Case 3:06-cv-00056-PMP-VPC Document 644-11 Filed 05/28/08 Page 1 of 93

M ONTGOM ERY v.ETREPPID,DEPT OF DEFENSE

CaseNo.CV -N-06-056
EXHTRITS SUBM IW ED 02-07-2006 TO
2* JUDICIAL DISTRICT COURT OF NEVADA,
COIJNTY OF W ASHOE,
CA SE NO.CV 06-00114,DEPT.9

Case 3:06-cv-00056-PMP-VPC Document 644-11 Filed 05/28/08 Page 2 of 93

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EX H IBIT S

PLTF: ETREPPID TECH.INfI.

DEFT: DENNIS M O NTG OM ERY ,ETAL.
caseNo: CV06-00114 Dept.No: 9

ExbibitNe.
.

Party

t
2
3

Pltf

Pltf.

A m ended and Restated

O perating Agreem entof
IntrepidTeclmologies, LLC .
Dated Jan.1,1999

Deft.
Pltf
.

('
2lcrk:G.Bartlett

Description
D iagram ofEtreppid office
andwarehouse
Operating Agreem entof
Intrepid Technologies,LLC
Contribution Agreemcnt
dated Sept.28,1998

'-

PATY: J.Stephen Peek

DATY: ltoaald Joka Logar

5
Pltf.
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'

Pltf.

Am ended and Restated

Operating Agreem entof
IntrepidTechnologies, LLC.
D ated N ov.1,2001
Declaration ofJohn B.
H ennessey dated I?eb. 7,
2006
ExhibitA to the Am ended
and Restatcd Operating

Agreementofe'l-reppid

Date:2/7/06

M arked

O ffered

A dm itted

2/7/06

Noobj.

2/7/06

Obj.

2/7/06

7/06

Noobj.

2/7/06

/7/06

Noobj.

2/7/06

2.
/7/06

Noobj.

2/7/06

2/7/06

Obj.

2/7/06

2/7/06

Obj.

2/7/06

2/7/06

Obj.

2/7/06

2/7/06

Obj.

2/7/06

2/7/06

Obj.

2/7/06

2/

7/06

2/

Technologies,LI-C .

Pltf.

(Updatedasof03/01/03)
A ssignm entofU .S.O rigin

PatentApplicationdated
Pltft

'

PatentApplicationdated
Pltf.

'-

3/7/02
A ssignm entofU .S.O rigin

10

1/24/02
A ssigm nentofU .S.Origin

PatentApplicatioudated
Pltf.

6/12/01

PrintD ate: 2/8/2006

Case 3:06-cv-00056-PMP-VPC Document 644-11 Filed 05/28/08 Page 3 of 93

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EXH IB ITS

PLH7: ETREPPID TECH ,INC.

DEFT: DENNIS M O NTGO M ERY,ETAL.
CaseNo: CV06-00114 Dept.N o: 9

ExhibitNo.

Party

1l

PATY: .
J.Stephen Peek
DATY: Ronald John Logar

Clerk:G.Bartlett

Description
Assignm entofU.S.Origin

O ffered

A dm itted

2/7/06

Obj.

2/7/06

2/7/06

Obj.

2/7/06

2/7/06

Obj.

2/7/06

2/7/06

Obj.

2/7/06

2/7/06

Obj.

2/7/06

2/7/06

Obj.

2/7/06

2/7/06

Obj.

2/7/06

ofPromissoryNottand

2/7/06

Noobj.

2/7/06

Security Agreem ent

A utom ated D at
M anagem entSystem forthe
CriticalCare Labom tory
U serguide

2/7/06

Copyofpages18,22,32,

2/7/06

PatentApplicationdatcd
Pltf.

12
13

1/24/02
A ssignm entofU .S.Origin

PatentApplicationdated
Pltf.

1/24/02

AjsignmentofU.S.Orkin
PatentApplicationdated

14
Pltf.

15

1/24/02
A ssignm entofU.S.Origin

PatentApplicationdated
Pltf

M arked

1/24/02
A ssignm entofU .S.Origin

PatentApplicationdated
Pltf

Date:2/7/06

3/20/0 l

A ssignm entofU.S.Origin

16

PatentApplicationdated
Pltf.

1/24/02
A ssigm nentofU .S.O rigin

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PatentApplicationdated
Pltf.

1/24/02

A greem entand M odification

18
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obtxinedfrom Libraryof
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Copy ofInform ation

2/7/06

Obj.

2/7/06

2/7/06

Congress lnform ation Center

2

PrintD ate: 2/8/2006

Case 3:06-cv-00056-PMP-VPC Document 644-11 Filed 05/28/08 Page 4 of 93

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IIXIIIBITS
PLTF:ETREPPID TECH,IN C.
DEFT:DENN IS M O NTGOM ERY,ETAL.

PATY:J.Stephen Peek
DATY: Ronald John Logar

CaseN o: CV06-00114 Dept.No: 9 Clerk:G .Bartlett

ExhibitNo.

Party

22

Defl.

Date:2/7/06

Ilescription

M arked

Copy ofcheck in the am ount

of$975,000.29

Offered

A dm itted

2/7/06

Noobj.

2/7/06

2/7/06

Obj.

2/7/06

2/7/06

Noobj.

2/7/06

Copy ofUnited States

Copyrightfonn for

Z 23

ComputennateSourceCode

Pltf.

24
PltT.
'

25
Pltf.

forHewlettPackard
Copy ofUnited States
Copyrightform forCortex
SourceCodeforIBM
PersonalCom puters
Copy ofe'Freppid
Technologiespowerpoint
hpresenution

2/7/06

PrintD ate: 2/85 006

Case 3:06-cv-00056-PMP-VPC Document 644-11 Filed 05/28/08 Page 5 of 93

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7@12 6 @'
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3:06-cv-00056-PMP-VPC
Page
of 93

OPERATING AGREEMENT
OF
INTREPID T:CHNOLOGIES.LLC
'

A Nevada U m itod-l-iability Gom pany

Dated and Adopted
Etf4ctlv. asofSEPTEMBER 28,1998

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J!h.2Case
2. 2803:06-cv-00056-PMP-VPC
6 0:00?k F-'e1-! t, Fryz,
E8$. 644-11 Filed 05/28/0889.?21
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Document
Page
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OPEM TING AGREEMENT

OF

INTREPID TECHNOLOGIES.LLC

THIS OPERATING AGREEMENTisrmadeandentereintoandeffedi

ve asofSEPTEMBERZ8,1998,

by and be-een FRIENDLY CAPITAL M RTNERS,L.P.,a Calif

omia limited partnerahip (TCPILPJ);
W ARREN TREPP,msTnzsteeofTHE FREMONT TRUST,DATED MAY 16,1994,a Nevada reva bletrust

CFREM-O
-NTTRUST@I;aadDENNIS MONTGOMERY and BRENDA K.MONTGOMERY,asCo--rrultee:

ofth* MONTGOMERY FAMILY TRUGT,aCaliforni

a revocabletrustCMONTGOMERY FRUST'). This
D reementismadew111refefencetothefollowingfacts:
STATEMENTS OF FACT:

A.
DouplasJ.Flye,an individual
,executedpacknowl
edgedand filed.asthe Organizer,Articlqs
ofOrganizati
onwlththeNevadaSK retafyofStaleonSEPTEMBER 28,1998.forthe forrnati
onof*INTREPID

TECHNOLOGIES,LLC@pursuanttoiheapplicableproviqionsoftheNRS(asletine herein).
B. FCP/LPIFREMONTm OSTandMONTGOMERYTRUST,asMembersoftheLLC (asdetined
herein),wl
shtoenterIntdandadoptthisAgreementastheOpefatingAgreementoftheLLC,goveminglts
-

organkationandmanagerrl
ent,and tl
!efights,powers,dutlesand obllgatkmsofthe ManagementC/mmittee,
the Manager,and the Membefl,resa cti
vely,oftheLLC.
NDW ,THEREFORE,ln oonside
'rationoftheforegoing premises @rld the m ulualcovenantsand
onditions conhined heereiflpand wit:tlw intention ofbeing legally bound hereby,the padies hereto
agree a/follou ;

ARTICLE 1
DEFINITIONS

G ceptaaomerwtse separatelydepnedel
sewhere intlll
:e reernent,follcwingare theterfnsaad
meaning;asused mrouqhoutthi
s Agreement

