UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`
`ARRIS GROUP, INC.
`Petitioner
`
`v.
`
`TQ DELTA, LLC
`Patent Owner
`
`
`
`U.S. PATENT NO. 8,238,412
`
`
`
`DECLARATION OF LANCE MCNALLY
`
`
`
`1
`
`
`
`

`
`
`
`Table of Contents
`I.
`Introduction .......................................................................................................... 5
`List of documents I considered in forming my opinions ...............................21
`II.
`III. Background and Qualifications ......................................................................21
`IV. Person of ordinary skill in the art (POSA) .....................................................25
`V. Relevant Legal Standards ...............................................................................26
`VI. The State of the Art ........................................................................................28
`A. Overview of Diagnostic and Testing Techniques .......................................28
`B. Overview of Link Protocols ........................................................................29
`C. Overview of Multicarrier Modulation Techniques .....................................31
`D. Historical Background and Implementations of Discrete Multi-Tone
`(DMT) ..................................................................................................................32
`E. Relative and Absolute Measurements - Signal Levels and Gains ..............34
`F.
`Simple Network Management Protocol (SNMP) .......................................35
`G. Overview of U.S. Patent No. 4,679,227 (‘227 Patent) ................................38
`H. Overview of U.S. Patent No. 4,438,511 (‘511 Patent) ................................39
`I. Overview of U.S. Patent No. 5,838,268 (’268 Patent) ................................39
`J. Overview of U.S. Patent No. 6,219,378 (‘378 Patent) ................................40
`K. Overview of TR-024 ...................................................................................40
`VII. Overview of U.S. Patent No. 8,238,412 (‘412 Patent) ................................41
`VIII. Claims 1, 3, 5. 7, 9, 11, and 16-21 of the ‘412 Patent is Obvious over U.S.
`Patent No. 4,679,227 (“’227”) to Hughes-Hartogs in view of U.S. Patent No.
`4,438,511 (“’511”) to Baran and further in view of U.S. Patent No. 5,838,268
`(“’268”) to Frankel ...................................................................................................42
`A. Claim 1 ........................................................................................................42
`
`2
`
`

`
`B. Claim 3 ........................................................................................................45
`C. Claim 5 ........................................................................................................47
`D. Claim 7 ........................................................................................................48
`E. Claim 9 ........................................................................................................49
`F. Claim 11 ......................................................................................................51
`G. Claim 16 ......................................................................................................52
`H. Claim 17 ......................................................................................................55
`I.
`Claim 18 ......................................................................................................58
`J. Claim 19 ......................................................................................................61
`K. Claim 20 ......................................................................................................63
`L. Claim 21 ......................................................................................................65
`IX. Claims 2, 4, 6, 8, 10 and 12 of the ‘412 Patent is Obvious over U.S. Patent
`No. 4,679,227 (“’227”) to Hughes-Hartogs in view of U.S. Patent No. 4,438,511
`(“’511”) to Baran in view of U.S. Patent No. 5,838,268 (“’268”) to Frankel and
`further in view of U.S. Patent No. 6,219,378 (“’378”) to Wu .................................66
`A. Claim 2 ........................................................................................................67
`B. Claim 4 ........................................................................................................67
`C. Claim 6 ........................................................................................................68
`D. Claim 8 ........................................................................................................68
`E. Claim 10 ......................................................................................................69
`F. Claim 12 ......................................................................................................70
`X. Claims 13-15 of the ‘412 Patent is Obvious over U.S. Patent No. 4,679,227
`(“’227”) to Hughes-Hartogs in view of U.S. Patent No. 4,438,511 (“’511”) to
`Baran in view of U.S. Patent No. 5,838,268 (“’268”) to Frankel and further in view
`of ADSL Forum TR-024 ..........................................................................................71
`A. Claim 13 ......................................................................................................71
`B. Claim 14 ......................................................................................................78
`
`3
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`

`
`C. Claim 15 ......................................................................................................80
`
`C. Claim 15 .................................................................................................... ..8O
`
`
`
`4
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`

