`
`_______________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`_______________
`
`APPLE INC. and GOOGLE LLC
`Petitioners
`
`v.
`
`SPACETIME3D, INC.
`Patent Owner
`
`_______________
`
`Case IPR2023-002421
`Patent No. 8,881,048
`
`_______________
`
`
`
`DECLARATION OF SCOTT SCHAEFER IN SUPPORT OF
`PATENT OWNER'S RESPONSE
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`
`
`1
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`
` Google LLC, which filed a petition in IPR2023-00577, has been joined as a
`petitioner in this proceeding.
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`SPACETIME3D
`EXHIBIT 2014 - PAGE 1
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`
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`TABLE OF CONTENTS
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`IPR2023-00242
`U.S. Patent No. 8,881,048
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`Page
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`I.
`
`II.
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`INTRODUCTION ........................................................................................... 3
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`BACKGROUND AND QUALIFICATIONS ................................................. 4
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`A.
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`Education and Experience ..................................................................... 4
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`B. Materials Considered ............................................................................. 7
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`C.
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`Compensation ........................................................................................ 8
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`III. LEGAL PRINCIPLES REGARDING VALIDITY ........................................ 9
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`A. Validity Generally ................................................................................. 9
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`B.
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`C.
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`Priority Date .......................................................................................... 9
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`Anticipation ......................................................................................... 10
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`D. Obviousness ......................................................................................... 10
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`IV. PERSON OF ORDINARY SKILL IN THE ART ........................................ 13
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`V.
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`THE '048 PATENT ....................................................................................... 14
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`A. Description of The Patented Invention ............................................... 14
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`1.
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`Chronological Presentation of Images in 3D Space ................. 17
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`2. Mirroring 2D and 3D Space ...................................................... 19
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`B.
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`Prosecution History Of The ‘048 Patent ............................................. 26
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`VI. CLAIM CONSTRUCTION .......................................................................... 36
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`VII. PETITIONER’S CITED REFERENCES ...................................................... 38
`
`A.
`
`B.
`
`C.
`
`D.
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`E.
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`Robertson ............................................................................................. 38
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`Gralla ................................................................................................... 50
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`Gettman ............................................................................................... 51
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`Sauve ................................................................................................... 59
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`Tsuda ................................................................................................... 65
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`VIII. THE CLAIMS OF THE ‘048 PATENT ARE NOT OBVIOUS .................. 70
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`A.
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`The Prior Art Combinations Do Not Disclose All of the
`Limitations of the ‘048 Patent ............................................................. 70
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`TABLE OF CONTENTS
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`IPR2023-00242
`U.S. Patent No. 8,881,048
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`Page
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`1.
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`2.
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`Combining Robertson, Gralla, and Gettman Does Not
`Disclose The Claimed Limitations (Ground 1) ........................ 70
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`Combining Sauve and Tsuda Does Not Disclose The
`Claimed Limitation (Ground 2) ................................................ 91
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`B.
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`C.
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`The Prosecution History Confirms that the Prior Art Does Not
`Disclose All of the Limitations of the '048 Patent .............................. 95
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`Petitioner Has Not Provided A Sufficient Rationale To
`Combine The Prior Art References To Yield The Claimed
`Invention ............................................................................................ 112
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`IX. CONCLUSION ............................................................................................ 118
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`IPR2023-00242
`U.S. Patent No. 8,881,048
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`I, Scott Schaefer, declare as follows:
`
`I.
`
`INTRODUCTION
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`1.
`
`I have personal knowledge of the facts and opinions set forth in this
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`declaration, and if called upon to do so, I would testify competently thereto.
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`2.
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`I am over the age of eighteen (18) and competent to make this
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`Declaration.
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`3.
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`I have been retained by Patent Owner SpaceTime 3D, Inc. to provide
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`assistance, analysis, and opinions regarding IPR2023-00242 and U.S. Patent No.
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`8,881,048 (“the ‘048 patent”) as an expert in the field of computer science, and
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`particularly in the area of 2D and 3D graphics and graphical user interfaces.
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`Attached hereto as Appendix A is a true and correct copy of my curriculum vitae
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`describing my background and experience.
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`4.