1.1 'Adiusted CaoitalAccourltDefidteI ans wkh resped t:any Membec the dejcitbalAnce.
ifany,insuch Membe sCaplta!Accountasofthe end oftherelevantFisealYear,afterlving effed tothe

foll
4zwngadju:tments:
1.1.1 lncfease suchCapiialAcoountbyany amountsWhich sucllMemberlsQbligated to

conbibutelolheLLC (pursuanttothetermsofthls& reementorotherwiqe)chrisdeemedtobeobligae to

ctmtributetotheLLCpursuanttoRegulationsSectlons1.;04Q(g)(1)and1.7(14Q(i)(5)'
.and
1.f.2 Ncxduce such CapitalAccourltbytlle amtmntofthe 1te.
111: desclibed in Regulati
ons

Gebe ns1.7> -1(b)(2)(ll

)(4)(4)j(5)and(6).
1.2 fAfflllate'meanv,whenusedwithfeferencetoa specifi
edPerson,(i)the PridpalofKe
PerK n.(ii)anyPeerxpndirectlyerInirpctl
ycontrolling,controlledbyorunderO mmoncontrolwb such

Pelon,(iii)an#PersoqowftlfgofeontrllingTEN PERCENT(10%)ormoreoftheovtstandi
ngvoling
Interesl ofsuchPerson,and(Iv)anyrelativeorsp seofsud)Persoft
G'
Az
tp
xx
m$f'
oq
Mr
re em hec
1
1
.*(
.
;
v.p
Ml)

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OPERATINGAGREEMZNT -P+ 1

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Lcrlsl's J. Fryg, E1.

89.7217 p. 2

Case 3:06-cv-00056-PMP-VPC Document 644-11 Filed 05/28/08 Page 8 of 93

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1.3
*AnrAernent*means this Opefaing Agreementofthe LLC,as origioally executed and as
amendedfrom timeto tirnehereaftef.asthecontextrequi
rea.W ordssuch aseherein,'ghefeinafteq'*hereto.*
lhereby,and uhereundec,whenused withreferencettbisAgreement,referto thisAgreementasa whole,
unlessthe contextotherwlse requires.

1.4 dArticlesofOrqanization'meansthe AdiclesofOrgaqi

zation(whi
ch includesadesigpation
of(esldentagentfQrservice ofprocess)filed with the Secretary ofState ofthe State ofNevada on
SEPTFMBER 28,199:,Fl
llng No.(.1-C-5563-9$,forthepurpose offormingthe LLC.
1.5

*AvailableCash Flow'means.withrespecttoany Fiso lYearorotherperiod.the sum ofa11

cashfeceeiptsoftheLt.
C from anyandaIIsourraes,Iesoallcashdisbursements(tncludingloanrepaymenll
capitaljmprovefnents and replacemcnls)and a reasonable ajlowance forResemesvconti
ngencinsand

antlcipatedobligationsasdetemjnedbytheManagementCommittee.
1.6

'BookDepreciation.meansforeac: FlscalYearototherperiod,aa amountequalto the

I
lh#prKiptiqpcplqvpl-tlpt
-iflhe qqpsy-hawyv4lpg!.4ny-4>>#tpjfjrhfrom-ijsadjuppd kpp.
!.
pfpr-fe
--d.qpl....... .-. .
-

incometikpurK s- attheb% inningofsuchyearorQtherperiod,Mbookdepreciation*withrespecttosucll

assetshaflbe an amcuntwlll
c bears the same rati
o tc stlch begifm ing Clrlws AssetValtle as tlle

Depreciationwithrespeeettosuchassetforsuchyearorotherperi
odbearstosuchbeginningadjtwtedtax
basls.Howeveqifthefedefalin metaxDepreci
ati wl
Q1ru ped to suchassetfchrstlch yearisVero,'lm k
depredatfonshalbedete> nedwith referencetosucllbegianingGrossAssetValue usinganyreasonab!e
method sel
ected bythe LLC.

1.T

usiness*or uglness oftheLLC,means the busnessoftl

)e LLC as defined inSectiofl

2.T hereof.

1.8

*caoitalAceount.ofa Membershallhave themeaniqg setfo& fn Sedion 3.4 hereofand

shal
lbe determ ined Inaccordancewitb Secti
on3.5hereof.

1.9

*caD'
ltalContributionfshallhavethe meanlngsetforthlnSection 3.6.1hereof.

1.10 *Code* means the InternalRevenue Code of1986,as arnended.orany corresponding

provision orprovl
slonsofany K cced lng I
aw.

1.11 X ommltteeMmberlgpri
mansoneofthree(3)Personsapm intadW theMembem toserve
onthe ManagementCornmxee puluanttoSecton6.1.4 ofthlsAgreement TheCommittee Membersehall
atadtimesud colledivelyastheManaqementCommittee,whichshallbecharged with timsepowers,dutles

andfespoflsibilitiesasx tfortbinArticle6aqdel
sewhereInthl:Agreement

1.12 'Denfetlatlorl/meal
ti foreach FiscalYearorothrpfie ,anglnoklntm tlait thb

depredati
O ,alntlfo a:tm oroMeroostfelxwefyredl#r.
b'naapt- blewithfespectto ana% etIorsucb Rscal
Yearorotherperi
od.

/.13 'Dlssoltdion'rlw-lns(pwhentlsedwb f'

eferencetof
heLLC,theeadierof(a)tlledatellplm
whlc,
htheLLC IstennlnatedundertheNRS,ofanysimilafpfovislonenadedlnIieutherellor(b)thedate
' uponwhle meLLC ase:to be:gtingconcern,and(Ii
)when usedwi
th referencetoanyMember,the
earkeroflaltf:edatevmnwhlc.hthereisaDlssolutionoftfleLLC ortb)tl:edate uponwhichguchMefnbgr's
endreInterestI
ntheLLC IsterminatedW mearlsofadistn-butionorserie,sofdistn-butionsbytheLLC tosuoh
Member.

1.14 *Fconomic lnte- t'meansaPerson'sfihtto sharein the NetPfusts,NetLox e:Qrsimilar

ltetrklof,artd to ceive distributionsfrom the LLC1 butdoes notincl
ude any otherrights ofa Member
lntzlndlng,wlthoutIlml
tatlon'the rlgllttoMo% orto palcipate in the managementQfthe Buslness and the
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oeeixamle AGRS-EM- -paqez

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J,,.2Case
7. 2023:06-cv-00056-PMP-VPC
0 6:21pk D-'r1&S J. Ffyi.
Esg. 644-11 Filed 05/28/0889.
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affai ofllle LLC,or,exceptanyinformation avaikableforiospectionby aMemberpursuantto NRS 86.241,

anyfighttoinformati
onconcerning the BusinessoftheLLC.

''

1.15 JFISO IYear means the fi

scalyearoftheLLC.running forthe period ofJANUARY 1to and
includi
ngDFCFMBER 31ofeachcalendaryaar.

1.16 G'OSSAssetValuefmeans,withresped toanyamsetoftheLLCItheasset'sadjustedbasis

forfederalIncome tax purposes,exceptasfollows:
1.16,1 The dn:alGrossAssetValue ofan?assetcontributedbya Membertothe LLC shall
bethegrossfairmarketvaltle ofsuchasset,asagreed beiweenthe LLC andthe contributjng Member.

1.16.2 The GrossAssetValueQfaIILLC assetsshallbeadjustedtoequaltheirrespective

gross fai
rrnarketvalues,as mutually agreed betweenthe LLC and the affeded Memberts)upon the

'

occurrenoe ofthefollowing events:

1.16.2.1 TheacquisitionofanadditionalInterestintheLLC W anynew orexisting

Mem* rinexchangeformore thana k m/nfmf.
sCapitalContribution'
,
1-16.2.2 n e ditributionbythe LLC to aMemberofmorethan a#.
q mlnimi
s amount
ofcu horpropertyasconsidefationforthe acqui
sitionofa1Iora portbnofsurhMember'sInterestinthe LLC

ifth@LLC reasonablydetermlne.sthatsuchadjustmentisnecessaryorappropriate to Ipflectthe relative

ectmomi@terests oftheMembers inthe LLQ and
1.16.2.3 Theli
quidati
onoftheLLC wi
thinthemeaning ofRegulaionsSedion 1.7X -

1(1,)(:!)(jj
)(());

1.16.3 TheGrossAM etvalueofany LLC arssetdistributedtoany Memt)e.rshallix the gross

falrmarketvalueofsuchassetasmutuallyagfeedbytheLLC andtheaffectedMemberts)onthedateof
distribution.

