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`———————
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`———————
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`LG ELECTRONICS, INC., LG ELECTRONICS U.S.A, INC.,
`Petitioner
`
`U.S. Patent No. 9,510,040
`
`_____________________
`
`DECLARATION OF ANDREW LIPPMAN,
`UNDER 37 C.F.R. § 1.68 IN SUPPORT OF PETITION FOR
`INTER PARTES REVIEW
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`EX. 1003
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`Dr. Lippman Declaration
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`Inter Partes Review of U.S. 9,510,040
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`TABLE OF CONTENTS
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`I.
`
`II.
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`Introduction ...................................................................................................... 4
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`Qualifications and Professional Experience .................................................... 5
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`III. Level of Ordinary Skill in the Art ................................................................... 9
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`IV. Relevant Legal Standards .............................................................................. 10
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`V.
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`The ’040 Patent .............................................................................................. 11
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`A. Overview of the ’040 Patent ................................................................ 11
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`B.
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`File History of the ’040 Patent ............................................................ 15
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`VI. Claim Construction ........................................................................................ 16
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`A.
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`“at least one” ....................................................................................... 16
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`VII.
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`Identification of how the Claims are Unpatentable ....................................... 18
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`A. Ground 1: Claims 1-5, 11-15, and 21 are obvious over Kim in view of
`Lee-1 and Choi. ................................................................................... 18
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`1.
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`2.
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`3.
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`4.
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`5.
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`6.
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`7.
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`8.
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`9.
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`Summary of Kim ..................................................................... 19
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`Summary of Lee-1 ................................................................... 23
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`Summary of Choi ..................................................................... 24
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`Reasons to Combine Kim and Lee-1 ....................................... 25
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`Reasons to Combine Choi and Kim ........................................ 26
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`Claim 1 ..................................................................................... 28
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`Claim 2 ..................................................................................... 91
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`Claim 3 ..................................................................................... 97
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`Claim 4 ..................................................................................... 98
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`10.
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`Claim 5 ................................................................................... 114
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`
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`2
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`11.
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`12.
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`13.
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`14.
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`15.
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`16.
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`Claim 11 ................................................................................. 118
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`Claim 12 ................................................................................. 121
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`Claim 13 ................................................................................. 122
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`Claim 14 ................................................................................. 123
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`Claim 15 ................................................................................. 123
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`Claim 21 ................................................................................. 124
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`B.
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`Ground 2: Claims 2-3, 6, 12-13, 16, and 22 are obvious over Kim in
`view of Lee-1, Choi, and Lee-2......................................................... 128
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`1.
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`2.
`
`3.
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`4.
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`5.
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`6.
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`7.
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`8.
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`9.
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`Summary of Lee-2 ................................................................. 128
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`Reasons to Combine Kim and Lee-2 ..................................... 132
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`Claim 2 ................................................................................... 133
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`Claim 3 ................................................................................... 141
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`Claim 6 ................................................................................... 142
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`Claim 12 ................................................................................. 153
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`Claim 13 ................................................................................. 154
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`Claim 16 ................................................................................. 154
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`Claim 22 ................................................................................. 155
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`VIII. Conclusion ................................................................................................... 156
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`3
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`Dr. Lippman Declaration
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`Inter Partes Review of U.S. 9,510,040
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`I, Andrew Lippman, do hereby declare as follows:
`
`I.
`
`INTRODUCTION
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`1.
`
`I am making this declaration at the request of LG Electronics, Inc. in
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`the matter of the Inter Partes Review of U.S. Patent No. 9,510,040 (“the ’040
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`patent”) to Selim et al.
`
`2.
`
`I am being compensated for my work in this matter at my standard
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`hourly rate. I am also being reimbursed for reasonable and customary expenses
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`associated with my work and testimony in this investigation. My compensation is
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`not contingent on the outcome of this matter or the specifics of my testimony.
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`3.
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`I have been asked to provide my opinions regarding whether claims 1-
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`6, 11-16, and 21-22 (“the Challenged Claims”) of the ’040 patent are unpatentable
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`as they would have been obvious to a person having ordinary skill in the art
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`(“POSITA”) at the time of the alleged invention, in light of the prior art. It is my
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`opinion that all of the elements of the Challenged Claims would have been obvious
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`to a POSITA.
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`4.
`
`a.
`b.
`
`Ex.1002;
`c.
`d.
