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`UNITED STATES PATENT AND TRADEMARK OFFICE
`_____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_____________
`
`GOOGLE LLC,
`Petitioner,
`
`v.
`
`HAMMOND DEVELOPMENT INTERNATIONAL, INC.,
`Patent Owner
`_____________
`
`IPR2020-00020 (Patent 9,264,483 B2)
`IPR2020-00080 (Patent 10,264,032 B1)
`____________
`
`Record of Oral Hearing
`Held Virtually: January 29, 2021
`
`BEFORE: MICHELLE N. WORMMEESTER, AMBER L. HAGY, and
`KRISTI L.R. SAWERT, Administrative Patent Judges.
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`Paper # 37
`Entered: 03/02/2021
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`
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`IPR2020-00020 (Patent 9,264,483 B2)
`IPR2020-00080 (Patent 10,264,032 B1)
`
`A P P E A R A N C E S
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`
`ON BEHALF OF PETITIONER:
`
`
`KEVIN D. RODKEY, ESQUIRE
`FINNEGAN, HENDERSON, FARABOW, GARRETT & DUNNER,
`LLP
`901 New York Avenue NW
`Washington, DC 20001
`202-408-4000
`
`
`ON BEHALF OF THE PATENT OWNER:
`
`
`JOSEPH P. OLDAKER, ESQUIRE
`NELSON BUMGARDNER ALBRITTON P.C.
`Suite 300
`3131 W 7th Street
`Ft, Worth, TX 76107
`817-377-9111
`
`
`
`ALSO PRESENT: ERIKA ARNER, TIMMER INGAN (ph),
`YI YU, and ANDREW WRIGHT
`
`The above-entitled matter came on for hearing on Friday,
`January 29, 2021, commencing at 10:00 a.m. EST, by video/by telephone.
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`IPR2020-00020 (Patent 9,264,483 B2)
`IPR2020-00080 (Patent 10,264,032 B1)
`
` (Proceedings begin at 10:00 a.m.)
` JUDGE HAGY: Good morning, everyone. This is our combined
`hearing for IPR2020-00020 and IPR2020-00080, between Petitioner Google
`LLC and Patent Owner Hammond Development International Inc. The
`challenged patents are U.S. Patent No. 9,264,483 and
`10,264,032, respectively.
` I'm Judge Hagy. With me today on the panel are
`Judges Sawert and Wormmeester. And I assume everyone saw, we
`did have a panel change. The panel change was just for
`purposes of efficiency as we have a lot of these cases that are all together.
`So in case anyone was curious, I just wanted to
`point that out.
` So let's go ahead and start with counsel
`introductions.
` Petitioner, please identify who will present your
`argument.
` MR. RODKEY: Good morning, Your Honors. My name is
`Kevin Rodkey with Finnegan for Google. I will be presenting
`the arguments. With me is Erika Arner, also with Finnegan,
`lead counsel for Google. On the phone, we have Timmer Ingan,
`in-house counsel for Google, and Yi Yu, with Finnegan.
` JUDGE HAGY: Okay.
` All right. And counsel for Patent Owner?
` MR. OLDAKER: Good morning, Your Honors. Joseph
`Oldaker of Nelson Bumgardner, Albritton P.C. on behalf of
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`IPR2020-00020 (Patent 9,264,483 B2)
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`Hammond Development International, Patent Owner. On the phone
`is -- I will be presenting for Patent Owner. On the phone is
`Andrew Wright, also with Nelson Bumgardner Albritton, who is
`lead counsel.
` JUDGE HAGY: Okay. Great.
` Well, welcome, everyone. It's good to have you
`here, and we appreciate that you made the effort to do this by
`video. So just as a reminder, if at any time during the
`proceeding you encounter any technical difficulties or any
`other difficulties that you feel would undermine your ability
`to present your argument to be heard, please let us know
`immediately, for example, by contacting the team members who
`provided you with the connection. So just let us know. And we
`don't anticipate any issues, but if they do happen, we will
`take care of them.
` We set forth the procedure for the hearing in the
`order, and we're going to hear both of these cases at the same
`time. Given the overlap, and we saw the parties’ slides, we're
`just -- we're going to go ahead and hear from Petitioner first
`on both cases, followed by Patent Owner on both cases, et
`cetera. Both parties have 60 minutes total for the arguments,
`which you may divide up as you see fit.