1.16.4 TheGrossM setValueottheLLC assetsshalibel

ncreased(ordecreased)toreflect
anyadltlstfnentsttltheaII
JCI:G basisofsuchauetspqfsuanttoCodesection734(b)orcodesection743:),
butQnlytotbevxtentlatsuc.hadjustrnenksaretakenintoacoxntindalermlnirlgCapitalAcctmnl pursklant
R tllatbnsS* n1.704d(b)(2Xi
v)(m)andSedi
on4.
9hereolprovided,however,thatGrck
ssM setValue
shallnotbeadjstedptlrsuanttothi
sSedion1.16.4 totheextentthe LLC determinesthatanadjusbrznt
pursuantto Section 1.16.2 abovesneoessaryorappropri
ate in coqnection.1t1the transacti
onthatwoql
d

otherwlseresul
tlnanadjustmentunderthl
sSectlon1.16.4.

lfthe GrossM setVatueofan assethasbeendetermined oradjusted pursuanttn

Sections1.16.1,1.16.2or1.16.4above,suchGrossM setValueshallthereafterbeadjustedbythe Book
Deprecl
ationtaken Into account*1t1respqcttosuch asx tforpulm sesofK mputng prplts and 10% e.
:.
1.16.5 Ifme LLC and any affeded Memberptlrsuantto Sectjons 1.16.1,1.16,2 or1.16.3
'

aboveareunabletoagreeonttleGrou M setvalueofanyassetforpurpose:ofthisR reement'amutually

ar- ptabl
e appralserqhallbe eelde d by them forthispulw x ,andQlevalue qstablished bystlch appraisal
e allbeblndingQpon Qw LLG and theaffected Member.
1.1/

A uaranteed pavmentettastllemeanlng setforthIn Sectbn6.6.

2 ofthisAgreement

1.18 'LLC,orX ornoanvemeans INTREPiD TECHNOLOGIES,LLC,the Nevada limited-liabi

lity
x mpanyformed pursuantto theArtl
GlesofOrganizafon.

iw !
t
T
e'
.
m r'
YPKEC

oeeflvlxoloReeMEv-ep'a
gez
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Ji1s27.
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6 6:ClFk v ''''s J. FrkDocument
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1.19 'LLC Interestfor@lnterest@means an owneohip (nterestin tkle LLC,wllich includes the

Em nomi
c Interest,the righttoVeteorparticipate inthemanagementofthe LLC,and the rightto Information
ce
oncrerning the affairsandBusinessofthe LLC asprovi
dejinthisAgreementand tlndertbe NRS.

1.20 MLLC Loans.shatlrefertoanyIoans,linesofcrtxditoradvances made byanyMembertothe

LLC pufsuantto tbisAgreement,orata Member'soption,withoutobligatjon to so do.to the extentthe LLC

doesnothavestlfficientresourcea(assez,bcrrowingsofothefwise)tomeqtitsLLC obltgations. Exceptas

otherwisespecifi
edl
nthisAgreementsuchLLC Loansshallbearinterestattherateagreedtobetweenthe
Memberand tlle ManagementCommlttee.

1.21

ILLC Minimum Gain'means the amotlntdetermined by computing with resped to each

nonrecourse kabil'
ltyoftheLLC,theamountofgain(ofwhatevercharader).ifany,thatwouldberealizedby

the LLC ifitdisposed(i

n ataxabletcansactioq)ofthePropertysubjed tosuchIiabi
li
tyinfullsatisfation
thereofjandbythenaggregatingtheamountssocomptltedassetfcdhinRegulatfonsSection1.704-2(d).
4.22 .-*Ma'
lon'h ln Interesr orrMaiority inInterestoftheMembers..
m eansa Member.orMembers-. -----.

wbosePer ntagelnterestts)representmorethanFIFIY PERCENT (50%)ofthePercentagelnteres? Qf

alIMembe.

1.23 *ManaaementCommittee.meansrcoll
ec*ely,thethree(3)Commi
tteeMembersapm inted
by the MemM rsto manageei
e LLC pufsuanttoSectitm 6.1ofthisAgreernentacting togetberto managethe
LLC Ine nrdanoe witlthe termsandconditionsofthisAgreement.The ManagementCommittee shallbe
charged with those powers.duties and responsibilties as setforth in Alti
cl
e 6 and elsewhere in this
Agreement.

1.24 GMan4u@rdmeans thePersonappolnted underSection6.1cfthisAgreementto manajethe

LLC.The Managershallbechargedw101those powers,dutiesandresponsibilitle.sassetfodh I
n M icle6and

elsewhereInlhisAgreement.

1.25 AMemberNonYcouraeDebt>hastherfleaningset60*1inRegulationsSecti
on1.704-2(b)(4).
1.26 eMem ber Nonrecourse DebtMlnimum Gainemeans aq amount,with resped to each
MemberNonrecourr.e N bt,equalto the LtC Minimum Gainlhatwouldresul
tifsklch MemberNonrecourse
Debtwere treated asanoarecourseli
abpityoftheLLC.determinedinaccordancewith RegulationsSections

1.704Q(i)(2)and(3).
1.2/

*Mem ber Nonrocourse ttedutlqnsMtlas the meaning setforth in Regtllations Section

1.7G4Q(1)(2).n eamountofMemberNonrecourseDedudonswi
thresmd toaMernberNtmrecourK Debt
fora FIM IYearoftheLLG equalstheexreeass(ifapy)ofthenetincfease(ifany)intlleamountolMember
Nonreoourse DebtMinlmum Galnattjbutableto suchMembe.rNonr/- lrse DebtdurlngtlvtFl= 1Yearover

theaggre atea= untofanydlstrlbulonsduri

ngthatFkscalYeartotheVemberthatbears(0rl
sieemedto
bear)theeconomk lossfor:uchMemberNonramurseDebtttlttteextentsuc.
hdkstribution,arefrom the

sofsuch MemberNonrecouxeDebtandare alkm ble to anincrease InMemberNonrecourse Debt

Minimum Gai
n attributabl
e tosuch MemberNonrecourse Debt determlned IRaX ordan *1t11Regulatbns

Secb
tlon1.704-2;)(2).
1.28

*Mem ber meansa Person who:

1.2:.1 Has been admltted to the LLC as a memberin a= rdan with the M des of

OfganizationorthisAgreementoranassigneeofanlnterestotherthananEccnomio lnterestwhohas
become aMemberpursuantto Sedion 9,3hereof.
'

1.28.2 Has netre igned,withdrawn orbeen expell

ed asa Memberoq ifotherthan an
indMdual.bee.rldissol
ved.
xox!Tre k*wkK*A.ec

1,zr46(
$:<>

OPERAMNGM RCEMENI-PK :<

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J2h.Case
23. 203:06-cv-00056-PMP-VPC
26 6:218k * ''NS J. FfDocument
8', Esg. 644-11 Filed 05/28/0880.
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Reference toa uMember'shallbeto anyoneofthe Members.

1.29 *Montqomqw TrustContribution Aqrpementwshallhave the meaqing setforth in Section

3.3,1()1thksAgreement.
1.30 MNetProflttel/and eNetLossesteslpmean,fcreach FiscalYearorotberperiod,anamount
equalto theLLC'StaxableIncorre orIossforslxhyearorperlod,determi
ned inaccordancewithCodesedion

703(a)(forthispufm scsaIIItemsofincome,jain,lossordeductlonfequiredtobeStatedseparatelyPursuant
toCodesedion703(a)(1)shallbeincfudedlntaxabl
eincomeorlossljWfthtllefot
lowing adjustmenl:
1.
3Q.1 Anyi
ncomeoftheLLC l
hati
seaemptfrom Federalincame taxaqd nototherwlsetaken
into accountin mputing NetProjts orNetLnsses shallbeadded to such ta able incomeorloss;

1.30,2 Anyexpendihlre.softhbLLC describedinCY esectien705(b)(2)(B)ortreatedasGode

scction705(bX2)(B)expendilurespurvuanttoRegulaensSection1.;04-1(b)(2)(iv)(i)andnototherwi,
x uken
. -

ltin O mputing NetProfitsorNetLossas shallbesubtraded fro.

m stlclltayableinj'mp-t
zr-O '
,.
lt1t; accctlr

. ..- .

..

