................116
`
`29. Element [11.c] (“a determination step of determining whether
`or not to continue the display of the image received from the
`external device by detecting whether the communication is
`physically disconnected or whether the communication is
`logically disconnected when the communication with the
`external device is disconnected”)............................................116
`
`30. Element [11.d] (“a control step of controlling whether or not to
`continue the display of the image being displayed by the
`display unit when the communication is disconnected, in
`accordance with the determination result in the determination
`step.”) ......................................................................................116
`
`D. Ground 4: Claims 7-8 are Rendered Obvious by Telek in view of
`Takiguchi, Lu, and Suda Under 35 U.S.C. §103(a) ..........................117
`
`1.
`
`Suda .........................................................................................117
`
`2. Motivation to Combine ...........................................................117
`
`X.
`
`Secondary Considerations ........................................................................118
`
`XI. Conclusion ..................................................................................................119
`
`Appendix A – Curriculum Vitae
`
`Appendix B – Prior Testimony
`
`Appendix C – Materials Considered
`
`Appendix D – Claim Charts
`
`
`
`
`
`x
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`IPR2020-00342 Page 00011
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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 witness to provide
`
`assistance regarding U.S. Patent No. 8,346,986 (“the ’986 patent”). Specifically, I
`
`have been asked to consider the patentability of claims 1-11 of the ’986 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 ’986 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
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`1
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`IPR2020-00342 Page 00012
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`
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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
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`study at Stanford, my field of study was computer architecture and operating systems.
`
`My coursework included computer systems design, programming and operating
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`2
`
`IPR2020-00342 Page 00013
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`
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`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
`
`IPR2020-00342 Page 00014
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`
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`incorporated into the VAX-11/780 computer system. From 1975 to 1976, I
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`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
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`channels, controllers, storage devices and their associated software.
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`4
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`IPR2020-00342 Page 00015
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`
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`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
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`IPR2020-00342 Page 00016
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`
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`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
`
`Quantum’s work in designing disks that could record and play back video and audio
`
`streams without needing an intervening computer system.
`
`18. My qualifications for forming the opinions set forth in this report are
`
`listed in this section and in Appendix A, which is my curriculum vitae. Appendix
`
`A also includes a list of my publications.
`
`19.
`
`I am a named inventor on seven United States patents, including several
`
`related to input/output buses and storage subsystems, including hard disk storage. I
`
`also have served as a neutral technical advisor to two United States District Court
`
`Judges.
`
`20. For the past fourteen years I have taught a course per year, such as “The
`
`Digital Revolution in the Home” and “Artificial Intelligence,” at the Fromm Institute
`
`for Lifelong Learning at the University of San Francisco.
`
`21. My current curriculum vitae is attached as Appendix A.
`
`22.
`
`I have also served as an expert in certain legal proceedings. A detailed
`
`list of my prior testimony is attached as Appendix B
`
`6
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`IPR2020-00342 Page 00017
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`
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`III. PRIORITY DATE AND A PERSON OF ORDINARY SKILL
`
`23.
`
`In rendering the opinions set forth in this declaration, I was asked to
`
`consider the patent claims and the prior art through the eyes of a person of ordinary
`
`skill in the art (“POSITA”) at the time of the alleged invention, which I understand
`
`is asserted to be May 29, 2008. I understand that the factors considered in
`
`determining the ordinary level of skill in a field of art include the level of education
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`and experience of persons working in the field; the types of problems encountered
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`in the field, the teachings of the prior art, and the sophistication of the technology at
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`the time of the alleged invention. I understand that a POSITA is not a specific real
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`individual, but rather is a hypothetical individual having the qualities reflected by
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`the factors above. I understand that a POSITA would also have knowledge from the
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`teachings of the prior art, including the art cited below.
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`24. Taking these factors into consideration, in my opinion, on or before
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`May 29, 2008, a POSITA relating to the technology of the ’986 patent would have
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`had a bachelor’s degree in computer science, computer engineering, electrical
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`engineering or equivalent and have at least two years of relevant experience in the
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`field of communication interfaces such as bus communication interfaces, or
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`otherwise equivalent industry experience in the relevant field. Additional graduate
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`education could substitute for professional experience, or significant experience in
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`the field could substitute for formal education.
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`7
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`IPR2020-00342 Page 00018
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`25. Well before May 29, 2008, my level of skill in the art was at least that
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`of a POSITA. I am qualified to provide opinions concerning what a POSITA would
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`have known and understood at that time, and my analysis and conclusions herein are
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`from the perspective of a POSITA as of May 29, 2008.
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`IV. MATERIALS RELIED UPON
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`26.
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`In reaching the conclusions described in this declaration, I have relied
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`on the documents and mater