`
`I.
`1.
`
`Introduction
`I am over the age of eighteen (18) and otherwise competent to make this
`
`declaration.
`
`2.
`
`I have been asked to provide assistance, if needed, to the Patent Trial and
`
`Appeal Board of the United States Patent and Trademark Office in its
`
`consideration of the ‘412 Patent and the references that are cited in support
`
`of the petition for inter partes review of the ‘412 Patent. I am being
`
`compensated for my time at $105.00 per hour, which is not dependent upon
`
`the outcome of this inter partes review or any related litigation.
`
`3.
`
`I have been informed and understand that this Petition for inter partes
`
`review involves Claims 1-21 (collectively “the Challenged Claims”) of U.S.
`
`Patent No. 8,238,412 (the “‘412 Patent”). (Ex. 1001).
`
`4.
`
`I have been informed and understand that the ‘412 Patent issued on August
`
`7, 2012, from U.S. Patent Application No. 12/779,660 (the “‘660
`
`Application”) filed on May 13, 2010, which is a continuation of U.S.
`
`Application No. 12/477,742, filed June 3, 2009, not U.S. Patent 7,835,430,
`
`which is a continuation of U.S. Application No. 10/619,691, filed July 16,
`
`2003, now U.S. Patent 7,570,686, which is a divisional of U.S. Application
`
`No. 09/755,173, filed Jan. 8, 2001, now US. Pat. No. 6,658,052, which
`
`claims the benefit of and priority under 35 USC §119(e) to U.S. Provisional
`
`5
`
`

`
`Application No. 60/224,308, filed August 10, 2000 entitled
`
`“Characterization of transmission lines using broad band signals in a multi-
`
`carrier DSL system,” and US. Provisional Application No. 60/174,865, filed
`
`January 7, 2000 entitled “Multicarrier Modulation System With Remote
`
`Diagnostic Transmission Mode.”
`
`5.
`
`For the purposes of my opinions expressed herein I will use January 7, 2000
`
`as the priority date of the subject matter of the Challenged Claims.
`
`6.
`
`I have been informed and further understand that, according to USPTO
`
`records, the ‘412 Patent is assigned to TQ Delta, LLC.
`
`7.
`
`Claims 1-21 of the ‘412 Patent are reproduced below.
`
`1. A transceiver capable of transmitting test information over a
`
`communication channel using multicarrier modulation comprising:
`
`a transmitter portion capable of transmitting a message,
`
`wherein the message comprises one or more data variables that
`
`represent the test information, wherein bits in the message are
`
`modulated onto DMT symbols using Quadrature Amplitude
`
`Modulation (QAM) with more than 1 bit per subchannel and
`
`wherein at least one data variable of the one or more data
`
`variables comprises an array representing power level per
`
`subchannel information.
`
`6
`
`

`
`2. The transceiver of claim 1, wherein the power level per subchannel
`
`information is based on a Reverb signal.
`
`3. A transceiver capable of receiving test information over a
`
`communication channel using multicarrier modulation comprising:
`
`a receiver portion capable of receiving a message, wherein the
`
`message comprises one or more data variables that represent
`
`the test information, wherein bits in the message were
`
`modulated onto DMT symbols using Quadrature Amplitude
`
`Modulation (QAM) with more than 1 bit per subchannel and
`
`wherein at least one data variable of the one or more data
`
`variables comprises an array representing power level per
`
`subchannel information.
`
`4. The transceiver of claim 3, wherein the power level per subchannel
`
`information is based on a Reverb signal.
`
`5. In a transceiver capable of transmitting test information over a
`
`communication channel using multicarrier modulation, a method
`
`comprising:
`
`transmitting a message, wherein the message comprises one or
`
`more data variables that represent the test information, wherein
`
`bits in the message are modulated onto DMT symbols using
`
`7
`
`

`
`Quadrature Amplitude Modulation (QAM) with more than 1 bit
`
`per subchannel and wherein at least one data variable of the
`
`one or more data variables comprises an array representing
`
`power level per subchannel information.
`
`6. The method of claim 5, wherein the power level per subchannel
`
`information is based on a Reverb signal.
`
`7. In a transceiver capable of receiving test information over a
`
`communication channel using multicarrier modulation, a method
`
`comprising:
`
`receiving a message, wherein the message comprises one or
`
`more data variables that represent the test information, wherein
`
`bits in the message were modulated onto DMT symbols using
`
`Quadrature Amplitude Modulation (QAM) with more than 1 bit
`
`per subchannel and wherein at least one data variable of the
`
`one or more data variables comprises an array representing
`
`power level per subchannel information.
`
`8. The method of claim 7, wherein the power level per subchannel
`
`information is based on a Reverb signal.
`
`8
`
`