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`
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`In the preparation of this declaration, I have studied:
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`the ’040 patent, Ex.1001;
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`the prosecution history of the ’040 patent (“’040 File History”),
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`U.S. Patent Pub. No. 2012/0054794 to Kim et al. (“Kim”), Ex.1005;
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`U.S. Patent No. 9,008,190 to Lee et al. (“Lee-1”), Ex.1006;
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`4
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`e.
`f.
`g.
`5.
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`U.S. Patent Pub. No. 2013/0057764 to Choi et al. (“Choi”), Ex.1007;
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`U.S. Patent No. 9,398,339 to Lee et al. (“Lee-2”), Ex.1010; and
`
`
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`U.S. Patent Pub. No. 2013/0176415, Ex.1011.
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`In forming the opinions expressed below, I have considered: the
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`documents listed above; the relevant legal standards, including the standard for
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`obviousness; and my own knowledge and experience based upon my work in the
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`field of televisions as described below, and any additional authoritative documents
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`as cited in the body of this declaration.
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`6.
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`Unless otherwise noted, all emphasis in any quoted material has been
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`added.
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`II. QUALIFICATIONS AND PROFESSIONAL EXPERIENCE
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`7. My qualifications and professional experience are described in my
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`Curriculum Vitae, a copy of which can be found in Exhibit 1004. The following is
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`a brief summary of my relevant qualifications and professional experience.
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`8.
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`I earned my undergraduate degree in Electrical Engineering from MIT
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`in 1971. I earned a Master of Science degree in Computer Graphics from MIT in
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`1978. I earned a Ph.D. in Electrical Engineering from the École Polytechnique
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`Fédérale de Lausanne (Switzerland) in 1995. My thesis was on scalable video, a
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`technique for representing visual data in a fluid and variable networking and
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`processing environment, similar to what we call streaming today.
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`9.
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`I am currently a Senior Research Scientist at the Massachusetts
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`
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`5
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`Institute of Technology (“MIT”) and Associate Director of the MIT Media
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`Laboratory, an approximately $80 million per year research and teaching facility at
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`MIT, which I helped establish in the early 1980s.
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`10. At MIT, I have supervised over 50 Masters and Ph.D. theses in the
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`Media Arts and Sciences program and have taught courses such as Digital Video
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`and MIT’s freshman physics seminar. Through the course of my career, I have
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`directed and served as principal investigator of research projects supported by the
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`Defense Advanced Research Projects Agency (DARPA), the Office of Naval
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`Research (ONR), The National Science Foundation (NSF), and over 50 industrial
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`companies. I have never precisely calculated my net research volume, but it is in
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`excess of $50 million.
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`11.
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`I am named as an inventor on six patents in the area of video and
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`digital processing and have served on the advisory boards for technology
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`companies in fields ranging from video conferencing to music analysis. I have
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`authored or coauthored over 65 published papers in the fields of interactivity,
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`communications, video coding, and television. I served on the editorial board of
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`the Image Communication Journal between 1989 and 2003. I have served as an
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`expert witness in patent cases since 2001, addressing diverse features of interactive
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`television, electronic program guides, and user interaction.
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`12.
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`I have worked generally on video interaction systems since the 1970s.
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`
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`6
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`In the early 1970s, I developed font representations that permitted high quality
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`display of text on standard broadcast television receivers. In 1978, I directed a
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`DARPA-funded project called the “Movie-Map” that used computing and optical
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`video and image storage to create an “experiential map” that featured “surrogate
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`travel,” the ability to recreate the visual experience of traveling through a real
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`place, a city. This is similar to Google’s Street-View and mapping systems.
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`13.
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`In the 1980s, I was principal investigator of Office of Naval Research
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`funded programs in video and graphics computer systems for interactive learning
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`dedicated to maintenance and repair. I also developed networked video
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`communications systems that included scripting languages for specifying
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`audiovisual content and representing it on various monitoring terminals.
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`14.
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`In 1991, I created the “Media Bank” program at MIT, the purpose of
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`which was to allow a diverse set of networked devices to access appropriate forms
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`of content for which they had the bandwidth and processing power to display. This
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`entailed maintaining state information about terminal devices at a server and using
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`that to determine the best representation of the audiovisual material to deliver to
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`them. In addition, it included and developed cryptographic distribution methods
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`that ensured secure delivery of information on the network. Related to this work, I
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`also supervised Masters theses on networked distribution of video and coding
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`specifically for diverse uses on the Internet. My colleagues and I created
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`
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`7
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`demonstrations of interactive television systems for news that combined the
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`evening newscast with additional data from print sources so the viewer could learn
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`more about the story than was available in the live broadcast.