1.3Q,3 Galnorlossresul
tingfrcm anydi
sposiionofPfopertywi
thresped towhkhgainorloss
i
s recognizedforFe erali
pcometax purposesshallbecornputedbyr:fefenceto the fairmarketvalue Qfthe

PlDperlydism sedQf,notwithA ndingthatmeadjustedtaxbasisofsuchPropedydiffefsfrofnitsfairmarket

value'

1.30.4 In lietlo!depreciation,amoftizatbn,and othercox

strecovely dedtl
ctitms lakea lnto
armountin comptl
ti
ngxuchtexable in meorloss,there shallbetaken Into accountDepreciati
onforsuch
Fi
scalYearorotherperi ,compkltedinaccordancewi
th thQ subsecfon herepfentitled gDepreclationx;and
1.30.5 Notwt
thstanding anyotherpfovisionofihissubsection.anyitemsofinc me.gain.Ioss
Qrdeducton which arespeci
E llyallocatedshaltnotbetatenlntoacc untinO mputing NetProfktsorNet
L(zsR :.

'

1.31 -NRS*means Chapter86,Sedions 86.011to 86.571,ofthe Nevada Revised Statutes,as

amended,oranyO rresm nding provi
sionorprovl
si
onsQfany succeedingIaw.
1.32

Y @rcentaqe Interesttslwmeans the percet% ge lnterestofeach Memberas setfodh in

EXHIBIT A attachd here* and mede a partofthisAgreement.

1.33

'Person*means an individual partnershi

p.Iimite padnee ip.corpocatiorl,trust,estate,

arysoelationfIimited-ll
abllls oompany,orolhefenb'
ty,vzhetherdomesti
corforelgn.
1.34

*princioal*meansthe Personwhich Isin ultimatecfmtrplQfaM ember.

1.35 epfpo*d< rneansalloranypersonalppedyand otl*rassetsofthe LLC,botlltangible anJ

lntangiblelorany podionthereof.

1.36 eReaulationl' means the federalincome tax f% tllatiotts promtllgated by the 'rreasury
DepatmentundertheCmde,assuchregulationsmaybeamendedffom lifnetoQme.AlreferencN herein
lo a Bpedfk sedbn ofthe Regul
ations shallbe deemed also to referto any corsm nding provisfonsof
succeeding Regulations.

1.37

KReselveswmeans funds setaside from pitalContribtltiens orgross eeash revenue.s as

M eNes.Guch Resefve.sshal
lbemaintainedk)arnounl

l
ydeel
e aufsclentby theM anagement

G mmittee forWrking capitaland the paymentoftaxes,insucance,debtservi

ce,repaio,replacemenY
reneWals,()rdherC'osh Orexe se.
sin eflttothe Businassofihe LLC,orinthealternati
vo,QleDie lutbn
ofthe LLC .

kxv
=t
fe
rm
gy
'.
9frslAxlpA.
gc

OPEPATINBA0prsgupuy.epz
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,Pyajutj,
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J2q.Case
22. 200
6 6:0l8k O '7'ls J. FrDocument
yi, ESq. 644-11 Filed 05/28/08
-'
hC'
/2!S 12q.
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Page
ofI93

t
'

1.38

*secretafv ofStatevmeansthQ SecretaryofStatoftha Stte QfNevada.

1.39 *vote@means,exceptwheresupersededW anothersectionofthisAgreement,ofasmaybe

rm uired underte applicableprm isionsoftheNRS?theCodeorappl

i bleRc ul
ationsthelvunder,thevotes

oftheMem% rs,whemerbyballotwri
ttenconsentofavoi
cevote,whereineachMembershal
lhaveandcast
a numberofvotes equalto tmtMembe/sPercentagelnterest
ARTICL6 2
INTRODUCTORY MAU ERS

2.1 Form ation ofthe LLC.Theparties have formed the LtC pursuanttoEections86.151and
86.201.1 ofthe NRS byexecuting,acknowledgingand filingtheArticlesofOrganization with the Secretary
efState and byentering into andadoptingthisAgreement.
.. -

- - .

2.2 Reilanatlon of Ofoanizer..The padies talhis Agreementacknowledge-and agae that .-.

DOUGLAS J.FRYE,anIndtvl
dual,actedastheorgani
zefoftheLLC solelyforthepurposeoffilingtheM icl
es
ofOqani
zationwilhtheSocretaryofStateasdescribed hereinand that,immediatel
y upon tlle adoption and
execufonof*isAsreefnentbyit%Members theofgani
zershallbe deemedto have akltomaticall
y = igned,
withoutnoti andwithotltliabilityorobli
gati
onQfanyklndtothe LLC ori
tsMembeM.Accordingly.the parti
es
tothlsAgreementherebyacknowledgeand affirm a1
Iactionsheretoforetaken onbehal
foftheLLC bysaid .
organizer.

.- - - . - . -

2.3 Nam e. The name ofthe LLC is.INTRFPID TECHNOLOGIES,LLC-' The Members shall
operate the Bualnessofthe LLC undersuch nameorusesuchotherorqdditi
tmalnamesasthe Members
maydeem nlvnRmnryordesirable provideda!Isuchname ofnarresshai
lbe i
n compliance with theNRS and
otherapplic ble laws.

'

2.4
PrincioalBusinessOm ce.n eLLC shal
lrnplntainitsprincipa!busineessoffl
ce at685 GARY
COURT,INCUNE VILLAGE,NEVADA 89451,witha mailing addressofP,O.BOX 4964,INCLINEVILLAGE.

NW ADA :9450,orany etherIocatl

onasdetermined from timetotlme bytheManagementColnmlttee.
2.5
ResldentAoent'
.R/nlsteredOffice.n enameandaddressofthe LLC'Sresidentagentupon
whom processmayl)eservedlora notce ordemandauthorizedbylaw to be setved upon the LLC may be
sefved,isGKL STATUTORY AGENT & FILING SERVICES INC.,a Nevada cofporationlwhoso street
address in Nevada is 1100 EAST W ILLIAM STREET,SUITE 207.CARSON CITY,NFVADA 89701,and
whosernallngaddressjsF.O.BOX 3579,CAHSON CITY.NEVADA 89702 n e regisu ofsceoftbeLLC
inNevadasbakbetheaddrex of*e LLC'Srea gntagent 'lhekxati
on ofQleLLCY fegl
steredofjce orthe
name and Rddfessd its residentagent,orboel may onlybe changed byflling a rffi
cate ofchange w>
.

theSecretaryofStateIntheform andmaflnerrequiredW suchofke.

2,6

Pva etualExl
%tence.Assetfodh ln tlle ArllclesofOrgaakatf
on ofthe LLC,tlle LLC shall

havePel
m tualexi:tence,untiltheLLC lslerminatedQrdlssolvetinaov dancewl
ththisK reement.The
existen ofthq LLC xhallm mmence as oftheeffectivedateofthisAgreement,SEPTEMBER 28,1998.
2.7 Purpos* and Btlslness ofth: LLC. The purpose and busl
ness ofthe LLC shallbe to
devdop,m tens diseibute,licenr.eand explo:in anyrnannerand nawoddwide bms: thatcerzlnK ftware

km tedmoY contrilxltedbytheMontgofneryTrustto,andn- f-nedby.theLLC pufsuanttothe

tefln:andK nditim sofaad asftwreparkulartydezezibedInmeMontgomeryTlustCm tribuKon& reernent
(theerechnol
oov-)andtofinan anyandaI
Ioftheforegoingadivi
ties(collectively.theY uslnessn.The
.

tLC may
orengqgelnanyotherlawfaladivi
:e.swhie lhe LLC dee= isne sx ry,Incidentaltoor
demi
rpblp incm necli
onwitbtl
e Business oftheLLC.