`
`9. A non-transitory computer-readable information storage media
`
`having stored thereon instructions that, if executed, cause a
`
`transceiver to perform a method comprising:
`
`transmitting a message, wherein the message comprises one or
`
`more data variables that represent the test information, wherein
`
`bits in the message are modulated onto DMT symbols using
`
`Quadrature Amplitude Modulation (QAM) with more than 1 bit
`
`per subchannel and wherein at least one data variable of the
`
`one or more data variables comprises an array representing
`
`power level per subchannel information.
`
`10. The media of claim 9, wherein the power level per subchannel
`
`information is based on a Reverb signal.
`
`11. A non-transitory computer-readable information storage media
`
`having stored thereon instructions that, if executed, cause a
`
`transceiver to perform a method comprising:
`
`receiving a message, wherein the message comprises one or
`
`more data variables that represent the test information, wherein
`
`bits in the message were modulated onto DMT symbols using
`
`Quadrature Amplitude Modulation (QAM) with more than 1 bit
`
`per subchannel and wherein at least one data variable of the
`
`9
`
`

`
`one or more data variables comprises an array representing
`
`power level per subchannel information.
`
`12. The media of claim 11, wherein the power level per subchannel
`
`information is based on a Reverb signal.
`
`13. A communications system for DSL service comprising a first DSL
`
`transceiver capable of transmitting test information over a
`
`communication channel using multicarrier modulation and a second
`
`DSL transceiver capable of receiving the test information over the
`
`communication channel using multicarrier modulation comprising:
`
`a transmitter portion of the first transceiver capable of
`
`transmitting a message, wherein the message comprises one or
`
`more data variables that represent the test information, wherein
`
`bits in the message are modulated onto DMT symbols using
`
`Quadrature Amplitude Modulation (QAM) with more than 1 bit
`
`per subchannel and wherein at least one data variable of the
`
`one or more data variables comprises an array representing
`
`Signal to Noise ratio per subchannel during Showtime
`
`information; and a receiver portion of the second transceiver
`
`capable of receiving the message, wherein the message
`
`comprises the one or more data variables that represent the test
`
`10
`
`

`
`information, wherein the bits in the message were modulated
`
`onto the DMT symbols using Quadrature Amplitude
`
`Modulation (QAM) with more than 1 bit per subchannel and
`
`wherein the at least one data variable of the one or more data
`
`variables comprises the array representing Signal to Noise
`
`ratio per subchannel during Showtime information.
`
`14. In a communications system for DSL service with a first DSL
`
`transceiver capable of transmitting test information over a
`
`communication channel using multicarrier modulation and a second
`
`DSL transceiver capable of receiving the test information over the
`
`communication channel using multicarrier modulation, a method
`
`comprising:
`
`transmitting a message from the first transceiver, wherein the
`
`message comprises one or more data variables that represent
`
`the test information, wherein bits in the message are modulated
`
`onto DMT symbols using Quadrature Amplitude Modulation
`
`(QAM) with more than 1 bit per subchannel and wherein at
`
`least one data variable of the one or more data variables
`
`comprises an array representing Signal to Noise ratio per
`
`subchannel during Showtime information; and
`
`11
`
`

`
`receiving the message at the second transceiver, wherein the
`
`message comprises the one or more data variables that
`
`represent the test information, wherein the bits in the message
`
`were modulated onto the DMT symbols using Quadrature
`
`Amplitude Modulation (QAM) with more than 1 bit per
`
`subchannel and wherein the at least one data variable of the
`
`one or more data variables comprises the array representing
`
`Signal to Noise ratio per subchannel during Showtime
`
`information.
`
`15. One or more non-transitory computer-readable information
`
`storage media having stored thereon instructions that, if executed,
`
`cause a communications system for DSL service to perform a method
`
`comprising:
`
`transmitting a message from a first transceiver, wherein the
`
`message comprises one or more data variables that represent
`
`the test information, wherein bits in the message are modulated
`
`onto DMT symbols using Quadrature Amplitude Modulation
`
`(QAM) with more than 1 bit per subchannel and wherein at
`
`least one data variable of the one or more data variables
`
`comprises an array representing Signal to Noise ratio per
`
`12
`
`