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`I have been asked to evaluate the validity of the ‘048 patent in light of
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`the assertions found in Petitioners Apple Inc. and Google LLC’s (collectively,
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`“Petitioner”) Petition for Inter Partes Review of U.S. Patent No. 8,881,048 Under
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`35 U.S.C. §§ 311-319 And 37 C.F.R. § 42 (“Petition”). (See Paper 2) To this end,
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`below are my opinions, and their underlying bases, regarding the person of ordinary
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`skill in the art at the time of the claimed inventions (“POSITA”); the fields of
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`graphical user interfaces (“GUI”), including two dimensional (“2D”) and three
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`dimensional (“3D”) spaces or environment; the ‘048 patent; claim construction; the
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`prior art of record; and the validity of the ‘048 patent, including why the prior art
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`does not render the ‘048 patent obvious and why a person of ordinary skill would
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`not have been motivated to make the prior art combinations asserted by Petitioner.
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`II. BACKGROUND AND QUALIFICATIONS
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`A. Education and Experience
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`5.
`
`I received a B.S. in Computer Science and Mathematics in 2000 from
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`Trinity University. Afterwards, I attended Rice University and received an M.S. in
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`Computer Science in 2003 and a Ph.D. in Computer Science in 2006. After
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`graduating from Rice University, I began a faculty position at Texas A&M
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`University in 2006 as an Assistant Professor. I was promoted to Associate Professor
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`in 2012 and to Full Professor in 2016. I served as the person in charge of
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`accreditation for our Computer Science degree from 2013-2017. I became Associate
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`Department Head of the Department of Computer Science & Engineering in 2017
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`and I was appointed Department Head in 2019, a role in which I have served since
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`that time. In 2019 I was awarded the Eppright Professorship in Engineering and was
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`named the holder of the Lynn ‘83 and Bill Crane ‘84 Department Head Chair in
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`2020.
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`6.
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`I have been awarded multiple awards for my teaching and research
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`activities. I was named a member of the 2008 DARPA Computer Science Study
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`Panel. I was awarded the Gunter Enderle Award in 2011 for my research. In 2012,
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`I received an NSF CAREER Award for my research work. My research was
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`subsequently recognized in 2015 when I was named the Herbert H. Richardson
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`Faculty Fellow by the College of Engineering. I was also awarded the 2019 TEES
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`Research Impact Award to recognize significant contributions and impact in the area
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`of research. In addition to these awards, I have received multiple best paper awards
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`for my research in the past.
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`7.
`
`I have received multiple teaching awards from the Computer Science
`
`& Engineering department for teaching excellence over the years. In 2017, I was
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`awarded the Distinguished Achievement Award in Teaching at the College level. In
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`2019, I was awarded the Distinguished Achievement Award for Teaching at the
`
`University level, one of the highest university honors that is awarded.
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`8.
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`In addition to my academic experience, I have worked for a number of
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`companies in different capacities. Before becoming involved in academia, I was
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`employed by Southwest Research Institute to work on radio direction finding
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`algorithms for the U.S. Navy in 1999-2000. I worked at WholeBrain Media on early
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`mobile development from 1997-1999 including network communications. At Rare
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`Medium, I performed what is now called full stack development and developed e-
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`commerce platforms for various companies in 2000. I spent time at SensAble
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`Technologies in 2003 developing implicit modeling algorithms for their haptic
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`feedback system. In 2004, I was also employed by a startup company called Mok3
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`that was developed out of MIT to work on core computer vision algorithms for their
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`image-based modeling software. This product constructed 3D models from sets of
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`photographs of objects. I wrote the code that computed correspondences between
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`images and ran a nonlinear optimization to align the images in 3D so that a virtual
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`model of the object could be reconstructed. I was also employed by Microsoft
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`Research as an intern in 2005 and subsequently as a visiting researcher in 2006
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`where we worked on a number of surface modeling methods in computer graphics.
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`My work at Microsoft Research motivated the inclusion of what is now called the
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`tessellator unit in DirectX 11, which is an application programming interface
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`(“API”) that governs the relationship between multimedia hardware. Every graphics
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`card produced since 2009 has been influenced by my work there.
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`9. My research broadly lies in the field of computer graphics, though I
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`have worked in many areas of Computer Science as is evidenced by my background.
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`For example, I have researched and published extensively on topics from sampling
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`methods used for rendering to how to represent surfaces and volumes in computer-
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`generated images. My research has been implemented by a number of companies
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`including Microsoft, Pixar, Adobe, and Nvidia. In addition, my work on
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`architectural optimization to create surfaces out of small numbers of discrete panels
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`was used to design and construct a ski lift in Switzerland.
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`10.
