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`UNITED STATES PATENT AND TRADEMARK OFFICE
`___________________
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`___________________
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`GOOGLE INC.
`Petitioner
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`v.
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`IXI IP, LLC
`Patent Owner
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`___________________
`
`Case No. IPR2016-01669
`Patent 7,552,124
`___________________
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`DECLARATION OF LIN CHASE, PH.D., IN SUPPORT OF
`PATENT OWNER’S PRELIMINARY RESPONSE
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`IXI EXHIBIT 2001
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`Case No. IPR2016-01669
`Patent 7,552,124
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`TABLE OF CONTENTS
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`I.
`
`II.
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`Introduction ..................................................................................................... 1
`A.
`Engagement .......................................................................................... 1
`B.
`Compensation and Prior Testimony ..................................................... 1
`C. Qualifications and Professional Experience......................................... 1
`D.
`Summary of My Study ......................................................................... 5
`
`Relevant Legal Standards ............................................................................... 6
`A.
`Claim Construction............................................................................... 7
`B. Obviousness .......................................................................................... 7
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`III. One Of Ordinary Skill In The Art .................................................................. 9
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`IV. Overview Of The ’124 Patent ....................................................................... 10
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`V. Opinion On Claim Construction ................................................................... 13
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`B.
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`VI. Grounds Based On Maes And Preston ......................................................... 14
`A.
`Summary of the Asserted References ................................................ 15
`1. Maes ......................................................................................... 15
`Preston ..................................................................................... 17
`2.
`Petitioner’s Proposed Combination of Maes and Preston Does
`Not Render Obvious Claims 1 and 6 .................................................. 19
`1. Maes and Preston do not disclose or suggest “parsing the
`high-level code for the keywords” as alleged by
`Petitioner .................................................................................. 19
`2. Maes and Preston do not disclose or suggest
`“determining level of complexity and implementation of
`the high-level code” as alleged by Petitioner........................... 23
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`VII. Grounds Based On Pazandak, White, And Manson ..................................... 26
`A.
`Summary of the Asserted References ................................................ 26
`Pazandak .................................................................................. 26
`1.
`2. White ........................................................................................ 29
`3. Manson ..................................................................................... 31
`Petitioner’s Proposed Combination of Pazandak, White, and
`Manson Does Not Render Obvious Claims 1 and 6 .......................... 32
`Pazandak, White, and Manson do not disclose or suggest
`1.
`“wherein the high-level code is provided by a user …
`ii
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`B.
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`without having to select from menu items …” as alleged
`by Petitioner ............................................................................. 32
`Pazandak, White and Manson do not disclose or suggest
`“parsing the high-level code for the keywords …” as
`alleged by Petitioner ................................................................ 35
`Pazandak, White and Manson do not disclose or suggest
`“determining whether high-level code comprises
`keywords defining one or more relationships and
`conditions corresponding to the operative language” as
`alleged in the Petition ............................................................... 37
`Pazandak, White, and Manson do not disclose or suggest
`“determining level of complexity and implementation of
`the high-level code” as alleged in the Petition ......................... 38
`A person of ordinary skill in the art would not have been
`motivated to modify Pazandak in view of White as
`alleged by Petitioner ................................................................ 41
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`2.
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`3.
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`4.
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`5.
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`iii
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`I, Lin Chase, Ph.D., do hereby declare:
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`I.
`
`INTRODUCTION
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`A. Engagement
`I have been retained by counsel for Patent Owner as an expert witness
`1.
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`to render opinions on certain issues concerning Inter Partes Review No. IPR2016-
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`01669 of U.S. Patent No. 7,552,124 to Vladimir Drukin (hereafter “the ’124
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`Patent”). This is my written declaration.
`
`B. Compensation and Prior Testimony
`I am being compensated at a standard rate of $375 per hour for my
`2.
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`study and preparation of this declaration. I am also being reimbursed for
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`reasonable and customary expenses associated with my work and testimony in this
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`study. This compensation is not dependent on my opinions or testimony or the
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`outcome of this matter.
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`3.
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`I have previously testified as an expert in the following matters:
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`Nuance Communications, Inc. v. Vlingo Corp, United States District Court, D.
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`Mass., 09-11414-RWZ, and Ultratec, Inc., et al. v. Sorenson Comm., Inc., et al.,
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`W.D. Wisc., 3:14-cv-00066-JDP.