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`15. Also in 1991, I created the Television of Tomorrow program at MIT.
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`This program addressed the digital representation and delivery of video at diverse
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`scales and through diverse networks. This program built on work on scalable
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`representations of images that were standards-independent and interactive.
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`16.
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`In 1993, I was invited to be a member of Robert Kahn’s “Cross
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`Industry Working Group” the goal of which was to develop the ideas for a
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`National Information Infrastructure. At DARPA, Kahn had initiated the research to
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`develop the Arpanet and the Internet. Throughout this period, my students and I
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`worked on distributed interactive systems for consumer use (television, electronic
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`newspapers, learning) including the basic technology of the network and the client-
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`server interactions.
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`17.
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`I was a member of the Motion Picture Experts Groups, an ISO
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`standards committee effort that defined the standards for common distribution of
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`“MP3” music and storage and distribution of “MPEG Video.” I co-wrote the paper
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`defining the requirements for the MPEG-2 standard with Okubo and McCann in
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`1995. MPEG standards remain the predominant encoding for distribution of digital
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`video to this day. I was also the principal investigator on industry-funded programs
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`
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`8
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`addressing digital motion pictures — the “Movies of the Future” program at MIT,
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`
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`and high definition television, “Television of Tomorrow.” At MIT, I created the
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`“Digital Life” consortium, the purpose of which was to explore and develop ideas
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`relevant to an Internet-connected society.
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`III. LEVEL OF ORDINARY SKILL IN THE ART
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`18.
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`I understand there are multiple factors relevant to determining the
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`level of ordinary skill in the pertinent art, including (1) the levels of education and
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`experience of persons working in the field at the time of the invention; (2) the
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`sophistication of the technology; (3) the types of problems encountered in the field;
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`and (4) the prior art solutions to those problems.
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`19. A person of ordinary skill in the art (“POSITA”) in the field of the
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`’040 patent, as of its earliest possible filing date of August 17, 2012, would have
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`been someone knowledgeable about and familiar with the television display
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`technology that is pertinent to the ’040 patent. A POSITA would have had a
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`bachelor’s degree in Electrical Engineering, Software Engineering, or Computer
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`Engineering, or equivalent training, and approximately two years of experience
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`working in the field of television systems and networking, human-computer
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`interaction, or related technologies. Lack of work experience can be remedied by
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`additional education, and vice versa.
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`20. For purposes of this Declaration, in general, and unless otherwise
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`
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`9
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`noted, my statements and opinions, such as those regarding my experience and the
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`
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`understanding of a POSITA generally (and specifically related to the references I
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`consulted herein), reflect the knowledge that existed in the field as of the priority
`
`date of the ’040 patent. Unless otherwise stated, when I provide my understanding
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`and analysis below, it is consistent with the level of a POSITA prior to the priority
`
`date of the ’040 patent.
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`IV. RELEVANT LEGAL STANDARDS
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`21.
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`I am not an attorney. In preparing and expressing my opinions and
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`considering the subject matter of the ’040 patent, I am relying on certain basic
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`legal principles that counsel have explained to me. These principles are discussed
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`below.
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`22.
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`I understand that prior art to the ’040 patent includes patents and
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`printed publications in the relevant art that predate the priority date of the alleged
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`invention recited in the ’040 patent. For purposes of this Declaration, I am
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`applying August 17, 2012 as the earliest possible priority date of the ’040 patent.
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`23.
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`I have been informed that a claimed invention is unpatentable under
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`35 U.S.C. § 103 if the differences between the invention and the prior art are such
`
`that the subject matter as a whole would have been obvious at the time the
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`invention was made to a person having ordinary skill in the art to which the subject
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`matter pertains. I have also been informed by counsel that the obviousness analysis
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`10
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`takes into account factual inquiries including the level of ordinary skill in the art,
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`
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`the scope and content of the prior art, and the differences between the prior art and
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`the claimed subject matter.
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`24.