` Does anyone have any questions or concerns on that
`approach? No?
` MR. RODKEY: No, Your Honors.
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`IPR2020-00020 (Patent 9,264,483 B2)
`IPR2020-00080 (Patent 10,264,032 B1)
` JUDGE HAGY: We do have the whole record in front of
`us, including -- we received both parties' slides on Tuesday,
`so we have those. And just so the record is clear, please be
`sure and let us know what slide you're referencing so we can
`follow along or what exhibit. And if you jump in between
`documents, maybe just give us a second or two to make sure
`that we can locate it.
` Also, once we begin the arguments, please mute the
`line when you're not speaking. And in case it's been a little
`while since you've spoken, it might be helpful if you identify
`yourself for the court reporter. After our time is up, we
`will pause, and we will make sure that the court reporter
`doesn't have any questions about spellings or something like
`that to address. So that will happen at the end.
` So as you all know, the Petitioner bears the burden
`of persuasion here and will proceed first, followed by Patent
`Owner. Petitioner may reserve time for rebuttal, and Patent
`Owner may reserve time for sur-rebuttal. So I'm going to keep
`time on my handy little iPhone here because, you know, of
`course, we don't have the light system. I'm going to ask the
`parties now to state how much time you would like to reserve.
` So Petitioner, how much time would you like to
`reserve for rebuttal?
` MR. RODKEY: May I reserve 20 minutes, please, Your
`Honor?
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`IPR2020-00020 (Patent 9,264,483 B2)
`IPR2020-00080 (Patent 10,264,032 B1)
` JUDGE HAGY: Okay.
` And Patent Owner?
` MR. OLDAKER: I'll reserve 15 minutes.
` JUDGE HAGY: Okay. So I will keep track of this,
`and I will -- if you do start running into the time you've
`reserved, I will let you know that. Okay. So -- and -- you
`know, at the end of each of your presentations, I'll let you
`know how much time you have left.
` So quickly, ground rules. We want to keep the
`arguments focused on the merits. So I'm sure you guys already
`know this, but there's no interruptions, no objections. It's
`not district court. Instead, you may raise and discuss any
`objections that you have during your time to argue.
` So that covers the opening housekeeping. Assuming
`that no one has any questions, I think we are ready to begin.
` Counsel for Petitioner, when you're ready.
` MR. RODKEY: Good morning, Your Honors. Kevin
`Rodkey for Petitioner. As mentioned, these IPRs involve two
`patents owned by Patent Owner, Hammond Development; the '483
`Patent and the '032 Patent. The '032 Patent is a continuation
`through a series of continuations of the '483 Patent, and so
`they share the same specification and same general technology.
` I think it's helpful to discuss, generally, what
`these patents are directed to. And the Hammond Patents are
`directed to automated voice response systems. One common
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`IPR2020-00020 (Patent 9,264,483 B2)
`IPR2020-00080 (Patent 10,264,032 B1)
`example of this type of system is when a person calls a
`hotline for an airline to check the status of a delayed
`flight. A person picks up their handy phone -- cell phone,
`and calls the airline's hotline, and hears an automated voice
`that says, "Do you want to check the status of an existing
`flight, or do you want to book a new flight?" And the person
`says, "I want to check my existing flight."
` The hotline -- the server at the end processes that
`request and then asks the person through another automated
`voice, "What's your flight number?" And the person says, "My
`flight number is 1234." The system checks the flight number
`and tells the person that their flight's been delayed until
`6:00 p.m. The person, having gotten the information that they
`wanted, then hangs up their phone. That's the general
`technology.
` But this technology was commonplace long before
`Hammond filed its patents, and it was pervasive through the
`art. Hammond says that its alleged invention was doing some
`of the processing on the user's device. But as shown by the
`record, including multiple prior art references, this was also
`commonplace in the art. They merely moved the location of
`processing from one location to the other.
` If you will turn to Slide 6 of Petitioner's
`demonstratives, I think understanding the general structure of
`the prior art in the Hammond Patents is helpful to put
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`IPR2020-00020 (Patent 9,264,483 B2)
`IPR2020-00080 (Patent 10,264,032 B1)
`everything in perspective. And on Slide 6, we have Figure 1D
`of the Hammond Patents in the top-left corner. Figure 2 of
`Gilmore prior art reference, Exhibit 1005, top-right corner.