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`In addition, I have served as an Associate or Guest Editor for a number
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`of journals including Graphical Models, The Visual Computer, Computer Aided
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`Design, Computer Aided Geometric Design, Transactions on Visualization and
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`Computer Graphics, Computer Graphics and Applications, and ACM Transactions
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`on Graphics. In addition to this service I have served as papers chair for most major
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`computer science conferences in my area. I also serve on the steering committee of
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`the Geometric Modeling and Processing conference.
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`11.
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`In terms of instruction, I teach and have developed courses on a variety
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`of topics in Computer Science. I have taught courses in computer graphics,
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`geometric modeling, game development, data structures and algorithms, as well as
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`both our lower level and upper-level undergraduate seminar courses. I also created
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`the Computer Game Development course at Texas A&M University. Besides
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`teaching, I previously served as the faculty advisor for the Texas A&M E-Sports
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`Student Group.
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`B. Materials Considered
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`12. My analysis in this Declaration is based on my knowledge and
`
`experience. Based on my above-described qualifications in Section II.A, the Patent
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`Trial and Appeal Board should consider me to be an expert in the field. Also, based
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`on my experiences, I understand and know of the capabilities of persons of ordinary
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`skill in this field at the time of the claimed inventions (“Critical Date”), i.e.,
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`September 13, 2005.
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`13. As part of my independent analysis for this Declaration, I have
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`considered the following: the ’048 Patent (EX1001) and its prosecution history
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`(EX1002) and that of the parent application resulting in U.S. Patent No. 7,735,018
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`(EX2002); the background knowledge/technologies that were commonly known to
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`persons of ordinary skill; my own knowledge and experience gained from my work
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`in the field; my experience in teaching and advising others in this field; and my
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`experience working with others involved in this field. In addition, I have reviewed
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`and analyzed the Petition (Paper 2), the publications and materials listed on
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`Petitioners' updated exhibit list (Paper 10), including the Declaration of Henry Fuchs
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`(EX1003), the Patent Owner's Preliminary Response (Paper 6), Petitioner's reply
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`(Paper 7), Patent Owner's sur-reply (Paper 8), the publications and materials listed
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`in Patent Owner's preliminary response, its sur-reply and this Response, as well as
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`the Board's Order Granting Institution (Paper 11).
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`C. Compensation
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`14.
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`I am being compensated at my normal hourly rate for my time spent on
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`this proceeding and for expenses incurred as a result of my role as an expert. My
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`compensation is not in any way contingent on my performance, the result of this
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`proceeding, or any of the issues involved therein. I have no financial interest in the
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`outcome of this case.
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`III. LEGAL PRINCIPLES REGARDING VALIDITY
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`15.
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`I am not an attorney. For purposes of this report, I have been informed
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`by counsel of the following legal standards that apply to the issues I address in this
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`report.
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`A. Validity Generally
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`16.
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`I understand that the claims of an issued patent are presumed to be
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`valid. The basis for the presumption of validity is the fact that the allowed claims
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`went through a rigorous examination process at the U.S. Patent Office.
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`17.
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`I understand that Petitioner has the burden of proving invalidity by a
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`preponderance of the evidence, and that the burden of proof never shifts to the
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`plaintiff to prove the validity of the ’048 patent.
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`B.
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`Priority Date
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`18.
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`I understand that an inventor establishes priority of an invention by
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`conceiving of the invention and reducing the invention to practice.
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`19.
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`I understand that a patent application may establish priority of invention
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`when it supports all elements of the asserted claims.
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`C. Anticipation
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`20.
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`I understand from counsel for Patent Owner that invalidation by
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`anticipation occurs only when a single alleged prior art reference discloses each and
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`every limitation of the claim at issue, either expressly or inherently. In other words,
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`every limitation of the claim must identically appear in a single prior art reference
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`for the reference to anticipate that claim. I also understand that all elements of the
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`claim must be disclosed in the reference as they are arranged in the claim.
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`21.
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`I understand that to be considered anticipatory, the prior art reference
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`must be enabling and must describe the patentee’s claimed invention sufficiently to
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`have placed it in possession of a person of ordinary skill in the field of the invention.
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`22.
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`I understand that the Petitioner did not assert, and the Board has not
`
`instituted, any grounds of unpatentability pursuant to Section 102.
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`D. Obviousness
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`23.
