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`______________________
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`IN THE UNITED STATES PATENT TRIAL AND APPEAL BOARD
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`______________________
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`DIGITAL CHECK CORP. d/b/a ST IMAGING
`Petitioner
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`v.
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`E-IMAGEDATA CORP.
`Patent Owner
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`______________________
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`CASE NO. IPR2017-00178
`U.S. PATENT NO. 9,179,019
`______________________
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`PETITIONER’S RESPONSE IN OPPOSITION TO PATENT OWNER’S
`MOTION TO EXCLUDE
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`Table of Contents
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`I.
`II.
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`INTRODUCTION ........................................................................................... 1
`ARGUMENT ................................................................................................... 2
`A. Drawings and Figures in the Petition Used to Illustrate
`Petitioner’s Invalidity Theories are Admissible .................................... 2
`B.
`Admissible ............................................................................................. 4
`C.
`Admissible ............................................................................................. 5
`D.
`Requirements of the Federal Rules of Evidence ................................... 6
`1.
`is Not Hearsay ............................................................................. 7
`2.
`902(6) and is Not Hearsay .......................................................... 9
`3.
`Not Hearsay ............................................................................... 11
`III. CONCLUSION .............................................................................................. 12
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`The Senn Declaration (Exhibit 1002)
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`is Relevant and
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`Exhibits 1006, 1007, 1008, 1009, and 1010 are Relevant and
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`Exhibits 1007, 1008 and 1009 Satisfy the Admissibility
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`Exhibit 1007 is Authenticated Under FRE 901(b)(4) and
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`Exhibit 1008 is Authenticated Under FRE 901(b)(4) and
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`Exhibit 1009 is Authenticated Under FRE 902(11) and is
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`Petitioner’s Updated List of Exhibits
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`Ex. 1001: U.S. Patent No. 9,179,019 (“‘019 Patent”)
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`Ex. 1002: Declaration of Anthony J. Senn
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`Ex. 1003: Curriculum vitae of Anthony J. Senn
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`Ex. 1004: U.S. Publication No. 2004/0012827 (“Fujinawa”)
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`Ex. 1005: U.S. Patent No. 5,585,937 (“Kokubo”)
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`Ex. 1006: U.S. Patent No. 5,061,955 (“Watanabe”)
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`Ex. 1007: 5100 FICHE SCANSTATION, Field Service Manual
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`Ex. 1008: Minolta UC-1 Universal Film Carrier (“Minolta”)
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`Ex. 1009: Parts Manual for UC-6E, EC, ECM Motorized Combo Squared Corner
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`Parts Numbers 210000-01,02,03 (“Minolta”)
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`Ex. 1010: Declaration of Philip G. Barboni
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`Ex. 1011: Excerpt of Fundamentals of Machine Design textbook
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`Ex. 1012: Deposition Transcript of Jonathan Ellis
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`Ex. 1013: Excerpt of Illustrated Sourcebook of Mechanical Components textbook
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`ii
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`I.
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`INTRODUCTION
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`Petitioner submits this Opposition to Patent Owner’s (“PO”) Motion to
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`Exclude (Paper 17). It is the opponent who bears the burden of establishing
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`inadmissibility of an exhibit. 37 C.F.R. § 42.20(c). Far from meeting this burden,
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`PO’s motion makes a laundry list of objections under the Federal Rules of
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`Evidence (“FRE”) but fails to provide any explanation of how they apply or why
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`the particular evidence is inadmissible.
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`The Board has made its position clear: “There is a strong public policy for
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`making all information filed in a non-jury, quasi-judicial administrative proceeding
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`available to the public, especially in an inter partes review which determines the
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`patentability of claims in an issued patent. It is better to have a complete record of
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`the evidence submitted by the parties than to exclude particular pieces.” Nichia
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`Corp. v. Emcore Corp., IPR2012-00005, Paper 68, at 59 (PTAB Feb. 11, 2014).
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`The Board has further clarified that a motion to exclude is not the forum to
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`challenge the sufficiency of evidence. Biomarin Pharm. Inc. v. Genzyme
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`Therapeutic Prods. Ltd. P’ship, IPR2013-00537, Paper 79, at 24-25 (PTAB Feb.
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`23, 2015). Against this backdrop, PO now moves to exclude annotated figures
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`from the prior art, evidence that pertains to non-instituted grounds, and evidence
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`that falls squarely within the bounds of admissibility under the FRE. As detailed
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`below, PO’s motion should be denied in its entirety.