`
`subchannel during Showtime information; and receiving the
`
`message at a second transceiver, wherein the message
`
`comprises the one or more data variables that represent the test
`
`information, wherein the bits in the message were modulated
`
`onto the DMT symbols using Quadrature Amplitude
`
`Modulation (QAM) with more than 1 bit per subchannel and
`
`wherein the at least one data variable of the one or more data
`
`variables comprises the array representing Signal to Noise
`
`ratio per subchannel during Showtime information.
`
`16. A communications system for DSL service comprising a first DSL
`
`transceiver capable of transmitting test information over a
`
`communication channel using multicarrier modulation and a second
`
`DSL transceiver capable of receiving the test information over the
`
`communication channel using multicarrier modulation comprising:
`
`a transmitter portion capable of transmitting a message,
`
`wherein the message comprises one or more data variables that
`
`represent the test information, wherein bits in the message are
`
`modulated onto DMT symbols using Quadrature Amplitude
`
`Modulation (QAM) with more than 1 bit per subchannel and
`
`wherein at least one data variable of the one or more data
`
`13
`
`

`
`variables comprises an array representing frequency domain
`
`received idle channel noise information; and a receiver portion
`
`capable of receiving the message, wherein the message
`
`comprises the one or more data variables that represent the test
`
`information, wherein the bits in the message were modulated
`
`onto the DMT symbols using Quadrature Amplitude
`
`Modulation (QAM) with more than 1 bit per subchannel and
`
`wherein at least one data variable of the one or more data
`
`variables comprises the array representing frequency domain
`
`received idle channel noise information.
`
`17. In a communications system for DSL service with a first DSL
`
`transceiver capable of transmitting test information over a
`
`communication channel using multicarrier modulation and a second
`
`DSL transceiver capable of receiving the test information over the
`
`communication channel using multicarrier modulation, a method
`
`comprising:
`
`transmitting a message, wherein the message comprises one or
`
`more data variables that represent the test information, wherein
`
`bits in the message are modulated onto DMT symbols using
`
`Quadrature Amplitude Modulation (QAM) with more than 1 bit
`
`14
`
`

`
`per subchannel and wherein at least one data variable of the
`
`one or more data variables comprises an array representing
`
`frequency domain received idle channel noise information; and
`
`receiving the message, wherein the message comprises the one
`
`or more data variables that represent the test information,
`
`wherein the bits in the message were modulated onto the DMT
`
`symbols using Quadrature Amplitude Modulation (QAM) with
`
`more than 1 bit per subchannel and wherein the at least one
`
`data variable of the one or more data variables comprises the
`
`array representing frequency domain received idle channel
`
`noise information.
`
`18. One or more non-transitory computer-readable information
`
`storage media having stored thereon instructions that, if executed,
`
`cause a communications system for DSL service to perform a method
`
`comprising:
`
`transmitting a message, wherein the message comprises one or
`
`more data variables that represent the test information, wherein
`
`bits in the message are modulated onto DMT symbols using
`
`Quadrature Amplitude Modulation (QAM) with more than 1 bit
`
`per subchannel and wherein at least one data variable of the
`
`15
`
`

`
`one or more data variables comprises an array representing
`
`frequency domain received idle channel noise information; and
`
`receiving the message, wherein the message comprises the one
`
`or more data variables that represent the test information,
`
`wherein the bits in the message were modulated onto the DMT
`
`symbols using Quadrature Amplitude Modulation (QAM) with
`
`more than 1 bit per subchannel and wherein the at least one
`
`data variable of the one or more data variables comprises the
`
`array representing frequency domain received idle channel
`
`noise information.
`
`19. A communications system for DSL service comprising a first DSL
`
`transceiver capable of transmitting test information over a
`
`communication channel using multicarrier modulation and a second
`
`DSL transceiver capable of receiving the test information over the
`
`communication channel using multicarrier modulation comprising:
`
`a transmitter portion capable of transmitting a message,
`
`wherein the message comprises one or more data variables that
`
`represent the test information, wherein bits in the message are
`
`modulated onto DMT symbols using Quadrature Amplitude
`
`Modulation (QAM) with more than 1 bit per subchannel and
`
`16
`
`