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`It has further been explained to me by counsel for Patent Owner that a
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`claim is obvious pursuant to 35 U.S.C. § 103 if the differences between the claimed
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`invention and the prior art are such that the claimed invention as a whole would have
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`been obvious before the effective filing date of the claimed invention to a person
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`having ordinary skill in the art to which the claimed invention pertains. As such, I
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`understand that a claim is valid unless the differences between the claimed invention
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`and the prior art are such that the subject matter as a whole would have been obvious
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`at the time the invention was made to a person having ordinary skill in the art to
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`which the claimed invention pertains.
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`24.
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`It has further been explained to me by counsel for Patent Owner that
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`the following factors are used to make an obviousness determination: (i) the scope
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`and content of the prior art; (ii) the level of ordinary skill in the art; (iii) the
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`differences between the claimed invention and the prior art; and (iv) objective or
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`secondary considerations of nonobviousness. Any relevant objective factors or
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`secondary considerations of non-obviousness, which may include commercial
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`success of a product using the invention, if that commercial success is due to the
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`invention; long-felt need for the invention; evidence of copying of the claimed
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`invention; industry acceptance; the taking of licenses under the patent by others;
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`initial skepticism; failure of others; and praise of the invention.
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`25.
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`I understand that when a patentee can demonstrate commercial success,
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`usually shown by significant sales in a relevant market, and that the successful
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`product is the invention disclosed and claimed in the patent, it is presumed that the
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`commercial success is due to the patented invention. I also understand that courts
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`may find the commercial success of the infringer and other members of the industry
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`persuasive even though the patentee was not successful with a product covered by
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`the patent.
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`26.
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`I understand that a patent claim composed of several elements is not
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`proved obvious merely by demonstrating that each of its elements was independently
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`known in the prior art. But multiple prior art references or elements may, in some
`
`circumstances, be combined to render a patent claim obvious. I understand that I
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`should consider whether there is an “apparent reason” to combine the prior art
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`references or elements in the way the patent claims. Requiring a reason for the prior
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`art combination protects against the distortion caused by hindsight. Along the same
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`lines, one cannot use the asserted patent as a blueprint to piece together the prior art
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`in order to combine the right ones in the right way as to create the claimed inventions.
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`To determine whether such an “apparent reason” exists to combine the prior art
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`references or elements in the way a patent claims, it will often be necessary to look
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`to the interrelated teachings of multiple patents, to the effects of demands known to
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`the design community or present in the marketplace, and to the background
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`knowledge possessed by a person having ordinary skill in the art.
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`27.
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`It has further been explained to me by counsel for Patent Owner that
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`the motivation to combine must be more than mere conclusory statements and that
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`a generic motivation to combine known elements is insufficient to establish
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`obviousness. I understand that the motivation to combine prior art references must
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`be identified in the Petition.
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`28.
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`I understand that when the prior art “teaches away” from combining
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`prior art references or certain known elements, discovery of a successful means of
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`combining them is less likely to be obvious. A prior art reference may be said to
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`“teach away” from a patent when a person of ordinary skill, upon reading the
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`reference, would be discouraged from following the path set out in the patent or
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`would be led in a direction divergent from the path that was taken by the patent.
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`29.
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`I understand that in developing opinions as to whether or not certain
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`claimed subject matter would have been obvious, each claim of a given patent should
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`be considered in its entirety and separately from any other claims. In so doing, it is
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`my further understanding that while I should consider any differences between the
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`claimed invention and the prior art, I should also assess the obviousness or non-
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`obviousness of the entirety of a claim covering an alleged invention, not merely
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`some portion of it.
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`IV. PERSON OF ORDINARY SKILL IN THE ART
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`30.
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`I understand that my interpretation of the patent claims and my validity
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`analysis must be undertaken from the perspective of a hypothetical person of
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`ordinary skill in the art at the time of the claimed inventions or POSITA. In
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`determining the characteristics of a hypothetical person having ordinary skill in the
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`art of the asserted patents at the time of the claimed inventions, I considered several
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`things, including the type of problems encountered in the art, the solutions to those
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`problems, the rapidity with which innovations are made, the sophistication of the
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`technology, and the education level and experience of people working in the field.
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`It has further been explained to me by counsel for Patent Owner that the relevant
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`timeframe is in or around September 13, 2005.
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`31. Based on my experience, it is my opinion that a person of ordinary skill
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`in the art at the time of the invention of the Asserted Patent would have had a
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`Bachelor’s Degree in Computer Science or a related field, and two years of
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`experience working in the field of computer graphics or graphical user interfaces or
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`GUIs. An individual with less technical education but more experience, or vice
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`versa, could also qualify as a person of ordinary skill in the art.