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`1
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`II. ARGUMENT
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`A. Drawings and Figures
`in the Petition Used to Illustrate
`Petitioner’s Invalidity Theories are Admissible
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`PO seeks to exclude the “illustration” on page 9 of the petition and the
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`“annotated figure” on page 51 of the petition.1 (Paper 17 at 4). Petitioner’s expert,
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`Tony Senn, laid the foundation for the illustration as “a schematic representation of
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`the Fujinawa microform
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`imaging apparatus
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`(e.g., Ex. 1004 at Fig.
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`4)…representative of the well known features of microform imaging apparatuses.”
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`(Ex. 1002 at ¶28; see also Paper 2 at 9, 10; Ex. 1004 at Fig. 4). Mr. Senn, likewise,
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`laid the foundation for the annotated figure in paragraph 104 of his declaration by
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`detailing the substitution of the Fujinawa drive mechanism with a Kokubo-type
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`drive mechanism as depicted in the annotated figure. (Ex. 1002 at ¶104). The
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`illustration and annotated figure are used by Petitioner to help illustrate its
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`invalidity theory. (Paper 2 at 9, 50-51; Ex. 1002 at ¶¶28, 104; Ex. 1004 at Fig. 4).
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`Mr. Senn is a mechanical engineer with over 25 years of experience in the field,
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`including at least 10 years of design work on microform scanning equipment. (Ex.
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`1002 at ¶¶7-19). PO has not questioned Mr. Senn’s credentials as one of skill in
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`1 For consistency, Petitioner has used the same nomenclature as PO’s motion to
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`exclude—“illustration” for the figure on page 9 and “annotated figure” for the
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`figure on page 51.
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`2
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`the art or his ability to opine on the prior art.
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`PO’s assertion that these are “nothing more than a one-sided interpretation
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`and representation of a figure disclosed in Fujinawa” (Paper 17 at 4) goes to
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`weight, not admissibility. As laid out in Corning Inc. v. DSMIP Assets B.V., the
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`Board’s approach to considering the admissibility of evidence is “[s]imilar to a
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`district court in a bench trial, the Board, sitting as a non-jury tribunal with
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`administrative expertise, is well-positioned to determine and assign appropriate
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`weight to evidence presented.” IPR2013-00053, Paper 66, at 19 (PTAB May 1,
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`2014); Symantec Corp. and Blue Coat Sys. LLC v. Finjan, Inc., IPR2015-01892,
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`Paper 58, at 64 (Mar. 15, 2017) (same).
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`Here, the illustration is plainly presented in the Petition and by Petitioner’s
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`expert as what it is—“a schematic representation” of the prior art and
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`“representative of the well known features of microform imaging apparatuses.”
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`(Paper 1 at 9; Ex. 1002 at ¶28). Likewise, the figure is described as a “modified
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`figure 4” of Fujinawa. (Paper 1 at 50-51). As such, there is simply no risk of
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`Board confusion. Intri-Plex Techs., Inc. v. Saint-Gobain Perf. Plastics Rencol
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`Ltd., IPR2014-00309, Paper 83, at 17-18 (PTAB Mar. 23, 2014) (denying motion
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`to exclude annotated figures because there was no danger that the Board would be
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`confused). The Board is capable of analyzing the prior art figure from which the
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`illustration and figure were created (e.g., Figure 4 of Ex. 1004) and reaching its
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`own conclusions. Accordingly, exclusion is improper, as the Board can ascribe the
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`weight it deems appropriate. Apple Inc. v. DSS Tech. Management, Inc., IPR2015-
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`00369, 2016 WL 3382361, at *17 (PTAB June 17, 2016) (“a motion to
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`exclude…is not an appropriate mechanism for challenging the sufficiency of
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`evidence or the proper weight that should be afforded an argument.”).2
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`B.
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`The Senn Declaration (Exhibit 1002) is Relevant and Admissible
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`PO seeks to exclude portions of the Senn Declaration (Ex. 1002) “to the
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`extent it relates to claims on which the Board did not institute review.” (Paper 17
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`at 5). As a preliminary matter, PO’s request is unnecessary. To the extent these
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`paragraphs relate to non-instituted grounds, PO’s request is moot. Curt G. Joa,
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`Inc. v. Fameccanica.Data S.p.A, IPR2016-00906, 2017 WL 4570515, at *15
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`(PTAB Oct. 11, 2017) (“Patent Owner’s Motion to Exclude portions of Exhibit
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`2 PO’s motion purports to argue all drawings in Exhibit 1002 that are “modified
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`and/or annotated drawings present in the prior art…should also be excluded as
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`unduly prejudicial.” (Paper 17 at 5). Notwithstanding PO’s failure to follow
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`the Boards ascribed procedures for properly objecting to evidence and failing to
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`provide any meaningful analysis aside from this blanket assertion—this exact
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`issue has already been addressed, and rejected, by the Board. Apple Inc., 2016
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`WL 3382361, at *17.