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`C. Qualifications and Professional Experience
`I am currently Chief Executive Officer (CEO) of Big Tech Strategy.
`4.
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`1
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`5.
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`I received a Bachelor of Science degree in Physics in 1985, a Master
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`of Science degree in Computer Science in 1992, and a Doctor of Philosophy
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`degree in Computer Science in 1997, all from Carnegie Mellon University. My
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`Ph.D. thesis was entitled “Error-Responsive Feedback Mechanisms for Speech
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`Recognizers.”
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`6.
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`From 1993 to 1997, I worked as the President of Human Language
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`Systems, LLC in Pittsburgh, PA. Human Language Systems provided consulting
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`services in speech and natural language processing technology. At Human
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`Language Systems, I was responsible for providing strategic consulting, project
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`management, and implementation services for speech recognition, natural language
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`understanding, and spoken language systems to a number of private corporations
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`and public institutions.
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`7.
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`In 1998, I worked as a Researcher for LIMSI/CNRS, Université Paris
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`XI, a French National Research Laboratory in Orsay, France. There, I performed
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`research in spoken language understanding systems in French and English.
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`8.
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`From 1999 to 2001, I worked as the Director of Operations, EMEA
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`for SpeechWorks International, which provided spoken and natural language
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`interactive systems for call center and telecommunications automation. I founded
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`the European division of SpeechWorks International, eventually growing the
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`2
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`operation to a staff of 30 and annual sales of $5 million. During my time in this
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`position, I led the professional services and technical sales teams and was
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`responsible for modifying SpeechWorks’ products to fit the European market,
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`which included developing localized speech recognition products for French, UK
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`English, and German languages, developing European-specific user interface
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`development and testing methods, and integrating speech recognition software into
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`call centers in France, the UK, and Germany.
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`9.
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`In 2002, I worked as the Vice President of Product Management and
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`Partnerships at Rhetorical Systems, Ltd., in Edinburgh, Scotland. Rhetorical
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`Systems, Ltd. provided text-to-speech software and professional services. There, I
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`built professional services and sales engineering teams for call center and
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`telecommunications markets.
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`10.
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`In 2002, I founded NeoSpeech, Inc., which specialized in speech
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`technology and applications software, and served in the role of founding CEO until
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`2004, the year the application that became the ’124 Patent was filed. At
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`NeoSpeech, I managed the development and localization of text-to-speech
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`software products for the U.S. market.
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`11. Between 2005 and 2010, I was employed by Accenture in various
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`roles, including managing the launch of the Accenture Technology Lab in India,
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`3
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`which was the group responsible for developing IT vision, strategy, and innovation
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`for the Asian and Middle Eastern markets. In this role, I oversaw the construction
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`of Accenture’s laboratory space in Bangalore, which was eventually utilized to
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`develop innovations in massive enterprise software and database systems, systems
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`integration, software engineering and testing, large scale database and application
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`management, and mapping and management of enterprise software architectures
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`and communications pathways. After completion of a three-year assignment in
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`India, I moved to California with Accenture in order to co-found the then-new joint
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`venture between Accenture and Cisco, The Accenture Cisco Business Group
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`(ACBG). I led the Accenture-side team in creating and launching a shared and
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`mutually operated business with Cisco in the virtualized/distributed data center
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`space.
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`12. Since 2010, I have been CEO of Big Tech Strategy, which specializes
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`in software design and technology strategy consulting. My responsibilities include
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`developing and implementing go-to-market strategies for early stage clients
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`developing software products in various technology spaces including speech and
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`natural language processing, data center management and cloud computing,
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`enterprise software, “big data” analytics, network security, and architecture
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`engineering and construction. Big Tech Strategy provides consulting services to
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`inventors of software and software controlled systems in both large companies and
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`startups. I specialize in working with inventors to design and deploy new and
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`innovative products in a manner that assures market adoption and eventual
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`profitability. Over the past few years, I have worked closely with several
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`companies focused on natural language processing and speech processing as
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`applied to user interfaces deployed on mobile communications devices, and which
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`are implemented on supporting distributed systems.
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`13. My curriculum vitae, which is attached as Appendix A, further
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`provides a more detailed summary of my background and experience, and
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`additionally includes a list of my twenty-five (25) academic publications in the
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`field of speech and natural language processing.