`
`wherein at least one data variable of the one or more data
`
`variables comprises an array representing power level per
`
`subchannel information; and a receiver portion capable of
`
`receiving the message, wherein the message comprises the one
`
`or more data variables that represent the test information,
`
`wherein bits in the message were modulated onto DMT symbols
`
`using Quadrature Amplitude Modulation (QAM) with more
`
`than 1 bit per subchannel and wherein at least one data
`
`variable of the one or more data variables comprises an array
`
`representing power level per subchannel information.
`
`20. In a communications system for DSL service with a first DSL
`
`transceiver capable of transmitting test information over a
`
`communication channel using multicarrier modulation and a second
`
`DSL transceiver capable of receiving the test information over the
`
`communication channel using multicarrier modulation, a method
`
`comprising:
`
`transmitting a message, wherein the message comprises one or
`
`more data variables that represent the test information, wherein
`
`bits in the message are modulated onto DMT symbols using
`
`Quadrature Amplitude Modulation (QAM) with more than 1 bit
`
`17
`
`

`
`per subchannel and wherein at least one data variable of the
`
`one or more data variables comprises an array representing
`
`power level per subchannel information; and receiving the
`
`message, wherein the message comprises the one or more data
`
`variables that represent the test information, wherein the bits in
`
`the message were modulated onto DMT symbols using
`
`Quadrature Amplitude Modulation (QAM) with more than 1 bit
`
`per subchannel and wherein at least one data variable of the
`
`one or more data variables comprises an array representing
`
`power level per subchannel information.
`
`21. One or more non-transitory computer-readable information
`
`storage media having stored thereon instructions that, if executed,
`
`cause a communications system for DSL service to perform a method
`
`comprising:
`
`transmitting a message, wherein the message comprises one or
`
`more data variables that represent the test information, wherein
`
`bits in the message are modulated onto DMT symbols using
`
`Quadrature Amplitude Modulation (QAM) with more than 1 bit
`
`per subchannel and wherein at least one data variable of the
`
`one or more data variables comprises an array representing
`
`18
`
`

`
`power level per subchannel information; and receiving the
`
`message, wherein the message comprises the one or more data
`
`variables that represent the test information, wherein the bits in
`
`the message were modulated onto DMT symbols using
`
`Quadrature Amplitude Modulation (QAM) with more than 1 bit
`
`per subchannel and wherein at least one data variable of the
`
`one or more data variables comprises an array representing
`
`power level per subchannel information.
`
`8.
`
`In preparing this Declaration, I have reviewed the ‘412 Patent and
`
`considered each of the documents cited herein, in light of general knowledge
`
`in the art as of January 7, 2000. In formulating my opinions, I have relied
`
`upon my experience in the relevant art. I have also considered the viewpoint
`
`of a person of ordinary skill in the art (“POSA”) of a diagnostic link using
`
`multicarrier modulation messaging as of January 7, 2000. As described in
`
`detail below, I offer the following opinions in this Declaration:
`
`a. A POSA would have found the invention of Claims 1, 3, 5, 7, 9,
`
`11, and 16-21 of the ‘412 Patent to be obvious in view of the
`
`combination of the US Patent 4,679,227 (“’227 Patent”, Ex. 1004),
`
`US Patent 4,438,511 (“‘511 Patent,” Ex. 1005), and US 5,838,268
`
`(“‘268 Patent”, Ex. 1006). The patents combined teaches each
`
`19
`
`