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`I have been informed by counsel that the Supreme Court has
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`recognized several rationales for combining references or modifying a reference to
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`show obviousness of claimed subject matter. Some of these rationales include the
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`following: (a) combining prior art elements according to known methods to yield
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`predictable results; (b) simple substitution of one known element for another to
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`obtain predictable results; (c) use of a known technique to improve a similar device
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`(method, or product) in the same way; (d) applying a known technique to a known
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`device (method, or product) ready for improvement to yield predictable results; (e)
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`choosing from a finite number of identified, predictable solutions, with a
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`reasonable expectation of success; and (f) some teaching, suggestion, or motivation
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`in the prior art that would have led one of ordinary skill to modify the prior art
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`reference or to combine prior art reference teachings to arrive at the claimed
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`invention.
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`V. THE ’040 PATENT
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`A. Overview of the ’040 Patent
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`25. The ’040 patent is directed to “methods and systems of displaying
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`content on a television.” ’040 patent, abstract. The ’040 patent states that “[t]here
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`11
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`is a need for an Intelligent TV with intuitive user interfaces and with seamless user
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`
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`interaction capability.” ’040 patent, 2:30-31. The purported solution to this need is
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`a user interface that provides a panel listing several content sources represented by
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`icons and text from which a user may select. With reference to Figure 15C,
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`reproduced below, “[t]he global panel 1404 may include one or more sources
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`represented by icons and text, or shortcuts, 1504A-E.” Ex.1001, 30:27-28. “[E]ach
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`icon and text 1504A-E may be associated with one or more sources of content.”
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`Ex.1001, 30:30-32.
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`Ex.1001, Fig. 15C (annotated).
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`26.
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`In the above figure, the global panel 1404 includes icon and text
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`
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`12
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`1504A “associated with Live TV application 452” representing a “live television
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`source,” icon and text 1504B “associated with video on demand 456” representing
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`a “video on demand source,” icon and text 1504C “associated with media center
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`application 460” representing a “media center source,” icon and text 1504D
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`“associated with application center application 464” representing an “applications
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`source,” and icon and text 1504E “associated with one or more sources of content,
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`either internal or external” representing an “electrical input associated with the
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`television.” Ex.1001, 30:32-39.
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`27. The global panel 1404 includes information related to content, such as
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`“information related to a displayed image and/or content (e.g., title, date/time,
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`audio/visual indicator, rating, and genre).” ’040 patent, 25:41-44; see also ’040
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`patent, 27: 29-31 (“suitable information about the content (such as name, duration,
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`and/or remaining viewing duration of content).”); Ex.1001, 30:57-64 (“for Live TV
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`a program name and/or current program playing may be displayed; for on demand
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`a name of the media and/or media that is currently on VOD may be displayed; for
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`media center, a name of the media and/or media that is currently on, and/or names
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`of videos or albums may be displayed; for application center, a name of the
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`application and/or the application that is currently playing may be displayed; and
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`for inputs, custom names may be displayed.”)
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`28. The “global panel” may also highlight a source with an indicator upon
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`a user selection and/or indication. For example, the global panel 1404 may use an
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`indicator 1512 comprising a box positioned around the icon and text 1504B to
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`highlight a “video on demand source,” as shown in the figure above. The indicator
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`1512 may also be “moved to a different source.” Ex.1001, 32:9-12. The ‘040
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`patent additionally explains, instead of using a box, “other methods or
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`configuration which provide for icon selection and/or identification may be used.”
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`Ex.1001, 30:44-46. For example, ways to highlight may include adjusting color,
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`shade, hue, or displayed size of the respective icon and text to make the icon and
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`text visually different. See Ex.1001, 30:47-51.
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`29. Representative independent claim 1 is shown below.
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`14
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`B.
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`File History of the ’040 Patent
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`30. The ’040 patent was filed on August 24, 2015. It claims priority to a
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`series of provisional applications, the earliest of which was filed on August 17,
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`2012.
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`31.
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`In a first Office Action dated January 14, 2016, the Examiner rejected
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`the claims as unpatentable over U.S. Patent Publication No. 2005/0097622 to
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`Zigmond in view of U.S. Patent No. 7,152,236 to Wugofski. Ex. 1002, 127-136.
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`The Applicant then amended all three independent claims, exemplified by the
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`amended to independent claim 23 shown below:
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`32. The Applicant then argued that Wugofski “provide[s] only two
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`sources of content – a live television channel and a web source” and fails to show
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`the claimed five sources. Ex. 1002, 120. The Examiner allowed the claims based
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`on this distinction. Ex. 1002, 84-86. The Applicant later submitted an Amendment
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`After Allowance pursuant to 37 CFR §1.312 to clarify certain ambiguity in the
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`claims. Ex. 1002, 33-43.