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`1003 addressing non-instituted prior art references is dismissed as moot.”).
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`As to substance, PO fails to articulate how the paragraphs are “irrelevant” or
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`“inadmissible” merely because they relate to claims on which the Board did not
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`institute review.
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` To the contrary, the cited paragraphs provide detailed
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`explanations of the prior art, the disclosures therein, and the knowledge of one of
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`skill in the art at the time of the invention. (Ex. 1002 at ¶¶61, 66–71, 78, 85–98,
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`and 108–117). For example, paragraph 78 explains how Kokubo discloses a motor
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`and a rotational shaft that engages a drive mechanism—evidence directly relevant
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`to the instituted grounds. (Ex. 1002 at ¶78). PO’s argument ignores the Board’s
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`basic preference for maintaining a complete record of evidence submitted. Nichia
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`Corp. v. Emcore Corp., IPR2012-00005, Paper 68, at 59 (PTAB Feb. 11, 2014) (“It
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`is better to have a complete record of the evidence submitted by the parties than to
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`exclude particular pieces.”).
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`C. Exhibits 1006, 1007, 1008, 1009, and 1010 are Relevant and
`Admissible
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`PO impermissibly seeks to exclude Exhibits 1006, 1007, 1008, 1009, and
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`1010 because they “relate solely to claims on which the Board did not institute
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`review.” (Paper 17 at 6). For the reasons discussed supra, this is unnecessary.
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`More importantly, this is improper. With the exception of Exhibit 1010, the
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`exhibits are prior art references and directly relevant to the ultimate issue of what
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`was known by those of skill in the art at the time of the invention. Indeed, the
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`Federal Circuit has flatly rejected PO’s argument that a reference is not relevant
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`because it does not form the basis of the instituted grounds of review. Ariosa
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`Diagnostics v. Verinata Health, Inc., 805 F.3d 1359, 1365 (Fed. Cir. 2015)
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`(finding prior art does not have to be part of the ground of rejection to be relevant).
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`D. Exhibits 1007, 1008 and 1009 Satisfy
`the Admissibility
`Requirements of the Federal Rules of Evidence
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`Finally, PO seeks to exclude the entirety of exhibits 1007, 1008, and 1009 as
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`lacking authenticity and hearsay. PO makes its request despite failing to identify
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`anything about the evidence that would indicate unreliability. SDI Tech., Inc. v.
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`Bose Corp., IPR2013-00350, 2015 WL 3749669, at *8-9 (November 7, 2014)
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`(finding patent owner could point to no evidence that the evidence was unreliable).
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`PO’s hearsay objections further fail to identify specific portions of the evidence
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`that are being offered for the truth of the matter asserted. “The burden should not
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`be placed on the Petitioner or Board to sort through the entirety of each exhibit and
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`determine which portion [PO] believes to be hearsay.” EMC Corp. v. Personal
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`Web Technologies, LLC, IPR2013-00085, Paper 73, at 68 (PTAB May 15, 2014)
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`(finding PO failed to “identif[y], in its motion, the specific portions of the evidence
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`and provide[] sufficient explanations as to why they constitute hearsay.”). PO’s
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`argument is premised on the mistaken assumption that it is Petitioner’s burden to
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`show the admissibility of the evidence. (Paper 17 at 6) (“Petitioner has failed to
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`provide any evidence [to show] that Ex. 1007 is indeed the item the Petitioner
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`claims it is.”). In an inter partes review proceeding, however, it is the opponent
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`who bears the burden of establishing inadmissibility of an exhibit. 37 C.F.R. §
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`42.20(c); see also FLIR Systems, Inc. v. Leak Suveys, Inc., IPR2014-00411, Paper
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`113, at 5 (PTAB Sept. 3, 2015) (“In a civil action in a U.S. district court the
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`proponent bears the burden of establishing the admissibility of its evidence. In our
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`proceedings it is the opponent who bears the burden of establishing inadmissibility
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`of an exhibit.”). PO’s lack of an articulated rationale alone is sufficient grounds to
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`deny its motion to exclude. SDI Techs., Inc., 2015 WL 3749669, at *6 (finding PO
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`could not articulate any reason to suspect the date stamp was unreliable).
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`Nonetheless, the specific admissibility of each document is now addressed in turn.