`
`element of Claims 1, 3, 5, 7, 9, 11, and 16-21 to a POSA. To the
`
`extent that the patent owner may attempt to distinguish one or
`
`more elements of Claims 1, 3, 5, 7, 9, 11, and 16-21 from the
`
`teachings by the patents combined, a POSA would have found
`
`such distinctions to be obvious.
`
`b. A POSA would have found the invention of Claims 2, 4, 6, 8, 10,
`
`and 12 of the ‘412 Patent to be obvious in view of the combination
`
`of the US Patent 4,679,227 (“’227 Patent”, Ex. 1004), US Patent
`
`4,438,511 (“‘511 Patent,” Ex. 1005), US 5,838,268 (“‘268 Patent”,
`
`Ex. 1006) , and US 6,219,378 (‘378 Patent, Ex. 1008). The patents
`
`combined teaches each element of Claims 2, 4, 6, 8, 10, and 12 to
`
`a POSA. To the extent that the patent owner may attempt to
`
`distinguish one or more elements of Claims 2, 4, 6, 8, 10, and 12
`
`from the teachings by the patents combined, a POSA would have
`
`found such distinctions to be obvious.
`
`c. A POSA would have found the invention of Claims 13-15 of the
`
`‘412 Patent to be obvious in view of the combination of the US
`
`Patent 4,679,227 (“’227 Patent”, Ex. 1004), US Patent 4,438,511
`
`(“‘511 Patent,” Ex. 1005), US 5,838,268 (“‘268 Patent”, Ex.
`
`1006), and ADSL Forum TR-024 (Ex. 1011). The patents
`
`20
`
`

`
`combined with the TR-024 reference teaches each element of
`
`Claims 13-15 to a POSA. To the extent that the patent owner may
`
`attempt to distinguish one or more elements of Claims 13-15 from
`
`the teachings by the patents combined with the TR-024 reference,
`
`a POSA would have found such distinctions to be obvious.
`
`II.
`9.
`
`List of documents I considered in forming my opinions
`In formulating my opinions, I have considered the following documents:
`
`Ex.
`No.
`1001 U.S. Patent No. 8,238,412 to Krinsky
`
`Brief Description
`
`1003 Curriculum Vitae of Lance McNally
`1004 US Patent 4,679,227, “Ensemble modem structure for imperfect
`transmission media” to Dirk Hughes-Hartogs (“’227”)
`1005 US Patent 4,438,511, “Packetized Ensemble Modem” to Paul Baran
`(“’511”)
`1006 US Patent 5,838,268, “Apparatus and methods for modulation and
`demodulation of data” to Liron Frenkel (“’268”)
`1008 US Patent 6,219,378, “Digital subscriber line modem initialization” to
`Wu (“‘378”)
`1011 Technical Report TR-024, “DMT Line Code Specific MIB” by
`Asymmetric Digital Subscriber Line (ADSL) Forum, published in June
`1999
`
`
`III.
`10.
`
`Background and Qualifications
`I am an expert in the field of electrical communication protocols, which
`
`include diagnostic modes using various modulation techniques. Throughout
`
`21
`
`

`
`the remainder of this Declaration, I will refer to the field of electrical
`
`communication protocols as the “relevant field” or the “relevant art”. In
`
`formulating my opinions, I have relied upon my training, knowledge, and
`
`experience in the relevant art. A copy of my current curriculum vitae is
`
`provided as (Ex. 1003), and it provides a comprehensive description of my
`
`academic and employment history.
`
`11. My qualifications are stated more fully in my curriculum vita, which is
`
`attached to this declaration. A brief summary of my qualifications follows:
`
`12.
`
`I am currently a principal of Harbor Falls, Inc., a consulting firm
`
`specializing in computer, data networking and telecommunication technical
`
`expertise applied to patents. Previously, I served as Vice President of
`
`Engineering at OPVISTA, Inc.; Director of Engineering at Bay/Nortel
`
`Networks, Inc., in the area of data and telecommunication systems; and
`
`Director of Engineering at Honeywell, Inc./Honeywell Ericsson, Inc./Zenith
`
`Data Systems, Inc., in the area of computer server, data and
`
`telecommunication systems.
`
`13. At Honeywell Ericsson, Inc., I was involved in developing switching
`
`software for least cost routing and integrated service digital network (ISDN)
`
`hardware interfaces for Ericsson private branch exchange (PBX) and class 5
`
`central office switch products.
`
`22
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`