`And Figure 4 of the Dodrill reference, Exhibit 1006, in the
`bottom-left corner.
` And as you can see from these, the structure is
`generally the same. They all have a user device, which is
`shown in orange. That can be a telephone, it can be a
`cellular phone or mobile phone, a personal data assistant or
`PDA, or a personal computer that's connected to the system via
`the blue cloud networks. And those networks can be any number
`of networks, including public switch telephone networks,
`PSTNs, as you see in some of the figures, IP networks, which
`are data networks or internet protocol, voice-over IP, which
`is a combination of voice and IP networks, or generally any
`other sort of data or voice network.
` On the server side -- or the system side, you have
`three components. One is the yellow, what the Hammond Patents
`called the application server. That's where the application
`that interacts with the user is actually processed. So in the
`example I gave, it's where the voice -- the automated voice is
`generated to ask the user, do they want to check their
`existing flight.
` It receives those applications from what the Hammond
`Patents call the repository, which is the green box in each of
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`IPR2020-00080 (Patent 10,264,032 B1)
`-- the bright green box, I should say, in each of these
`figures. What the repository does is it just grabs the
`application from storage, a database, which is shown in red.
`That's a red cylinder. It's a datastore in Gilmore. It's a
`database in Dodrill and the Hammond Patents. And you get that
`application, and it sends it to the voice gateway or the
`application server for processing where it's executed, and the
`voice is output. Dodrill teaches the alternative of simply
`moving that processing to the user device.
` Hammond's Patent Owner Response has raised a number
`of arguments in these proceedings, but I think to clarify the
`issues for the Board, there are really only four issues that
`need to be resolved. Two are common across the '483 Patent
`and the '032 Patent, and two are specific to the '032 Patent.
`The rest of Hammond's arguments don't affect the outcome of
`patentability because whichever way the Board decides, the
`claims are unpatentable.
` If you'll turn to Slide 8 of Petitioner's
`demonstratives, these are the two issues that are common to
`the '483 and '032 Patents that the Board needs to resolve. The
`first issue is whether a request, as used in the claims, must
`be at a computer code level instruction. And it doesn't.
`Hammond makes two arguments, this relates to two terms, as we
`will discuss in a minute. But the correct resolution is, the
`term "request," as used in the patents, is used in this ordinary
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`IPR2020-00020 (Patent 9,264,483 B2)
`IPR2020-00080 (Patent 10,264,032 B1)
`manner, and not limited to computer code instructions. When
`that ordinary manner is looked at, the claims are
`unpatentable.
` The second issue that's common is whether identical
`disclosure is required to combine the Gilmore and the Dodrill
`references in the prior art. There's no requirement in
`obviousness law that the technology be identical. In fact,
`the opposite is true. It actually doesn't even need to be
`capable of being combined. But more importantly, here, where
`we're only moving processing from one location to another, the
`claims are obvious as a matter of law.
` On Slide 9 of Petitioner's demonstratives are two
`issues specific to the '032 Patent. The first one is whether
`Gilmore, Exhibit 1005, generates a, quote, "voice
`representation" of information derived from an application.
`The correct resolution of this is that it does. It uses
`voice-over IP, and it creates the voice that the user hears by
`looking to WAV files and text files and then converting those
`into speech. And so the WAV and the text files provide the
`information, it's turned into speech that the user hears, and
`that's your voice representation.
` The second issue is whether Gilmore generates
`packetized voice data. Again, it uses voice-over IP as a
`packetized data communication protocol, which Google's expert,
`Mr. Lipoff, explained, and is also supported by the Dhara
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`reference. And, in fact, in the '032 Petition, the petition
`specifically calls out Dhara as supportive of this point in
`rendering it obvious.
` On Slide 10 of Petitioner's demonstratives are the
`remaining issues that Hammond has raised, including whether
`VoiceXML scripts are, quote, "applications" as this -- as that
`term we used in the patents, the meaning of processing
`service, communication, and repository. None of these affect
`patentability, and we'll talk about that at the end.
` And for my order, I think it's helpful to begin with
`"request" as the first issue. The derivation in the '032 Patent
`as the second issue. Moving on to packetized voice data, and
`then the motivation to combine issue. And if there's time
`leftover, I would like to discuss applications.