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`14. By virtue of the above experience, I have gained a detailed
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`understanding of the technology that is at issue in this proceeding. I believe I am
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`qualified to provide opinions about how one of ordinary skill in the art would have
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`interpreted and understood the ’124 Patent and the art relied upon by the Petitioner
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`at the time of the invention of the ’124 Patent, as discussed below.
`
`D.
`15.
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`Summary of My Study
`I am aware that the Petition for Inter Partes Review (Paper 2,
`
`hereafter “Petition”) filed in the above-identified proceeding asserts two grounds
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`of invalidity of claims of the ’124 Patent (Ex. 1001). I understand that the first
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`ground of invalidity (“Ground 1”) is based on the combination of U.S. Patent No.
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`7,003,463 (“Maes”) (Ex. 1005) and U.S. Patent Pub. No. 2003/0046061
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`(“Preston”) (Ex. 1006). I understand that the second ground of invalidity
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`(“Ground 2”) is based on the combination of U.S. Patent No. 7,027,975
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`(“Pazandak”) (Ex. 1007), U.S. Patent Pub. No. 2002/0072918 (“White”) (Ex.
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`1008), and U.S. Patent No. 7,085,708 (“Manson”) (Ex. 1009).
`
`16.
`
`I have reviewed the ’124 Patent, the Petition, the Declaration of Dr.
`
`Jason Flinn, Ph.D. (“the Flinn Report”) (Ex. 1002), the references relied upon for
`
`Ground 1 and Ground 2, as well as each reference cited by the Petition and/or the
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`Flinn Report.
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`17. My opinions are set forth below, and are based on my years of
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`education, research, and experience, as well as my investigation and study of the
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`materials identified above. I make these statements based upon facts and matters
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`within my own knowledge or on information provided to me by others. All such
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`facts and matters are true to the best of my knowledge and belief.
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`II. RELEVANT LEGAL STANDARDS
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`18. My understanding of the relevant legal standards is based on
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`information provided to me by Patent Owner’s counsel.
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`A. Claim Construction
`I understand that in an inter partes review proceeding, the claims of a
`19.
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`non-expired patent are construed from the perspective of one of ordinary skill in
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`the art at the time of the claimed invention and are given their broadest reasonable
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`construction consistent with the specification.
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`B. Obviousness
`It is my understanding that an invention is unpatentable if the
`20.
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`differences between the invention and the prior art are such that the subject matter
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`of the invention as a whole would have been obvious at the time the invention was
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`made to a person having ordinary skill in the art. I further understand that
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`obviousness is determined by evaluating: (1) the scope and content of the prior art,
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`(2) the differences between the prior art and the claim, (3) the level of ordinary
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`skill in the art, and (4) secondary considerations of nonobviousness. To establish
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`obviousness based on a combination of prior art references, it is my understanding
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`that a petitioner must identify a specific combination that teaches all limitations
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`and establish that a person of ordinary skill in the art at the time of the claimed
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`invention would have found it obvious to make that combination.
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`21. To guard against hindsight and an unwarranted finding of
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`obviousness, I understand that an important component of any obviousness inquiry
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`is whether the petitioner has identified any teaching, suggestion, or motivation that
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`would have prompted a person of ordinary skill in the art to make the claimed
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`combination and have a reasonable expectation of success in doing so. I
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`understand that this test should not be rigidly applied, but can be an important tool
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`to avoid the use of hindsight in the determination of obviousness.
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`22.
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`I further understand that the teaching, suggestion, or motivation may
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`be found explicitly or implicitly: (1) in the prior art; (2) in the knowledge of those
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`of ordinary skill in the art that certain references, or disclosures in those references,
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`are of special interest or importance in the field; or (3) from the nature of the
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`problem to be solved. Additionally, I understand that the legal determination of
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`the motivation to combine references allows recourse to logic, judgment, and
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`common sense. In order to resist the temptation to read into prior art the teachings
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`of the invention in issue, however, it should be apparent that “common sense”
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`should not be conflated with what appears obvious in hindsight.
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`23.
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`I understand that it is improper to combine references where the
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`references teach away from their combination. I understand that a reference may
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`be said to teach away when a person of ordinary skill in the relevant art, upon
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`reading the reference, would be discouraged from following the path set out in the
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`reference, or would be led in a direction divergent from the path that was taken by
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`8
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`the applicant. I further understand that if the teachings of a prior art reference
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`would lead a person of ordinary skill in the art to make a modification that would
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`render another prior art device inoperable, then such a modification would
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`generally not be obvious. I also understand that if a proposed modification would
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`render the prior art invention being modified unsatisfactory for its intended
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`purpose, then there would have been no suggestion or motivation to make the
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`proposed modification.