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`1.
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`Exhibit 1007 is Authenticated Under FRE 901(b)(4) and is
`Not Hearsay
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`As PO admits “Exhibit 1007 is Field Service Manual for a device called
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`Fiche Scanstation.” (Paper 17 at 6). Without elaboration, PO alleges Petitioner
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`has failed to provide any evidence to show the item is what Petitioner claims it is.
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`(Paper 17 at 6-7). The standard for admissibility under the FRE is “slight.” States
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`v. Turner, 718 F.3d 226, 232 (3rd Cir. 2013) (noting conclusive proof of a
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`document’s authenticity is not required under FRE 901). A document may be
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`authenticated by “the appearance, contents, substance, internal patterns, or other
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`distinctive characteristics of the item, taken together with all the circumstances.”
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`FRE 901(b)(4). Here, page one of Exhibit 1007 makes clear the document is a
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`“5100 Fiche Scanstation Field Service Manual.” (Ex. 1007 at 1). The title page
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`further includes a part number and revision information for the manual. (Ex. 1007
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`at 1). Copyright information is listed on page three of the exhibit. (Ex. 1007 at 3).
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`The document goes on to provide detailed instructions for operating the 5100
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`Scanstation and the SCANFICHE operating software. (Ex. 1007). PO fails to
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`show how this is insufficient under FRE 901(b)(4) or how this document is “not
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`what Petitioner claims it is.” Actifio, Inc. v. Delphix Corp., IPR2015-00052, 2016
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`WL 1393513, at *3 (Mar. 31, 2016) (“On this record, we accept Exhibit 1103 for
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`what it purports and is alleged to be: “a user manual for a NetApp product.”).
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`Indeed, PO provides no evidence that calls into question the authenticity of Exhibit
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`1007. (See generally, Paper 17).
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`With regard to PO’s boilerplate “Exhibit 1007 should also be excluded as
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`hearsay” argument, Exhibit 1007 is used to provide background regarding the
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`technology at issue. It is well established that “a prior art document…is offered
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`simply as evidence of what it described, not for proving the truth of the matters
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`addressed in the document.” EMC Corp. v. Personal Web Technologies, LLC,
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`IPR2013-00085, Paper 73, at 66 (PTAB May 15, 2014) (citing Joy Techs., Inc. v.
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`Manbeck, 751 F. Supp. 225, 233 n.2 (D.D.C. 1990), judgment aff’d, 959 F.2d 226
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`(Fed. Cir. 1992)); Biomarin Pharm. Inc., v. Genzyme Therapeutic Products Ltd.
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`P’ship, IPR2013-00537, Paper 79, at 25 (PTAB Feb. 23, 2015). Even if any
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`portion of Exhibit 1007 were considered hearsay, it would fall under the residual
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`exception to hearsay as PO has failed to articulate a single reason why Exhibit
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`1007 is suspect. SDI Techs., Inc., 2015 WL 3749669, at *6 (finding PO could not
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`articulate any reason to suspect the date stamp was unreliable).
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`2.
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`Exhibit 1008 is Authenticated Under FRE 901(b)(4) and
`902(6) and is Not Hearsay
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`Exhibit 1008 is an article from Library Technology Reports and as such is a
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`self-authenticating periodical. Palo Alto Networks, Inc., IPR2015-01979, 2017
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`WL 1040259, at *26 (“The Sirer reference is self-authenticating because it
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`contains indicia sufficient to show that it is an ACM article.”). PO admits “Exhibit
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`1008 is a report on the UC-1 Universal Film Carrier.” (Paper 17 at 7). Again,
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`without elaboration, PO alleges Petitioner has failed to provide any evidence to
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`show the item is what Petitioner claims it is. The cover page of Exhibit 1008
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`shows the report published in the September/October 1992, Volume 28, No. 5 of
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`“Library Technology Reports” by the American Library Association. (Ex. 1008 at
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`1). The Cover page lists an ISSN 3 number and displays a “University of
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`3 An ISSN is an 8-digit code used to identify newspapers, journals, magazines
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`and periodicals. The ISSN is associated with the title of the publication, in this
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`case
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`the Library Technology Reports. See
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`ISSN database
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`search,
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`http://www.issn.cc/0024-2586.
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`Washington” library stamp dated April 16, 1993. (Ex. 1008 at 1). PO fails to meet
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`its burden to show this is insufficient under the FRE. Actifio, Inc., 2016 WL
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`1393513, at *3 (Mar. 31, 2016).