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`33. However, for the reasons explained below, a global panel including all
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`five sources of content, as well as the other claim limitations of the ’040 patent,
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`were well-known in the art.
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`VI. CLAIM CONSTRUCTION
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`34.
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`It is my understanding that in order to properly evaluate the ’040
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`patent, the terms of the claims must first be interpreted. It is my understanding that
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`for the purposes of this inter partes review, the claims are to be construed under
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`the so-called Phillips standard, under which claim terms are given their ordinary
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`and customary meaning as would be understood by one of ordinary skill in the art
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`in light of the specification and prosecution history, unless the inventor has set
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`forth a special meaning for a term. I have also been informed that claim terms only
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`need to be construed to the extent necessary to resolve the obviousness inquiry.
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`35.
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`I have reviewed the entirety of the ’040 patent, as well as its
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`prosecution history. In my opinion, for purposes of applying the prior art presented
`
`herein to evaluate patentability, the claim terms do not require express
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`construction. I have applied the so-called Phillips standard, which requires that
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`claim terms are given their ordinary and customary meaning as would have been
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`understood by a POSITA in light of the specification and prosecution history,
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`
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`unless the inventor has set forth a special meaning for a term.
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`36.
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`In fact, the ’040 patent provides explicit definitions for various terms
`
`and phrases, including various claim terms of the Challenged Claims. For example,
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`from column 3, line 49 to column 10, line 37, the ’040 patent lists certain terms
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`and provides explicit definitions and context for these terms, which include various
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`claim terms of the Challenged Claims. My analysis of the prior art presented herein
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`takes into account and is consistent with the definitions and context provided in the
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`’040 patent for terms in the Challenged Claims. One example of a claim term
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`definition is described below:
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`A.
`
`“at least one”
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`37. Claims 1, 6, 11, 21, 22 each recite the phrase “at least one.”
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`38.
`
`I note that in the ’040 patent, the inventor provided a special meaning
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`for the term “at least one.”
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`Ex.1001, 3:49-56.
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`39. Accordingly, in view of the express definition provided in the ’040
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`patent, a claim limitation that recites a list of “at least one” items is met by
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`teaching any item in that list alone or together with any other items in that same
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`list.
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`VII. IDENTIFICATION OF HOW THE CLAIMS ARE UNPATENTABLE
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`40.
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`I have been asked to provide my opinion as to whether the Challenged
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`Claims of the ’040 Patent would have been obvious in view of the prior art. The
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`discussion below provides a detailed analysis of how the prior art references
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`identified below teach the elements of the Challenged Claims of the ’040 patent.
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`As part of my analysis, I have considered the scope and content of the prior art and
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`any differences between the alleged invention and the prior art. I describe in detail
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`below the scope and content of the prior art, as well as any differences between the
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`alleged invention and the prior art, on an element-by-element basis for each
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`Challenged Claims of the ’040 patent.
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`41. As described in detail below, the alleged invention of the Challenged
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`Claims would have been obvious in view of the teachings of the identified prior art
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`references as well as the knowledge of a POSITA. I rely on various documents to
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`show the background knowledge of a POSITA.
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`A. Ground 1: Claims 1-5, 11-15, and 21 are obvious over Kim in view
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`Dr. Lippman Declaration
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`of Lee-1 and Choi.
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`1.
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`Summary of Kim
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`Inter Partes Review of U.S. 9,510,040
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`42. The primary reference that I rely upon is U.S. Patent Publication No.
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`2012/0054794 to Kim et al. (Ex.1005, “Kim”), which was filed on March 9, 2011,
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`claims priority to Provisional application No. 61/379,369, filed on September 1,
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`2010, and published on March 1, 2012.
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`43. Like the ’040 patent, Kim relates to “[a] multifunctional display
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`device and a method of controlling the same” for providing “an interactive content
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`service.” Ex.1005, Abstract, [0037]. Kim describes controlling the content of an
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`image display apparatus, such as a smart TV:
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`The image display apparatus 100 may be, for example, a network TV,
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`a smart TV, an HbbTV, or another appropriate multifunctional display
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`device. The image display apparatus 100 may include, for example, a
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`broadcast interface 101, a section filter 102, an Application Information
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`Table (AIT) filter 103, an application data processor 104, a broadcast
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`data processor 111, a media player 106, an IP processor 107, an Internet
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`interface 108, and a runtime module 109. The image display apparatus
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`100 may receive AIT data, real-time broadcast content, application
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`data, and stream events through the broadcast interface 101. The
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`realtime broadcast content may be referred to as a linear Audio/Video
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`(A/V) content.