`
`14. At Honeywell/Zenith Data Systems, Inc., I served in several positions.
`
`Initially, I was a senior staff analyst for telecommunications with
`
`responsibilities that included being the corporate representative on the T1S1
`
`American National Standard Institute (ANSI) in the definition of
`
`telecommunications services, architecture, and signaling. Additionally, I
`
`was one of the key architects in the definition, implementation, and
`
`deployment of the first nationwide Electronic Funds Transfer Point-of-Sale
`
`network, for which I received the highest divisional achievement award.
`
`Prior to leaving Honeywell/Zenith Data Systems, Inc., I was responsible for
`
`the design and development of Intel processor based servers. The servers
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`were built to order with pre-loaded operating systems (e.g., Windows NT
`
`Server, Netware and SCO UNIX).
`
`15. At Bay/Nortel Networks, I also held numerous positions including
`
`development responsibility of DOCSIS CMTS(Cable Modem Termination
`
`System)/CM(Cable Modem), Network Processor and router products. I was
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`selected as the Design Authority for Network Processor Units that were used
`
`corporate-wide for the implementation of ATM/IP routers and Ethernet-
`
`based switches.
`
`16. At Opvista Inc., I lead the engineering organization in the devolvement of
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`Optical networking equipment.
`
`23
`
`

`
`17.
`
`I received a Bachelor of Science in Electrical Engineering from Purdue
`
`University in 1979 and a Master in Business Administration from the
`
`University of Dallas in 1985.
`
`18.
`
`I’m a co-inventor on ten U.S. Patents: 4,831,634 (Modem backplane
`
`interconnections); 4,879,716 (Resilient Data Communication Systems);
`
`4,999,787 (Hot extraction and insertion of logic boards in an on-line
`
`communication system); 5,517,648 and 5,522,069 (Symmetric
`
`multiprocessing system with unified environment and distributed system
`
`functions); 5,809,340 (Adaptively generating timing signals for access to
`
`various memory devices based on stored profiles); 5,412,522 (Symmetric
`
`multiprocessing system with unified environment and distributed system
`
`functions); 6,098,131 (Network apparatus with removable electronic
`
`module); 6,125,436 (Symmetric multiprocessing system with unified
`
`environment and distributed system functions wherein bus operations related
`
`storage spaces are mapped into a single system address space); and
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`6,311,286 (Symmetric multiprocessing system with unified environment and
`
`distributed system functions.
`
`19.
`
`I have severed as a technical consultant in a number of patent related legal
`
`matters, and am familiar with terms of art.
`
`24
`
`

`
`IV.
`20.
`
`Person of ordinary skill in the art (POSA)
`I am familiar with the knowledge and capabilities of one of ordinary skill in
`
`the art. For example, my work as a practicing engineer and engineering
`
`manager during that period allowed me to become personally familiar with
`
`the level of skill of individuals and the general state of the art. Unless
`
`otherwise stated, my testimony below refers to the knowledge of one of
`
`ordinary skill in the art as of 2000, the period that includes the earliest
`
`effective priority date of the Challenged Claims.
`
`21.
`
`I have been informed and understand that a Person of Ordinary Skill in the
`
`Art (“POSA”) is a hypothetical person who is presumed to be aware of all
`
`pertinent prior art, thinks along conventional wisdom in the art, and is a
`
`person of ordinary creativity. With respect to the ‘412 Patent, in my opinion,
`
`a POSA would have had education and/or experience in the field of
`
`electronics, specifically messaging and modulations techniques, and
`
`knowledge of the scientific literature concerning the same. Within the field
`
`of electronic messaging, a POSA would have had education and/or
`
`experience in a variety of modulation techniques, and knowledge of the
`
`scientific literature concerning the same.
`
`22. The education and experience levels may vary between persons of ordinary
`
`skill, with some persons holding a basic Bachelor’s of Electrical
`
`25
`
`

`
`Engineering, Computer Science, or equivalent degree, but with more than
`
`three years of relevant work experience, or others holding more advanced
`
`degrees—e.g., Masters or Ph.D.—but having fewer years of experience.
`
`23. A person of ordinary skill in the field often works as part of a
`
`multidisciplinary team and draws upon not only his or her own skills, but
`
`also takes advantage of certain specialized skills of others in the team, to
`
`solve a given problem.
`
`V.
`24.
`
`Relevant Legal Standards
`I understand that a patent claim in an inter partes review is given its
`
`broadest reasonable construction in light of the specification of the patent, as
`
`would be understood by one of ordinary skill in the art at the time of the
`
`claimed invention. I understand that claims should be construe