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`For the same reasons discussed above, Exhibit 1008 is not hearsay because
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`as a prior art document it is being offered as evidence of what it describes, not for
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`proving the truth of the matters addressed in the document. EMC Corp., IPR2013-
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`00085, Paper 73 at 66. To the extent any portion of Exhibit 1008 is considered
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`hearsay, it plainly falls under the residual hearsay exception. Merck Sharp &
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`Dohme Corp. v. Mayne Pharma International Pty Ltd., IPR2016–01186, 2016 WL
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`7999581, at *6 (PTAB Dec. 19, 2016) (finding journal article met the residual
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`exception to hearsay because “the masthead on the first page of each journal
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`article, which includes the name of the journal, the volume number, publication
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`date, and other indicia, provides circumstantial guarantees of trustworthiness.
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`Moreover, the date printed on the first page of each journal article is offered as
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`evidence of a material fact: the date of publication. Additionally, under the
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`circumstances, we are persuaded that admitting the statements as evidence of the
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`date of publication at this stage of the proceeding serves the interests of justice.”);
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`see also Ericsson Inc. v. Intellectual Ventures I LLC, IPR2014-00527, Paper 41, at
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`10-11 (PTAB May 18, 2015) (admitting evidence of an IEEE publication’s
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`copyright date under the residual exception because “IEEE is a well-known,
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`reputable compiler and publisher of scientific and technical publications.”). The
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`interests of justice favor not excluding Exhibit 1008.
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`3.
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`Exhibit 1009 is Authenticated Under FRE 902(11) and is
`Not Hearsay
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`Lastly, PO moves to exclude Exhibit 1009 as lacking authenticity and
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`inadmissible hearsay. (Paper 17 at 8). Exhibit 1009 is a parts manual for the UC-6
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`motorized carrier. (Ex. 1009 at 1). In support of the manual’s authenticity,
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`Petitioner submitted the declaration of Mr. Philip Barboni, the author of the
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`manual. (Ex. 1010). Google, Inc. v. Zuili, CBM2016-00008, Paper 55, at 6-7
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`(PTAB Apr. 24, 2017) (finding affidavits that verify that a certain exhibit is
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`published “as part of its regular course of business…provide[] proper admissible
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`evidence that [exhibits] were documents that would have been published…inits
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`usual course of business.”). Mr. Barboni testified, with his personal knowledge of
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`Exhibit 1009, that it “was prepared and maintained in the ordinary course of ICT
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`business” and that “[i]n the ordinary course of ICT business, Ex. 1009 was
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`published to ICT’s distributors for the UC-6 product.” (Ex. 1010 at ¶6). PO’s
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`argument fails to acknowledge Mr. Barboni’s declaration, let alone point to any
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`lack of credibility in his testimony. EMC Corp., IPR2013-00085, Paper 73, at 68.
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`Indeed, PO did not even take the deposition of Mr. Barboni regarding his
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`declaration despite having the opportunity to do so.
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`With regard to PO’s boilerplate hearsay argument, Exhibit 1009, as prior art,
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`is being offered for what it describes, not for the truth of the matter asserted. Id.
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`66). To the extent any portion of Exhibit 1009 is considered hearsay, the
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`unrebutted testimony of Mr. Barboni establishes Exhibit 1009 falls under the
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`business record exception to hearsay. (Ex. 1010 at ¶¶6-7); see Google, Inc.,
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`CBM2016-00008, Paper 55, at 7. Again, PO elected not to take the deposition of
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`Mr. Barboni, so his testimony remains unrefuted.
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`III. CONCLUSION
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`PO’s Motion to Exclude fails to show how any of the evidence provided by
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`Petitioner is inadmissible and should be denied in its entirety.
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`Dated January 12, 2018
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`Respectfully submitted,
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`By:
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`/Jason A. Engel/
`Jason A. Engel
`Reg. No. 51,654
`Counsel for Petitioner
`Dated: January 12, 2018
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`12
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`CERTIFICATE OF SERVICE
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`I hereby certify that on January 12, 2018, a true and correct copy of the
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`foregoing was caused to be served electronically on the following counsel of
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`record for Patent Owner at the following email addresses:
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`
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`Johanna M. Wilbert
`Joel A. Austin
`Michael T. Piery
`QUARLES & BRADY LLP
`411 East Wisconsin Avenue
`Suite 2350
`Milwaukee, Wisconsin 53202
`johanna.wilbert@quarles.com
`joel.austin@quarles.com
`michael.piery@quarles.com
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`
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`/Jason A. Engel/
`Jason A. Engel
`Reg. No. 51,654
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