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`32. Given my education and professional experience described above and
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`in my curriculum vitae, I am in a position to opine on the understanding of a person
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`of ordinary skill in the art of the ‘048 patent.
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`V. THE '048 PATENT
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`A. Description of The Patented Invention
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`33. The ‘048 Patent provides “an improved three-dimensional graphical
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`user interface.” According to the specification, “[b]ecause the 3D GUI creates the
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`illusion of infinite space in 3D, it can create a visual history of the user’s computing
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`session, whereby the user can visit past visual computing events (or a snapshot in
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`time) by simply navigating to previously recorded states or viewpoints.” EX1001 at
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`5:6-11.2
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`34. The specification describes several ways of presenting and interacting
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`with information in 3D space. The ‘048 Patent, however, focuses on one way, where
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`images of webpages are presented in 3D space, and individual webpages are
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`interacted with, one at a time, in 2D space. In particular, Claim 1 of the ‘048 Patent
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`provides, in part, a 3D GUI where objects are displayed in chronological sequence
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`wherein (1) a user provides at least first and second web addresses, (2) corresponding
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`first and second webpages are received and rendered, (3) images of the rendered
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`webpages are captured and textured onto first and second objects, respectively, and
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`(4) the first and second objects (with images of the first and second webpages) are
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`then presented in 3D space, with the first object (i.e., with the first image of the first
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`website that was requested) being displayed in the foreground of the 3D space and
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`the second object (i.e., with the second image of the second website that was
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`2 Note that my citations to non-patent literature throughout this Declaration refer to
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`the page number added to the exhibit (and not the original page number of the
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`document). For patents or patent publications, I’ve used the column/line numbers
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`or paragraph numbers, respectively. Unless indicated otherwise, I have added all
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`emphasis (bold/italics/underline) in any quoted text.
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`requested) being displayed in the background of the 3D space. EX1001 at 37:49–
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`38:17. Claim 6 provides for a third object (i.e., with a third image of the third website
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`that was requested) being displayed in a further background of the 3D space, behind
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`the second object. Id. at 38:43-54.
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`35.
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`In the embodiment of Claim 1, when the user interacts with the first
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`image, a window is presented to the user in 2D space, where the window in 2D space
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`(a) replaces the plurality of objects (or images) in 3D space and (b) includes the
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`rendered first webpage (i.e., the previously rendered webpage, from which the first
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`image was captured). EX1001 at 38:6–38:17 (Claim 1). The user can then interact
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`with (click on) links embedded within the rendered first webpage to acquire
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`additional information, where the additional information is rendered and displayed
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`in the window within the 2D space. Id. Claim 2 further provides that an image of
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`the rendered additional information is captured and textured onto the first object,
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`thereby replacing the first image on the first object in the 3D space. Id. at 38:18-27.
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`36. A critical feature of the present invention is presenting images of
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`webpages in 3D space and, when the user interacts with a particular image,
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`presenting the corresponding webpage in 2D space, thereby (1) replacing the
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`plurality of images and (2) allowing the user to interact with the webpage to acquire
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`additional information. Not only does this allow the user to go back and forth
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`between 3D space, where images are presented, and 2D space, where individual,
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`active webpages are presented, but it does so in a way so that “the user can visit past
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`visual computing events (or snapshots in time) by simply navigating to previously
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`recorded states or viewpoints.” EX1001 at 5:6-13. Those skilled in the art would
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`have understood that this is accomplished by presenting the images chronologically
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`in 3D space, where each image matches or “mirrors” where the user last left off in
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`2D space.
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`1.
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`Chronological Presentation of Images in 3D Space
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`37. A feature of the ‘048 Patent is to provide “a visual history of the user’s
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`computing session.” EX1001 at 5:6-11; see also EX2001 at [56-57]. To this end,
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`the specification provides that “depth (z) … is also known as time” and that “[t]his
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`notion of expressing depth or time in a visual computing metaphor is important for
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`the creation of a visual history of the end user’s computer sessions.” EX1001 at
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`2:14-20. By plotting images of webpages in 3D space, where the first webpage is
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`presented in the foreground, a second webpage is presented in a background, behind
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`the first image, a third webpage is presented further in the background, behind the
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`second image, and so forth, “the 3D GUI can function as a visual chronological
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`history of the user’s computing session.” Id. at 5:6-13.