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`Ex.1005, [0038].
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`44. Kim describes a “controller 170 [that] may control the image display
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`19
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`apparatus 100 according to a user command received through the user input
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`interface 150.” Ex.1005, [0090]. Kim further describes controlling the content of
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`the image display apparatus 100 (smart TV) based on user input entered via a
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`remote control (remote controller 200) that communicates wirelessly (e.g., via
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`radiofrequency (RF) and infrared (IR)) with the controller 170:
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`The user input interface 150 transmits a signal received from the user
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`to the controller 170 or transmits a signal received from the controller
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`170 to the user. For example, the user input interface 150 may receive
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`various user input signals such as a power-on/off signal, a channel
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`selection signal, and a screen setting signal from a remote controller
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`200 or may transmit a signal received from the controller 170 to the
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`remote controller 200, according to various communication schemes,
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`for example, RF communication and IR communication.
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`Ex.1005, [0086].
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`For example, the user input interface 150 may provide the controller
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`170 with user input signals or control signals received from local keys,
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`such as inputs of a power key, a channel key, and a volume key, and
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`setting values. Also, the user input interface 150 may transmit a control
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`signal received from a sensor that senses a user gesture to the controller
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`170 or transmit a signal received from the controller 170 to the sensor.
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`The sensor may include a touch sensor, a voice sensor, a position
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`sensor, a motion sensor, or another appropriate type of sensor.
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`Ex.1005, [0087].
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`The remote controller 200 may transmit a user input to the user input
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`interface 150. For transmission of user input, the remote controller 200
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`may use various communication techniques such as Bluetooth, RF
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`communication, IR communication, UWB, ZigBee, or another
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`appropriate communication protocol.
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`Ex.1005, [0112].
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`45. Kim’s image display apparatus 100 (smart TV) displays “a Graphical
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`User Interface (GUI) in the form of an OSD [On Screen Display].” Ex.1005,
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`[0060]. A variety of information and content can be displayed on this OSD:
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`The OSD generator 340 may generate an OSD signal autonomously or
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`based on to user input. For example, the OSD generator 340 may
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`generate signals by which a variety of information is displayed as
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`images or text on the display 180, according to control signals received
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`from the user input interface 150. The OSD signal may include various
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`data such as a UI, a variety of menu screens, widgets, icons, etc. For
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`example, the OSD generator 340 may generate a signal by which
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`subtitles are displayed with a broadcast image or Electronic Program
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`Guide (EPG)-based broadcasting information.
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`Ex.1005, [0137].
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`46. The remote control 200 can interact with the OSD by transmitting
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`“various user input signals such as a power-on/off signal, a channel selection
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`signal, and a screen setting signal from [the] remote controller 200” to a “user
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`input interface 150.” Ex.1005, [0086]. For example, Kim explains that the “user
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`input interface 263 may receive various control signals such as a power on/off
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`signal, an operation input signal, or a setting input signal through activation of a
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`local key or the remote controller 200.” Ex.1005, [0122]. These local keys on
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`Kim’s remote control can be used to control or change the information displayed
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`on the OSD. Ex.1005, [0192] (describing a home key for displaying a home
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`screen), [0193]-[0217] (describing using the remote control key to select and
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`display various card objects that include or can access different types of content).
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`47. For example, Kim’s remote control can be used to access, and cause
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`to be displayed on the image display apparatus 100 (smart TV), a home screen with
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`different types of content sources and corresponding content information. Ex.1005,
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`[0094], [0192], Fig. 19.
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`Ex.1005, Fig. 19.
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`2.
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`Summary of Lee-1
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`48. U.S. Patent No. 9,008,190 to Lee et al. (Ex.1006, “Lee-1”) was filed
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`on January 4, 2010, and issued on April 14, 2015.
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`49. Lee-1 provides additional details regarding the thumbnails described
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`by Kim. Kim cites to and incorporates by reference “application Ser. No.
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`127651,730,” which is filed herein as Ex.1006 (“Lee-1”). Ex.1005, [0106]. In
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`particular Kim incorporates Lee-1’s “[e]xamples of thumbnails and methods of
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`using the same.” Ex.1005, [0106]. Regarding methods of using thumbnails, Lee-1
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`discloses that a “disp