'$
$
''
z
-?>(
ZTJ'
)* 'K'G

OPEBATI
NGAGREEMENT.Pa& rel)pk(jql.
j.
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- 1m )1

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200
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7213 13@.of@93
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3:06-cv-00056-PMP-VPC
Document

2.8
Ho lndlvldualAuthoritv ofa MemberorCommittee Member. No MemberorCommi
ttee
Member,ading alone orwith the Manager,any otherCommittee Member effi
cerorothernon-manager
Membeq shal
lhave the aklthodty to actfor,orto untedake orassurne,any obligation,debt,duty or
responsi
bil'
lly on behalroftlhe LLC.
2.9
Tdle to ProoertvIntheNameoftheLLC.A lProperiycwnd by the LLC shallbe held and
owned arl
d conveyance madeinme name ofthe LLC,AIlagreements.dctum ents,certificatesand other
lnstrumentsprovidi
ng forthe am uisi
tf
on oromerdism stionofPropertyofthe LLC shallbe valid and binding
upon it,exceptasotherwisepl
w ided herein.ifapprovedby the ManagementCommi
ttee andexecuted by
the Presi
dentofthe LLC asprovidedforherein.
2.10

M alntenance ofcom panv M inute Book:Record Keepin;lDutiel.TheManager(orthe

-

. . - - - --

Secrelfy,ifone i
s apm inted bytheManagementCemmitteel.shaflkeepaad maintairlercavseto bekept
andmaintalnedacomenymlnuteNhoktoincludeIheM iclesofOrganizationcftheLLC andthisM reefrKmt,
and any amendments thereto,and mlnutes ofaI
Imeetings (orctlnsents in Iieu ofmeetings)ofthe
MaaagRmeptCommittee,wri
ttenconsentsoftheM embers,and otberimpodaotdocvmenl ofthe LLC.
ARTICLE 3
MEMBERS AND CAPJAL CONTRIBUTIO
..NS

3.1
Namq: and Addreeaea ofthe Members. The initi
alMembers ofthe LLC are FCP/LP,
FREMONT TRUST and MONTGOMERY TRUST.Thecomplete namesand addreysesofthe Membersof
the LLC are setfOI'
M onF-XHIBIT A attachedhereto and made apartofthi:Agreement,whdch exhlbi
tmay
be am ended orrnodified from tit
netotim e.

3.2
MemberCanjulContrlbutlons. Immediatelytollowing the executionofthisAgreement,the
Mernbefsshallmakeork)e obligatedtomakethe CapitalContributi
onsto tlle LLC assetforth inSection 3.3
bel- .AIICaph lContributbnsofthe gembers shallbe setforth onEXHIBIT A attached hereto and made

apadofthi
sN reemenkwhichexhibitmaybeamendedormodifiedfrom timetotime.lftheMemberQils
tornalethelnitlalCapttal ntrlbutionsasspeci
fiedi
nSection3.3wIthInthlrty(30)daysaftertheeffective
dateofthisAgreenxnt,thenthatMember'senfreMembemhlplnterestshallterminateand*atMembershall
lndemnifyand hol
d tl:eLLC andalIofthe otherMembefsharrnleu from ark
yl
oss,costorexpense,including
reasonable attorneys'feesand cosks,causedby the failure tomaRe such lnitialCapltalContribution.
3.3

Pavmentn rms ofMembersfCaoitalContribtltitms..

3.3.1 FCPJLP'Scapitalcontribution.FCPA.
P shallmakeacapitalCentdbutkm toQ)/ LLC

ln casll in the mazmum aggregate ax untofup to Nine Hundred Seventy-Five n ousand Dollars

($975,000.00).ofwhle Eightyn cusand Dol

lars ($80.000,00)has IXe,Iprevi sl
y advanced by itin
furtheran ofthe LtC's Bqsineqs,and the bal
ance Qfupto EightHundredNlnety-FiveThouO nd Dollars

($895,000.X)shallbecontributedandgai
dbyFCP/LPtotheLLCfrom timetotimeupalwrittepreqklestW
the ManagementCommittee and inaooordance101anyApproved Budget(asdefi
ned in Sedkm 6.2.3
hereot).
3.3.2

FREMOG TRUST': CaoitalGontributlon.FREMONT '

IRUSTShRIImakea

'I

Contrlbuti
on to tlle LkC incash In the maxlmum aggregate erroqntofup to n req Hundred Twenly-Five

ThouaandDcglars(4t325.000.00),ofwhichOneHundredTwentyn ousandDollafs($120.0Y .0W hasbeen

prevlml advancedW ltInftlrtheran oftheLLC'SBtlslness,andthebalanceofuptoTwo HundredF&e
ThousandDollars($205,000.00)slallbecontri
butedandpaidbyFREMONTTRUST totheLLC from time
to timeuponwrltten requestbytheManagementCeommleeeand inaccordance with anyApproved Budget
3.3.3 MQN.
TBOMERY TRUST'
S Capital Contributon. Pursuant to the tefmS and
nditionsofthatr- nin Contributi
onAgreementdated the samedate asQlisAgreementbyandM tweenthe

a
o'i
l
ITX'
K:I
W OPXEG

opEaAmNoAocap;Nr
- z
e reppid 0115

Jpq,Case
23. 203:06-cv-00056-PMP-VPC
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g, ESq' 644-11 Filed 05/28/08
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80.
7212 14F'
Page
ofS93

LLC andMONTGOMERYTRUST,astheContributor(the'MontpomervTrustContributlonAareement*).
MONTGOMERY TRUSTshallmakea GapitalContrtbution to the LLC ofthe Technology and his Rights(as
thosetcrmsaremorepartl
cul
adydew ibedintheMontgomeryTrultContlibutl
onAgreement)having an

agreed InitialGrossAssetValueofOneMilioqThreeHundredThousandDollars($1,300,Q00.00),which
TechnolY yandRightsshallbecontributedconcurrenti
ywil MONTGOMERY TRUSTS admissiontomeLLC
asa Member.

3.4
AddleonalCanitaiContributlin orLoans to theLLC.Additi
onalCapitalContfibptions may
beealledforfrom tirr/ totimebythe ManagementCommittee,bywrittennoti
upontlle Membersffom tjme

totime(theMAddttnalCanitalConthbutions')toenabletheLLC toGonductitsBusl
ness.Thewrittennoti
ce
to the Membersshall&etforththeamountofAdditionalCapitalContrfbutlonsneeded,the datebywhi
d lthe

Membersshallcontribute,whichateshallnotbesoonerthanten(10)daysofrecelptofsuchnotice.Each
M embefshallbe required to make suchAdditionalCapitalContributions in proportion to thelrPec ntage
InterestintheLLC, No Memberrnay voluntarilymake anyAdditionalCaplv Contri
butions,and shallnotbe
required orperm4ted to fnakeanymakeany loaa orcauseto be l
oaned any money orotherassetsto the

kLC.
3.5

Rlahta W itb Resoectto Canital.

3.5.1 LLC Gaoihl.No Membershallhavethe righttowithdraw orreceive any returpofi

ts
CapihlContribution,and no Capi
talContribuonmaybe returned iq the form ofProperty otherthancash,
exceptasspecifi
cally prgvided hereln.
'

3.5.2 No lntereeton CanitalGontributtoas. Ex ptas expreu ly provided forln this

Agrpement,noCapitalContrlbutionofanyMembershallbeafanyinterestorothefwise entitlethe ntibuting
Memberto any oompensationforuseofthe K ntributed capi
tal.

3.5.3 EetablzllmentofCapitalAccounts.AseparateCapitalA= untshal

li)e em bl
isiled
and maintained foreach Member. Forrecord keepi
ngpurposes,eash Member's Capi
talAccountwillbe

separated Into a contri

butionaountand enincome (loss)accountandwilbe cminlineda= rdingto
geqerill
y aox pted accountingpfindples.Sedions3.6 and 3.7 below descrlbe the appropriate aco unting
trqatmentfprKxpurpn.
- ofthe Capi
taiAcccunts.
3.5.4 NoP:vm entofSalaries orDraws.No Membershallrecekeorbe entiled to rele e
any payfnentofmqla'
lesa'dra'
wswith resped toPusCapi
talContributionorele balance in itsCapitalAcc nt
orforservi
cesrenderedonte alfnfQle LLC orotherwlse in it3capacity asa Memberofthe LLG.exceptas
expressl
y provided forinth1 Agreemeot

3.6
GeneralRul.e forDetennininq GapltalAccounts. The CapitalAcrx qntofgadlMember
shallbedeterminedasf011:
- :
3.6.1 lncmases.TheCapillAccountQfa MembershallbeIncreased by:
3.6.1.1 Sud)Membel
ascashcuntributions'
,

3.6.1.2 n e GrorpsM setValue ofproK rtycontributed by such Merr*.r(netof

Iiabil
itiesseotlred bysuchO ntri
btltedpropertythattheLLC isconsideredtoassuroeortakesubjed tnunde.
r
Codeslvtfl
nn752)'
,

3.6.1.3 AIItemsofLLC incorneandgain(indudiogincomeandgainexemptfmm taxl

all
ocated to auch Memberpursuantto Artide4 orotherprovisionsoftILSAgreementiand
3.6.2 Decreasee. The CapitalAccountofaMemberqhal
lbe decreased by:

X W(uO
.
wpu
W)W OPXEQ

OPFJGTINGAGREEMFMeTr
-Paeppi
ge1d 0114

J3q.Case
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i

ue

N-

3.6.2.: The amountofcashdistributedtosuchMernbec

3.6.2.2 'FheGrossAssetvalueofaIIactualenddeemeddistributi
onsorprorhertyrnade

'

tosuc,
hMemberpursuanttothisAgreement(netofIiabllitiessecuredbysuchdistributed propedythatthe
MemberisconsideredtoassumeortakesubjecttounderCodesection752)'
,
3.6.2.3 Al1itemsofLLC deducton and I
oss allocated to such Memberpursuantto
Afticle 4orotherprovi
si
ons ofmisAgreement.
3.7

SpecialRules W ith ResDectto CapltalAcconnts.