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`III. ONE OF ORDINARY SKILL IN THE ART
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`24.
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`I understand that Petitioner and the Flinn Report have alleged that a
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`person of ordinary skill in the art in the field of the invention claimed in the ’124
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`Patent would have had “a Bachelor’s degree or equivalent in computer science,
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`electrical engineering, or a similar related field, as well as 1-2 years of experience
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`working with natural language programming.” (Petition at 4; Ex. 1002 at ¶ 14).
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`25.
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`I believe I am qualified based on my education and experience,
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`discussed above, to render opinions from the perspective of a person of ordinary
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`skill in the art according to Petitioner’s proposed definition, and for the purposes of
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`my opinions herein, I have used this definition. In particular, I have read the ’124
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`Patent, Maes, Preston, Pazandak, White, and Manson, and have considered their
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`disclosures from the perspective of such a person of ordinary skill at the time of the
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`invention of the ’124 Patent. Unless otherwise stated, my statements made herein
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`refer to the knowledge of one of ordinary skill in the field of the invention claimed
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`in the ’124 Patent.
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`IV. OVERVIEW OF THE ’124 PATENT
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`26. The ’124 Patent, entitled “Natural Language for Programming a
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`Specialized Computing System,” is directed to a method and corresponding system
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`for “programming a mobile communication device based on a high-level code
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`comprising operative language [].” (Ex. 1001, Title, Abstract). The ’124 Patent
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`describes a way for a user to control and/or program a mobile communication
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`device (such as a cell phone) by providing high level inputs in a natural human
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`language. (Id. at Abstract, 1:55-58).
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`27. The ’124 Patent describes that the natural language input is processed
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`and automatically converted into low level executable code that runs on the mobile
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`communication device. (Id. at Abstract, 2:1-13, 5:5-10, FIG. 2). The approach
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`described in the ’124 Patent eliminates the need for the user to interact at a low
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`level with menu items available down at the operating system level of the mobile
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`communication device. (See id. at 8:59-67, 9:47-10:4). This makes it possible for
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`users to control or program the device using high level and natural human
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`language, as opposed to low level technical controls or code.
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`28. As described in the ’124 Patent, a user provides “[h]igh-level code
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`150 [which] may comprise one or more sentences, wherein each sentence
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`comprises at least one operative language (i.e. keyword) defining an instruction for
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`a function or an operation to be performed. In one embodiment, the sentences also
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`comprise keywords defining conditions or relationships based on which an
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`operation is performed.” (Id. at 4:17-23). The system and method described in the
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`’124 Patent allows a user to provide high level inputs in a natural human language
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`without making any limiting assumptions about the content of the high-level code.
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`The approach described in the ’124 Patent supports an unlimited range of natural
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`language inputs from a user.
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`29. To process the possible range of natural language inputs from a user,
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`the ’124 Patent relies, in part, upon the automated determination of both the level
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`of complexity and the implementation of the high level input as it arrives, and then
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`also upon designating which application software will be used to process the input.
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`(Id. at 4:58-5:4, 9:14-17, 10:18-21). Given the wide range of words and intentions
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`that might be present in the user’s high level inputs, the processing required to
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`respond appropriately might be determined to take place in a specific fashion
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`available in a specific place in the network. The ’124 Patent explicitly relies upon
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`looking at the high-level code itself for its complexity and implementation in order
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`to proceed in the best manner to complete its processing. (Id.)
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`30. Additionally, to process the high-level code, the ’124 Patent relies on
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`a specific parsing technique commonly referred to as “keyword spotting” or
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`“keyword searching,” which scans through the input looking for particular
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`keywords. (Id. at Abstract, 2:1-9, 5:31-61, 9:1-9, 10:5-13). The ’124 Patent
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`discloses the use of keyword spotting on the input high-level code, looking for
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`keywords indicative of “operative language” in the input that corresponds to
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`operations of the mobile communication device and keywords indicative of
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`“relationships and conditions corresponding to the operative language.” (Id.)