` If you'll turn to Slide 12 of Petitioner's
`demonstratives, we have a chart showing the various parties'
`positions. Petitioner's position is that no construction is
`necessary because, as we saw in Slide 6, the structure of the
`prior art and the Hammond Patent are essentially the same.
`Hammond asked the court to adopt the district court's plain
`and ordinary meaning, but then layers on top of that this
`additional requirement that the request must be at a
`computer-code-instruction level. That's not supported by
`either the claims or the specification of the '032 Patent or
`the '483 Patent.
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`IPR2020-00080 (Patent 10,264,032 B1)
` If you'll turn to Slide 13, I believe this is a
`framework that's going to help the Board with their analysis.
`So the issue that we're discussing is, is a request only at
`computer coding level instructions? And this affects two
`terms. It affects the term, "request for processing service,"
`and it affects the term, "request to establish a communication
`session." On the left side, we have the flow chart for --
`depending on how the Board comes out of this.
` If you agree with Google, and a request is not
`limited to only computer code instructions, the claims are
`unpatentable. Because Gilmore has a request, the user
`contacting the system through their communication device,
`whether it's a phone or a PDA or a computer, is the user's
`desire to interact. That's an action that's a request to
`interact with that system.
` If you adopt the computer-code-instruction that
`Hammond asks, which is incorrect based on the specification
`and the claims of the Hammond Patents, Dodrill renders obvious
`this computer code instruction by sending the code to the user
`device. So the claims are still unpatentable.
` JUDGE HAGY: Well, Counsel, I have a question.
`Request for processing service does seem like it's a key issue
`here. The district court construed a request for processing
`service in a manner that talks about a computing process
`performed by a communication device. And, you know, in going
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`IPR2020-00020 (Patent 9,264,483 B2)
`IPR2020-00080 (Patent 10,264,032 B1)
`back through the record, it looks like the district court
`essentially adopted Google's proposal, cutting off what looked
`like a negative limitation about something that couldn't be
`done over a microphone or a speaker.
` So without computer code being involved, what
`computing process would be performed by a communication device
`in Gilmore if we adopted that construction?
` MR. RODKEY: Sure. So it could be performed a
`number of ways. One is that, like I said, voice-over IP is a
`packetized system. It's packetized protocol. So is IP, which
`is discussed specifically in the Gilmore reference. So we
`have to reassemble these packets in order to hear the voice
`that's output from the server side, and that would involve
`processing because there's no other way to get the packets
`back in the correct form.
` And I think we need to differentiate the issue of
`request from processing service. You can have a request that
`triggers computing processes that are not themselves computer
`code. And these are even talked about in the Hammond Patent.
`So when the user responds to a query or a question, in the
`example I gave, they said they want to check an existing
`flight, that's their voice going back to the system. But then
`the system executes code, a process -- a computing
`process that determines what the user said. So when you
`separate those two things, you don't arrive at the conclusion
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`IPR2020-00080 (Patent 10,264,032 B1)
`that a request must be computer code.
` JUDGE HAGY: I'm muted.
` Not the request itself; I get that. But -- so
`you're saying that if we were to adopt the district court's
`construction of processing services involving a computing
`process performed by a communication device, it's Google's
`position that that computing process would encompass a
`reassembly of digitized packets in a voice-over IP system?
` MR. RODKEY: Yes, Your Honor. (indiscernible)
` JUDGE HAGY: And it doesn't require something else?
` MR. RODKEY: Yes, because that's -- you have to put
`those packets back in order and then output them somehow. And
`if you're putting IP packets in order, you're processing, and
`then it's going to a speaker to be played. So some processing
`is going on there. But I think the bigger point is, that
`Dodrill renders this obvious, even if you don't agree on
`Gilmore. And the reason for that is, the Dodrill reference
`specifically sends an executable file, as shown in Figure 7 of
`Dodrill, that's been executed on the user device and plays the
`response directly to the user on the device. So it comes out
`either way, whether you agree on Gilmore or not, Dodrill still
`renders it obvious.
` The second term that "request" affects is "request to
`establish communication session." And the -- I think it's
`important to understand the two different requests here. As
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`IPR2020-00080 (Patent 10,264,032 B1)
`was just pointed out, there's a request for processing service
`that talks about -- even if you adopt the district court's
`construction of processing service, computing processes.