3.7.1 Tim e ofAdiustmentforCaoitalCon.tributions. Forptlrposes ofcompating the

balance in a Member'sCapi
talAccount,no creditshallbe given forany CapitalCentribution whi
ch such
MemberIsto makebnti
lsuchcontribtztionisactuallylnade.X apitalContribution*referstothe tollanrtlnt

ofcashandtheGrossAssetvalue(netofIiabiliti
es)Qfpropertyiniti
alycontn-butedtotheLLC bythatMember
an:any.
subK quel
.
ltcontrlbutonsotcaslland.theGross.M setValue(notofIiabilities)ofany-otherpropefty
subsm uenfy contri
btlted to the LLC bythatMembeq includingAdditionalCapi
talContrlbutions.
3.7.2 Intentto com plvW ithYreasul Regulatione.Theforegoingprovisi
onsofSed on:
3.
5 and 3.6and the otlerprovisi
onsofthisAgreementrelallng to themaintenance ofCapi
talAccountsare

intendedtocornplywithRegkllationsSectt
on1.704-1(b),andqhallbeinterpretedandappliedinamanner
cngistentw101vudlRegulations Sedion. To the extentsuch provisions are inconslstentwith such
Regulatitms Secl n or are incomplete with resped thereto,CapitalAcrmunts shal
lbe mainlined In
acc rdance WithsueehRegulationsSection.
.-

3.8

Tonsferee'
s CaDitalAccount Intheeventa Member,ortheholderofanFconomiclnte= t,

transfee an lnterestinacre
ordancewiththetermsofthls& reementthetransteree shallsucceeed to the
CapltalAcc ntofthetransferorto theextentitrelatesto the tmnsferred lnterest3.9
Lim@
dations on UabiliW and Obllcation: ofth: Membeo
..
and
-.Mantlers. Exceptfora
MembelY ll
abk'
ftytothe LLC forif
.
sCapb 1ContribubonsorforanyIiabili
tyafislng aftqraMemberhas rightfull
y

rereeivedaretum ofcapl
talpursuanttoNRSSecion86.391.andtheri
ght.
sofjudgmentcretitor:tgcharge
a Member'
s Em nomicInterestforc/rtain unsatisedjudgmntsofaMemberpursuantto NRS Sectlon
86.
401.and unl
essotherwkseprovidedforinanagreementsigned by aMemberorthe Managerorcomrfittee
Memberto be o arged,no Member,ManagerorCommittee Memberhaltbe i
ndivl
duall
y llable undera

judgment,dereeOrofe rQfc tld,orInanyothefmanner.foranydebt.obligafonorliebilityoftheLLC

wbetherornottllatIiabilityorobligati
onari
ses in contrad ortort No Membershal
lbe required toloanany

hlndsto the LLC,ex- ptas provided forin this Agreement. No Membershallbe requlred to make any
contrlbqtl
on to the LLG by reason ofany negative basance in hIsCapitalAqox ntjn:rqhallany negative
bal
ance ina M embef:CapktalAem untGreate anyliabi
li
tyonthe partofthe Membertoany thlrdparty'
.
3.10

NoResponsibilitv orLlabilitvforPfeT ormatlon Com mitm:lltz.IntheeventanyMembef

(oranysuchMembe/sshareholders,p-lrtnersorM li
ates)hasIncurredanyindebtednessorobtigationprlor
tothecam lencert*ntoftheG tenceofthe LLC thatrelated toorotherwiseeffedsthe LLCIneltherthe LLC
n0rany OtherMemb/rsNallhave any responsibilityofiabilityfoq orwi
th fesped to such indebtedn :or
Obligation,tlnl
essassumedbyllle LLC ptlrsuanttoawrltteninstrumentdulysEgned by allMembers.
ARTICLE 4
ALLOCATION OF NET PROFITS AND NET LOSSES

4.1

Allocatitm ofNetPc fdsand NetLo:ses. ExceptasothefwiseprovidedinthisM i

de4,Nd

Proft qqdNet1n.
tb
mm QftheLLC lneachFiscalYearshallbeall= tedamongtheMembersassqtforthln
Sedicns4.1.1 and4.1.2 bel
ow.
.

jjxzss
(
y
er
.
xr)wm y/qc.c

OPuymsjyoaoj
qass.xr.ssumjypjyjjju5
- 1.M 1

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'

4.1.1 N:tProflts. NetPfofitsshatlbeallocated among the Members asfollows:

4.1.1.1 First.NetProit'
sshal
lbeall
ocatedamongthe Members.withoutdedticti
onof
the Guaranteed Payment,inthe proportion iawhi
chthe Memberssharedinthe NetLos- suntilanamount
ofcumulati
veNetProfi
tshasbeenail
ocatedequalto thetotalefcumulativeNetLossesprevix sl
yall
ocated
to the Members.
4.1.1.2 R ereafter, Ne$ Projts shallbe allocated among tlle Members,witboul
deducti
onofthe Gtlaranteed Payment,prorat
n,inacoxdance with theirPercentage Interestz.

4.1.2 Allocation of Net Losses: Deduction for Gearantked Pavm ent. Fxcept as
othm wise provlded inthisAdicl
e 4,NetLossesshallbeallocatedamong the Membersasfollows:

4.1,2.1 First,NetLossesshallbe aliocated among theMembers,withoutdedudion

oftheGuaranteed Payrnentsi
n the proy di
on inwhich the Membersshared i
nthe NetProjtstlntilanamount
..

qf(Nprll4lk'e%qtLosseslla.
stwaerlall ate4N qpltothe tcltlmt/lativeNQtPr/sts prevlotzslyallocatedto
tjje
.gomjxrs.

4.1.2.2 Sccond,theful
lamountofthe LLC'S dqdudt
fm fortheGuaranteed Payment
shallte al
loemte ,pro cak,between FCP/LP and FREMONT inaccordan withtheirPercentagelnterezt:.
4.1.2.3 Third,pro rata,to FCP/LP and FREMONT '
IX UST.iq proportion to their
positivebalances.ifany,intheirrespectiveCapi
u lAccounts,qntilFCP/LP'Sand FREMONT m usrsCapi
tal
Ac= untbalances are feducedtozero.

4.1.
2.
4 Fotlrth,toMONTGOMERY TRUST,inpropoftix tottlem si
tivebalan ,ifany,
inhisCapltalAcezunt unti
lMONTGOMERY TRUGT'S CapitalAccountbalane Isredtlced tozero.

''

4.2
RgsidualAllocations, Faceptas omerwise prvided in thi
s Agreement al
Iitems QfLLC
income.gai
n.I
oeys.dedudion,andany otberallocati
omsnotQtherwlse pmvidedforshallbedivided beY een
.

the Membeo in lhe ryame proportions asthey shnre NetProfitsorNetLosses,asthe case may be,forthe
Fisca!Year.