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`31. The ’124 Patent describes that the high-level code that is input by the
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`user is processed to produce executable code. (Id. at Abstract, 2:8-9, FIG. 2). Not
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`all of the computation for the processing of the high-level code is required to
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`happen on the mobile communication device. The ’124 Patent describes in detail a
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`system and method which, depending on the complexity and implementation of the
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`input high-level code, processes the input high-level code on a mobile
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`communication device, a server attached to the mobile communication device via a
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`network, or a combination of both. (See id. at 1:55-2:55, 4:49-5:4, FIGS. 1-2).
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`V. OPINION ON CLAIM CONSTRUCTION
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`32.
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`I understand that claim construction is the common terminology used
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`to describe the interpretation of claim terms. It is also my understanding that in
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`this inter partes review proceeding, the claim terms are to be given their broadest
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`reasonable interpretation consistent with the specification and file history of the
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`’124 Patent, as understood by one of ordinary skill in the art.
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`33.
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`It is my understanding that Petitioner has proposed a construction for
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`the term “operative language” as meaning “language associated with one or more
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`operations to be performed.” (Petition at 7). I have been instructed to adopt, and
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`have adopted, Petitioner’s construction for the purposes of my opinions.
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`34.
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`It is also my understanding that Petitioner has alleged that certain
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`terms should be interpreted as means-plus-function claim terms and has proposed
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`corresponding structures for each term. (Petition at 8-13).
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`35.
`
`I understand that Petitioner proposes the term “means for receiving a
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`high-level code comprising one or more keywords,” as recited in claim 6, includes
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`“a user interface, including a keypad, pointing device, touchscreen, keyboard,
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`microphone, or equivalents thereof.” (Petition at 9). I have been instructed to
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`adopt, and have adopted Petitioner’s proposal for the purposes of my opinions.
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`36. Further, I understand that Petitioner proposes that the following claim
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`terms, recited in claim 6, include “software running on a processor configured to
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`perform the identified functions or equivalents thereof”: “means for parsing the
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`high-level code for the keywords to recognize the operative language associated
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`with controlling one or more operations of the mobile communication device”;
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`“means for determining at least one operation associated with the operative
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`language”; “means for determining whether high-level code comprises keywords
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`defining one or more relationships and conditions corresponding to the operative
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`language”; “means for producing an executable code”; “means for determining
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`level of complexity and implementation of the high-level code”; and “means for
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`designating an application software to process the high-level code.” I have been
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`instructed to adopt, and have adopted, Petitioner’s proposals for the purposes of
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`my opinions.
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`VI. GROUNDS BASED ON MAES AND PRESTON
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`37.
`
`It is my understanding that the Petitioner has alleged that the
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`combination of Maes and Preston renders claims 1-10 of the ’124 Patent
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`unpatentable. (Petition at 2). Having reviewed, among other things, Maes,
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`Preston, the Petition, and Petitioner’s support for its allegations, it is my opinion
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`that the combination of Maes and Preston as presented by the Petitioner does not
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`render obvious claims 1-10 of the ’124 Patent. Particularly, the combination of
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`Maes and Preston does not disclose or suggest every element of independent
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`claims 1 and 6 as alleged in the Petition.
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`A.
`
`Summary of the Asserted References
`1. Maes
`38. Maes is entitled “System and Method for Providing Network
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`Coordinated Conversational Services.” Maes describes a “system and method for
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`providing automatic and coordinated sharing of conversational resources, e.g.,
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`functions and arguments, between network-connected servers and devices and their
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`corresponding applications.” (Ex. 1005 at Abstract). Generally, Maes describes a
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`computing system architecture (including both software and hardware) that
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`automates control of load assignment and load distribution for computational tasks
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`rendered in support of requests from third party applications to provide
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`conversational services.
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`39. The third party applications referred to in Maes as the source of
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`requests for conversational services would have been understood to be software
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`applications that allow a human to interact with an artificial system using his or her
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`own natural language. Maes provides to these applications access conversational
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`services that are, in general, complex, resource-intensive, and expensive to operate,
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`such as speech recognition, natural language understanding, text-to-speech
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`generation, natural language generation, and speaker identification. (See, e.g., id.
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`at 1:49-60, 4:24-29, 4:57-62, 8:13-16). Maes does not describe how these
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`conversational services are designed and/or how each functions. Instead, Maes
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`focuses on describing a system and method for sharing these services among
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`networked devices.
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`40.
`
`In its background, Maes explains that “with the emergence of
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`pervasive computing, it is expected that billions of low resource client devices
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`(e.g., PDAs, smartphones, etc.) will be networked together.” (Id. at 1:36-38).