` But the Hammond Patents don't have that same
`limitation on establishing a communication session, and
`there's no limitation on what that request is in the Hammond
`Patents. And it's used in its ordinary meaning of just simply
`the user contacting, somehow, the server side of the system.
`And so when you don't limit it, that's unpatentable.
` If you adopt Hammond's construction, which is the
`far-right box, for computer code only, again, that would be
`legal error. We'll talk about the reasons for that because
`the construction's not supported. But even Dodrill and Dhara
`do talk about sending HTML requests and HTTP requests, which
`would fall under that, although those are not specifically
`called out in the Petition.
` Turning to Slide 14, I have exemplary Claims 10 of
`the '483 Patent.
` JUDGE SAWERT: Counsel? Can we go back to request
`for processing service for one moment? And using your example
`of calling for flight status, could you walk through that in
`terms of what request for processing service would be?
` MR. RODKEY: Yes, Your Honor.
` So request for processing service is something that
`comes from the server side to a user device side. And using
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`IPR2020-00080 (Patent 10,264,032 B1)
`the example, when the user says, "I want to check my existing
`flight status," the server side hears that and determines that
`the next question that should be asked of the user is, "What's
`your flight number?" And it packages that into voice packets
`because we're -- we are talking about a cell phone, which uses
`IP or voice-over IP protocols, and it sends that out to the
`user device. Those are then reassembled, and so you get that
`request to reassemble.
` However, what the Dodrill reference teaches is that
`instead of sending the voice out, the server side could send
`out a small executable that has an instruction, and the WAV
`file, the voice file, that has the question, "What's your
`flight number?" You send that to the user device, and the user
`device executes that on the user device. So your executable
`file would be your request for processing service in that second
`alternative. And that's what the Dodrill reference teaches in
`Figure 7 and Column 12.
` JUDGE SAWERT: Okay. Thank you.
` MR. RODKEY: Returning to Petitioner Slide 14, we've
`highlighted "request" where it appears in each of these two
`claims. And there's an important distinction to be drawn here
`as to why you should not limit, and the claims don't support
`limiting "request" to just computer code. At the top of slide
`-- of Claim 10 is request from the communication device to
`establish a communication session. There's no limitation
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`placed on what that request is; it's just used in the ordinary
`manner.
` The three references at the bottom relate to the
`request for processing service. And the first two just refer
`to a request for processing service with no limitation as to
`what the request is. However, the last one says, "The request
`for processing service comprises one or more queries." A
`query is merely a question. It doesn't place any other
`limitation on it. So that query could be computer code
`related, or it doesn't have to be because there's no computer
`code limitation in the claim itself.
` By contrast, Claim 1 of the '032 Patent, if you look
`at the last usage of the word request, which also relates to
`request for processing service, it comprises an instruction to
`present the user the voice representation. That instruction
`could be computer code. And -- so you see this difference
`where the claim calls out something more specific, such as an
`instruction. It's expressly put into the claim. When it uses
`specifically a query, that's in the claim. But where you have
`something like "request to establish communication session" with
`no limitation put on "request," it's used in the ordinary
`manner. And this is consistent with the Specification itself,
`which excerpts are shown on Slide 15.
` In the top-left, we have Column 7, Lines 42 to 51
`for the '483 Patent, and corresponding disclosure in the '032
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`Patent, where it refers to queries or requests for information
`equating a query with a request again, but not limiting that
`request to computer code. A similar example in Column 8,
`Lines 42 to 44 of the '483 Patent, and the corresponding
`disclosure in the '032 Patent, talking about communicating a
`request through a network. Again, no limitation put on what
`that request is. In the top-right, '483 Patent, Column 4,
`Lines 28 to 31, a series of requesting information from the
`user or presenting information to the user. Again --
` JUDGE SAWERT: Counsel? One more clarifying
`question.
` I'm looking at the final clause of Claim 10,
`"Wherein the request for processing service comprises one or
`more queries for information from a user." Just to be clear,
`the request for processing service comes from the -- in your
`example, the automated system. And you're -- and the way
`you're reading this is that the automated system is asking for
`information from a user; is that right? Is that correct?
` MR. RODKEY: Yes, Your Honor. The -- go ahead.