4.3

Qualified Income 0ff*:t. IfanyMemberunexpect

edlyieceivesanyadjustmenk,alocation:
.- -

ordistributionsdescribedindauses(4)f(5)or(6)ofRegulatinsSedio1.704-1(b)(2)(ii)(d)jitel
m ofLLC
income shallbe speciallyallecated to such Memberin an amountand mannersucienttclel
iminate the

Adjusted Capi
falAcoountDeli
citcreated bysuchadjustments,allocationsordistributions asquic,
kjyas
posslble. R ls Section 4.3 is intended to consjtute a @qtlali
fied '
Income offset,withln the meanlng of

RegulatbnsSedion1.704-1(b)(2)(ii)(d)(3).
4.4
Minimum Gain cham ebaek.Ifthereis anetdocrease InLLC Mlnknum Gainduring aFiscal
YqaqeachMemberwillix all
ocated,beforeanyotheralkcationunder*% Artide4,Iternsoflrm meand galn

forxuctlFi
scalYear(andIfnecessary,subsequentyears)inpropodiontoandtotbeextentofanamotlnt
equalto suoh MemY r's shareofthe netdecrease ln LLG Mint
m um Galn determlned in aozordance wlth

RegulationsSectlon 1.7> Q()(2).ThisSedi

on 4.4 isintendedto mplywithjandshallbe Interpreted
O nsistentl
ywith,thedmlnlmum cainchameback'provislonsofRegulationsSedion1.70m2(9.

4.5
Mem ber Nonreeourse DebtMlnim um GalrtCharaeback Notwithstanding any other
provi
sionoftillsAtti
de 4,btltexcegtSecti
on4.4,ifthere isa netdecrearye in MemberNonrex urse Debt
Mi
ni
nwm Oain attlibulbleto aMemberNonrecourse Debtduring anyFiltrnlYearoftheLLC,eachMember
wtohasashare ofthe Mem* rNonrectmrseDebtMi
nlmum Gaicattn'butable to such MemY rNonrex urse

Debtdeteminedina= hrdanO *11 TfeAsuryRegubti

onssecion1.704-2:45)1shallthespe l:allocated
1t*- ofLLG in rrmandgainforsuchyear(and,ifneoerysary.subsequentyeaa)inanamountequalsuch
Mere l'sshareofthe netdecreaseinMemberNonrecourse DebtMinlmum Ginattribe bletosuch Member

C
1= tT
.e
@.-.+X;PAK

opeRvlsoAorlss,zy:vr.pxve:reppid 0116

72,.Case
27. 283:06-cv-00056-PMP-VPC
06 6:q2Fk 9' ,142 J. FrDocument
p, Esr. 644-11 Filed 05/28/088'
7212 17F'
2
Page
of193
;

'

Norlre urseOebt,determinedlnacO rdancewithRegulationsSection1.704-2(i)(4).All

ocationspufsuant
to the previouqsentence shallbe made inpropodi
onto therespecti
veamounts rm uired to be all
ocated to
each Memberpursuantthereto. The items to be so allocated shal
lbe detefrrlined in accordance w1t/1

Regulati
onsSection1.704-2(i)(4).ThisSecbon4.5isintendedtocomplywithamlnimufrlgainchargeback
requirementofthatSec:on ofthe Regulationsand shal
lbelnterpreted consistently therewiK.

4.5

MemberNonrecouoe Deductions,Any MemberNonrecourse Deducti

onsforany Fiscal

Yearorotherperiod shal
lde gpeclall
y al
lpo ted tothe Memberwho bears toris deemed to bear)the
e nom i
c ri
skofIosswith respectto the MemberNonrecourse Debttowhiohsklch MemberNonrecourse

Dedudionsar:adributabl
einaccordancewithRegulationsSection1.;04-2(i)(2).
4.7
SpeclalAllocations.Anyspecialal
locaionsofitemsofNetPmfitz pueuantttlSections4.4,
4.5and 4.5 shallte taken intoaccountincomputjngsubqequentallocationsofNetProfds pursuantto Sectilm
4.1.Aoihatthe netamountofany l
temsso all
ocatedand thegaia,lossand anyotheritem all
ocated toeach
Mem- fpursuantto Sedion4.1shal
l.tothe extentpossible,beequaltothenetarrt
ountthatwould have been
adcm ted toeach such Memberpursuanttothe provisi
onsofthisArti
cle4 ifsuGh specialallocati
onshad not
ox urred,

4.8
Feesto Mem bem ofAffiliates.Notwithstanding the provi
sionsofSection4.1,inthe event
thatany fees,inteqest,orother amounts paid to any Memberor any Affiliate thereofptlrsuantto this

e reementoranyoteragreementbetweenQle LLC andanyMemberorAfNiatethereofpcvidingfortl)e

paymentofsuchamountranddedudedbytheLLC.inrel
ianceonCodesection707(a)and/orCodesection
707(c),arediaallowed asdedtlctionstotheLLC oni
tsfedecalincomebaxtum and areireatedasLLC
distributl
ons,then:
--

4.8.1 'Ihe NetPfofi

tsorNetLosse ,asthecasemay be,forthe FlsemlYearinwhl
ch suc.
h
fees,interestporotheramounts were paid shallbe increased ordecreased,as the case may be,by ihe
amountofsuchfees,interestforotheramountsthatare treatedasLLC di
stributions'
,and

4.8.2 ThereshallbeallocatetotheMembertowhicN(OrtowhoseAffiliate)sq(;hfoes.

Irlterest oromerampuntswerepaid,pfiortothealtocatkmspuauanltoSection4.1,an amountofgress

incor forme Fis lYearequaltotheamountofsuchfees,interest,orotheramound thatar*trqatedasLLC
die butions.

4.9

Section734fc1AlloM tlon.Anyiternofifc rnedgain,Iorw,and de udi

on wdti
lresped toany

property(otherthancash)thathasbeoncontri
butedbya Membertothecapitalofthe LLC andwhichI
s
requlredorpermi
tted to be alocatedto suchMemberforjncometaxpurposes unde Code sectlon 7M (c)so
asto 1**Intoa= untthevark
atlonbetweenthetaxbaslsofguchproperly and IK GrossAsetvalue atthe

time ofitsx ntributienshallbeal

located tnsuc.hMembersolelyforincometax purposqs Inthe manners0
fequiredrx rrnted.lntheeventtheGrossM setvalueofanyLLU Propertyksadjim edinRccordance*ith
ryecdon 1.16.
2,suixsequentall
o tbnsofiv rne,galn,Iossand deductionwith resped tosuchP
@bal
l

takeIntoa= tmtanyvaat'
ionbetweentheadjustedbaslsofsuchPropertyforfederallncometaxpurp-e.s
andit'
iGrossAssetValuelnthesamemannerasundersection7tM(c)andtheRegulatitmspromulgated
tbe under.Any elections orotherdedslonsrelating to suctlal
l= tioms shaltbe made inany maqnerQot

reasonablyreflecismepntm seandIntentionofthis& reement R theextentpermi

ttedbyRegulaGons
Sedton1.704-1G8(4)(1),aIIlternsofirraome,galn?Iossanddedtlctionforfederalandstatetaxpurposesshall
be allocated i
n accordanx *11 theO rresptmdlngbookItems.
ARTIGLE 5
DISTRIB-U-TION.5 OF AVAILABLE CASH FLOW

5.1 Distributions ofAvai

-lmo o vh Flew. Dkqtn-butionsfrom the LLC to Ke Membersshallbe
madefrom fme to trnetothe extentofAvailableCash Pl()w asdetermlned bytbe ManagernentComml
ttee.
Q%kY TO A@4t<U C

llrl(622rM)

OPEMMNGAGREEMENT-P+ e
14relgid011y
N 1+ l

3:06-cv-00056-PMP-VPC
Document
Page
93
J2,.Case
22, 200
6 6:g2pk > ''2 J. Fryz
, Esl. 644-11 Filed 05/28/08
8.
7212 182.of17
t ....
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'

'

Priortothe detefmi
natonoftheamountofdistributons, provlsionsshallbemade foraIIknown feasonabl
e
obligations and liabiltties ofthe LLCIwhetherornutsuchobl
i
gations and Iiabiliti
ee
s are due orcontingentr
exceptthatprovisi
on neednotbe made% anypoftion ofany LLC finaocing, the amountofwhich can be
reasonablyexpeded to besatisied from the prooeedsofthe saleofthe thenremaining Propedyoftlhe LLC.