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`38. This can be seen in Figure 11 of the ‘048 Patent (reproduced below),
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`where “an end user types http://www.yahoo.com … [and] the application then draws
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`the HTML page through the proper web browser control into the 3D virtual space as
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`depicted” (i.e., 510). EX1001 at 29:23-38. “This process can be repeated
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`indefinitely, entering additional URLs … to have them filed in a 3D stack.” Id.
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`“Four webpages (510, 512, 514, 516) are created in a 3D GUI virtual space having
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`sequentially typed in http://www.yahoo.com followed by a carriage return,
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`http://www.google.com followed by a carriage return, http://www.ebay.com
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`followed by a carriage return and then http://www.msn.com followed by a carriage
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`return.” Id.
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`Figure 11 of the ‘048 Patent
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`39. The process of presenting the webpages (or images thereof) in
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`chronological order is described at col. 17, ll. 45-54 of the ‘048 Patent:
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`The system as a default draws each new webpage in what we call a “3D
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`stack” (i.e., a stack visualized in 3D, sometimes referred to as a 3D
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`stack) as shown where each new webpage occupies an x,y,z coordinate
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`similar to the position of the existing webpage, except it is drawn
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`further into the distance along the z axis (where it appears smaller from
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`the given perspective) and is translated on the x or y or both x, y axis to
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`allow the end user to see multiple webpages from any given
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`perspective.
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`40. Using this system, where “a position of depth (z) [is] known as time …
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`it is possible to create a visual history of the end user’s computing session by plotting
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`new output in a new position further along the (z) axis.” EX1001 at 20:15-32.
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`“Because the 3D GUI creates the illusion of infinite space in 3D, it can create a
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`visual history of the user’s computing session, whereby the user can visit past visual
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`computing events (or a snapshot in time) by simply navigating [along the z-axis] to
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`previously recorded states.” Id. at 25:55-59. “This way the end user can visit past
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`visual computing moments in time.” Id. at 2:62-63; see also id. at 22:15-16 (“This
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`way, the 3D GUI lets one travel back (visually) in computing time.”).
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`2. Mirroring 2D and 3D Space
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`41.
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`In providing “a visual history of the user’s computing session” (id. at
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`5:6-11), the images are not only plotted chronologically but updated to reflect
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`interactions with the active webpage. See, e.g., EX1001 at 8:27-30 (“the program
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`will redraw the scene to reflect the user-initiated input”). This “updating” takes
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`place “in cyclical fashion to create a real time experience of interacting with said
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`operating system controls or operating system output.” Id. at 25:9-22.
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`42. This can be seen in annotated Figure 3 of the ‘048 Patent, which is
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`reproduced below. A user request (e.g., for a webpage) is captured and transferred
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`to the 2D desktop (124, 126) and an image is captured (146), stored (148), and
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`presented in 3D space (142). User-interactions are then passed to the 2D
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`environment (152) and the results (e.g., displaying additional information) are then
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`captured (146), stored (148), and presented in 3D space (142). This process is
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`repeated (156) as necessary, in a cyclical fashion.
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`Figure 3 of the ‘048 Patent
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`43.
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`In describing this process, the specification provides that “the
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`application will transfer and initiate user requests from the 3D virtual space to 2D
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`desktop … by simulating/emulating or reproducing the request or device input from
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`event handler off-screen onto the hidden 2D mirror component and capturing the
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`response or change in output from the 2D mirror again in synchronous fashion and
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`mapping it back to arbitrary 3D geometry.” EX1001 at 24:24-40 (emphasis added).
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`“In doing so, the GUI system redraws the 3D virtual space in a cyclical fashion to
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`reflect the changes of content and perspective within the 3D space based on the end
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`user’s input.” Id. at 35:25-30. This updating is necessary to present an accurate
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`“visual history of where the user last left off” when viewing images in 3D space. Id.
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`at 20:33-39.
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`44. This feature is described in Claim 1, where “displaying … the first
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`webpage … [and] the second webpage … in 3D space compris[es]: rendering the
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`first and second webpages; capturing first and second images of … the first
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`webpage and … the second webpage, respectively; and texturing the first image on
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`the first object and the second image on the second object [in 3D space], the first
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`object being displayed in a foreground of the 3D space and the second object being
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`displayed in a background of the 3D space.” EX1011 at 37:57-38:3 (emphasis
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`added).
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`45.
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`If the user int