` JUDGE SAWERT: And then another way you could read
`it, I think, is wherein the request for processing services
`comprises one or more queries for information from a user, in
`that the request for processing service is coming from the
`user, asking for information from the -- in your example, the
`online automated system. So can you speak about why we should
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`read it the way you're reading it versus the request coming
`from a user? What does "from a user" modify, I guess, would be
`my question.
` MR. RODKEY: We have read "from a user" as modifying
`the information. So it's querying information from a user.
`So information about the user, such as what would you like to
`do or what is your flight status? And if you look up at the
`second usage of the word request in Claim 10, it says,
`"Wherein the, at least, one application server is operable to
`communicate a request for processing service to the, at least,
`one communication device."
` So the request for processing service is in that
`clause coming from the application server, which is the voice
`gateway in Gilmore, or in my example, the automated system
`that was called-into by the user to the communication device,
`the user cell phone or computer or PDA. So that's why we were
`reading it that way.
` However, the way the Board is reading it, the claims
`would still be unpatentable because the user responds with a
`question, "I would like to check my flight status," or "I want to
`work with my existing flight," and then a processing service
`occurs on the server side, which evaluates what the user said.
`In the terms of Gilmore or VoiceXML, which is just one example
`of a language that these applications can be written in,
`that's called a grammar instruction. And it hears what the
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`user said, and it determines what the user said, and then it
`figures out the next way to respond. So that --
` JUDGE SAWERT: In that -- sorry.
` In that example, the processing is still occurring
`on the automated system side, right? How does the automated
`computer coding happen on the user side if it's the user who's
`sending a request for processing service under Google's
`district court construction?
` MR. RODKEY: Well, as I said, I think the language
`of Claim 10, it says that the request for processing service is
`communicated from the application server to the user device.
`If the user is working -- is communicating request for
`processing service for the user device to execute code, you
`can see that again in Dodrill, for example, the upload
`instruction that's part of the executable.
` That takes the user's response and converts that
`into an appropriate file, and then uploads it for the server
`to analyze. So that would be a computing process on the user
`device, based on the user's response if you read it that way.
` JUDGE SAWERT: Okay. Thank you.
` MR. RODKEY: I don't that would be --
` JUDGE SAWERT: I'm just trying to get to -- you say,
`either way, it's read -- the prior art reads on it, correct?
`And I'm just trying --
` MR. RODKEY: Yes, Your Honor --
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` JUDGE SAWERT: -- to understand what the prior art
`teaches that either way, the prior art reads on it. And I see
`where you're coming from, so --
` MR. RODKEY: Okay. Thank you.
` Let's turn to slide -- I believe 16 is the next one
`I'd like to go to, which is where Google's expert, Mr. Lipoff,
`confirmed that the call is the request to establish
`a communication session because it represents the user's action.
`It's that behavior that is the user asking to interact with
`the system, and then that the system will respond to.
` If there are no further questions on "request," I
`would like to turn to generating the voice -- I'm sorry,
`generating the voice representation, which is specific to the
`'032 Patent, Claims 1 and 9. If you'll turn to Petitioner's
`Slide 21?
` Generating the voice representation of information
`derived from the application happens in the Gilmore reference
`because a prompt instruction, which is what gets the audio
`file and plays the audio file, pulls that information from the
`application itself. It executes the instruction. That
`instruction includes a URL, which is the location of the file,
`and it then plays that file.
` So, for example, Paragraph 44 of Gilmore, which has
`been highlighted, says, "Executing the prompt instruction, the
`interpreter program either accesses the prompt file that
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`contains the voice data that is spoken to the user." It goes
`out, it gets it, but a user can't hear a computer file. So
`that is turned into the voice representation, the sound that
`the user actually hears, and that's derived from the location
`of the file, the URL, that's in the voice instruction itself.
` The other way this is done is through the conversion
`of text to speech. If Gilmore's system can't find the audio
`file or it doesn't exist, it uses text to speech, takes the
`text that's in the application, which is the information, and
`it converts that into the voice that the user hears. So it
`goes from text into a voice representation. It derives that
`information from the application by, essentially, reading the
`text and then converting it.
` It does it in another way, too. Which is, when the
`user responds, it processes the user's response, executing
`what's called a grammar. And in Paragraph 50 of Gilmore, it
`s