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`Additionally, Maes expects that due to their limited resources, client devices may
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`not be able to perform complex conversational tasks. (Id. at 1:50-60). To solve
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`this problem, Maes expresses the need for “a system and method that allows a
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`network device with limited resources to perform complex specific conversational
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`tasks automatically using networked resources in a manner which is automatic and
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`transparent to a user.” (Id. at 2:27-31).
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`41. Maes describes how various conversational services (speech
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`recognition, natural language understanding, text-to-speech, etc.) offered by
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`networked devices can be catalogued and deployed in a distributed fashion, and
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`how automated location and execution of these services can be accomplished
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`whenever a request arrives for the specific use of one of the available services.
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`42. The invention described in Maes is therefore “directed to a system and
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`method for providing automatic and coordinated sharing of conversational
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`resources between network-connected servers and devices (and their corresponding
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`applications).” (Id. at 2:35-38). Maes describes a system in which networked
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`devices are made “conversationally aware” of each other by using conversational
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`network protocols to transmit messages, processed by dialog managers, to
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`automatically share conversational resources and functions among the networked
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`devices, and the method of operating such a system. (Id. at 2:35-48, 5:19-25).
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`Preston
`2.
`43. Preston is entitled “Apparatus for Automatically Generating Source
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`Code.” Preston describes, “[a] method of automatically generating software from
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`one or more predefined functions in accordance with an input statement entered in
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`natural language.” (Ex. 1006 at Abstract). The invention in Preston “relates to
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`apparatus for automatically generating source code, and is particularly, but not
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`exclusively, suitable for generating source code for communication services.” (Id.
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`at [0001]).
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`44. Generally, Preston is about replacing human computer programmers
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`where possible – in cases where the programmer would have been working on
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`simpler or well understood programming tasks. Preston additionally identifies that
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`there are “many situations where it is desirable for a non-programmer to be able to
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`program a system so that it can subsequently act on his or her behalf without
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`further interaction.” (Id. at [0007]). Preston explains that a non-programmer
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`should therefore be able to program a system without the need to learn a particular
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`programming language. (Id. at [0008]).
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`45. Preston therefore describes a method to allow a non-programmer user
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`to input a natural language instruction and have it be analyzed and used to put
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`together source code customized for carrying out the user’s wishes. (Id. at [0049]).
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`As described by Preston, a user inputting a natural language instruction to create
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`source code is only allowed to draw upon a fixed, limited library of pre-defined
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`and pre-existing functions. But, if the user is willing to choose from the limited
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`options made available, then Preston describes a way to take in natural language as
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`input and produce source code as output.
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`46.
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`In Preston, certain natural language descriptions are associated with
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`pre-defined functions and their relationships are stored in data storage. (Id. at
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`[0057]). A user inputs natural language and the method determines whether the
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`input natural language is associated with any pre-defined functions in the data
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`storage. (Id. at [0061]). If the user’s input is associated with a function contained
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`in the data storage, a code generator generates source code corresponding to the
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`pre-defined function. (Id.)
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`B.
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`Petitioner’s Proposed Combination of Maes and Preston Does Not
`Render Obvious Claims 1 and 6
`1. Maes and Preston do not disclose or suggest “parsing the
`high-level code for the keywords” as alleged by Petitioner
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`47.
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`I understand that in support of Petitioner’s allegation that the
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`combination of Maes and Preston renders obvious claims 1 and 6, Petitioner has
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`exclusively relied on Maes for its purported teaching of:
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`[means for] parsing the high-level code for the keywords to recognize
`the operative language associated with controlling one or more
`operations of the mobile communication device.
`
`In my opinion, the combination of Maes and Preston presented by the Petitioner
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`cannot render obvious claims 1 and 6, at least because Maes does not disclose or
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`suggest “parsing the high-level code for the keywords” as alleged in the Petition.
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`48. A person of ordinary skill in the art would understand that the step of
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`“parsing the high-level code for the keywords” as recited in claims 1 and 6 refers
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`to a particular parsing technique that requires parsing an input (i.e., high-level
`
`code) to identify keywords. This parsing technique is commonly referred to in the
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`art as “keyword spotting” or “keyword searching.” A person of ordinary skill in
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`the art would understand that when parsing for keywords, the parser does not
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`account for or rely upon items in the input (high-level code) that are not keywords,
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`but rather selectively and individually identifies particular items in the input
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`sequence (i.e., the keywords).
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`49. A person of ordinary