5.2

Priority and MannerofBistributions to Members.A IdistributionsofAvailable Caih Flow

shallbernadeW tlleLLC prorat.

atotheMembersi
naccordancewiththeirappli blePercentageInterests
asofthe time ofsuchdisbibution.
5.3

TaxDistrlbutlons. F-xceptasothefwise maybe pruhibitedby anyagreementsbetweenthe

ttC and its lendezs,wimin ninety (99)days aftefthe ccmclusion ofeach FiscalYear,the Management
Committee slmlldetermineandpflwidewri
tten noticeto!heMembersofthe amotlnt(the rraxLiabilitv

ShordallAmount*),ifany,bywhich(a)theaggregatefederalandstatelxliability(ifany)incurredbytle
Memberswithfesped tothenetincomeoftheLLC forsuchprecedingFiscalYear(whi
chtaxIiabilityshall
be determined by applying the highesteffective indi
vidualtax rates then in effed fortile FiscalYearln

itlo tlpp),exceeds(M)theaggregatedlstribtltjon:ofAvail
ableCashFlow madebytheLLC withresped to
suchFiscalYear(includingapydistributionsmadetotheMemberswithrespecttothetnalfi
scalquarterof
suchFiscalYearl.TheManagementCot
w nitteeshalluse areasonableeffortstocakl
setheLLC todistri
bute
the Tax Liabill
'
tyShortfallAmotlntto Qle Membersinthetfme and mannerrequiredhereunderfincluding,but
notI
irfited to,bzrr- ing on belmlfofl
heLLC suff
ki
entfuntsto enable the LLC todisbibute suchTaxLiabil
ity
ShortfallAmount. Eaceh such distribudonshallbe madetothe Membefs assoon as practicable aoersuch

ftlndsareavailable.ItistheobjedkeoftheMembersthatwhilethen xUabil
ityShordallAmount*i
lIbe
determinedattheendofeachFiscalYear1totheextentpossibleand subjecttoth/forc oi
ng,dltribtltlons
willbe made in respectthorcofon a quadedy basis to facplitate the Members'ability to make quadedy
estimated tax payments with resX ctto theirnetincome from the LLC. Atthe end ofeach FiscalYearas

''

contemplatedabove,finaladjustmentsshallbemadetoreflec'
ttheadualresull ofsucilFiscalYear.
Alm cke 6
MANAGEMENT OFTHE LLC

6.1

ManageentoftheLLC.Subjed tothepmvl
slnnsoftheNRS,theM idesofOrganlation

andtoanyIi
mitqtionssetforthinthisAgreement(asmaybeamendczdfrom tilnetoti
me)relatlngtoedons
required to be approved bylhe Members,the Business and affai!
'
s ofthe LLC shallbe managd ,and a1
I
Company m wersshapbevestedinthe Managenx ntCofnmlttea The dayto-dayoperae nsofthe LLC shall

'

be implementedbyone(I)ManagerdesignatedorappointedpursuanttoSectifm 6.1.1 below,whoshall

coflduc.
tthe Businessin arvvardance withand subjed tothe policies,procedures,docisiorusand di
redives of
the ManagementCommitte ,

6,1.1 Deslonation of ''Manaaer'e.The Managerofthe LLC shalllnltiall

y be DENNIS

MONTOOMERY,anl
ndlvldual,orhlssuccessorasappolnte W theManagementComml
tteepursuantto
Section 6.1.2 bebw.
6.1.2 Ekction ofSuooessorManaqer.Upon ttte Managq/: reslgnato fr?m offi
o or

removalfmm ofjoe by the ManagementCemmi

ttee.a successorManagershallbe apm inted W the
ManagernentCommittee.

6.1.3 SubordlnateG ficerw.TheManagementCeommittee may,lniksdiscretkm,appdnt

a p- i
dent.secretafy,a chefsrkandalomcer,andsu& otherd9:
x1.
softhe LLC as tileBuslnv ofthe ttC
mayrequlre,eachofwhom se llholdots forsuchpejod,havesuchauthorityand peffofm suchdufesas
plw ided fori
n th1sAgreetnentorasthe ManagementCommittee may determlne from time tokme,
6.1.4 Manaaem entCommlttee.The ManagementCofnmitto shallconslstofthree(3)
Committee Members. EachofFCP/LP, FRFMONT YRUST and MONTGOMERY TRUW ,so klry.iasthey
'

- -

IXX(;
awM
-XW)-/OPA'EY
'
.

OPEMTINGAGREEMENT-Pv lk x ppjd ()118

2:$:17X*$

Case
3:06-cv-00056-PMP-VPC
93
s, Esq. 644-11 Filed 05/28/0880.Page
7212 19F'of1$
J!r.22.
2006
6:22?k 2 7N Iqs J.FrDocument
.

'

.> e

''

.M .L

areMembers.shallappointone(1)CommitteeMeznber.FachMembermayappointoneormorealtemates
fortheCommittee Membeo apm i
ntedbyit. Aa al
ternateshal
lhaveallthepowelY ofthe Committee Member
in his absen orinabilityto serve. EachCommi
tt
ee Membermayvote by detivering hisproxy to another

Ctynmittee Member. EachMembershallhave the powerto remove any Committee Memberappointed by

itby delivering written noce ofstlch removalto such Committee Memberand to the otherCommittee

Members. Vacancies on the ManagementCommittee shallbe fi

lled by the Memberwho appolnted the
Commi%ee Memberprevi
ouslyholding the positionwhi
ch isthen vacant.
6.1.5 ManaqementCom mittee C'halrman. The ManagemefltCommi
ttee shallhave a

chairman (lhe*chalnnan*),whoshallbeoneoftheCommitteeMembeo designatedbya majorityofthe

Committee Memlyers. The Chaimmninitial
lyshallbeW ARREN TREPP,an indi
vidual,orhissuccessoras

appointedbytheManagementCommlttee inaccordancewittlthlssection6.1.5.TheCtlakmanshail(i)
preai
deatManagementCommittee meeti
ngs'
,(
iijhavetheauthoritytoexecuteanddeli
veronbehalfofand

in thenameofme LLC any agreements,contracts. cotes,fnodge es,qvi

den ofindebtedness,certificates,
statementslconveyancesorotherinstrumentsinwriti
cg.andanyassignmgntorendorsementthereofkand

(iii)eyoriye4uchrlghtsorperform stahdutiesasareotherwiseprovidedinthisAgreementofasmaybe
approved from ime to timebytheManagementCommittee.TheChairman may (IfIIyberemoved from office

byRmaxrityoftheCommitteeMembefs.lntheeventtheChairmanresi
gnsori
srernoved,amajofityofthe
Commi
ttee Membersshalleled a replacementChairman.
6.1.6 Oleoation ofPowers and Duties. n e ManagementCommi
ttge may by wrltten
resolutbnfrom 1= to tirt
e del
egateanyofi
tsptywerltgthe Manager,the Chairman.oflicers,empl
oyeesof
a Mem- r,ortoRnyomerPefBon.Sur.hdelegaion otpowersmayinclude,butnotbe Iimitedto,theauthori
ty
.

to executeand deltveronbellalfofand i
nthename oftlle LLC anyagreements,X ntracts,rotes,moftgages,
..

evidence ofindebtedness,certiicates,statements,conveyances orotherInstrufnents inwritingland any

ao ignrnentorendorsementthereof.
6.1./ MananementCorumittee Meetinqs.

'

6.1.7.1 TheManagementCofwnitteeshallmeelatI
eastonc: each qtladefIn lncline

Wl
age,Nevada,orsklchothertimesorplacesastheChaifmanshal
ldetermine(unses:stlchmedngshall
bewatvedbyalICommitteeMembefs)oropthecalloftheChairmanortheManager.Suchrneeiingsshall
becalleduponatl
eastten(1Q)dayspriorwrtttennoice,exreeptinthecaseofanemqrgency,lnwhichevept
suchameetlngmayt2 called upocpri
ornoti
ceastheChalrmandee1
115appropnqate,butinnoevent1er,sman

fody-eight(48)hours.Anagenda foreachmeetingshalibepreparedInadyancebytheChalrmanorme
Manager,asthe case may be,and circul
ated to the Committee Membee. AppawalQfthe Management
Cm mi
ttee shallrequire amajo:tyIn numberofmeCommltteeMembers.'Ihe Mae ernentCornrnitteemay
ad withouta Ineeting lf(i)tl!e actlon Kken is approved in wridng by the numberofCommlttee Mernbers

neca= ly* kke:vcbaden,and(i(writtennoiiceofsuobadionlsglventoQ!eComml

tteeMemberswI)Q
d!
d netpfovidesklch written onsent.W dttenmlnutesofalltneengsshallbe maiptained,and the mintltes
fofeach meeticg shallbe approved atasubx quentmeetng oftheManagementCommi
ttee.

6,1.7.2 The ManagementCeommittee rnay adoptwbato ernlle: and prnzwM ures

relitlng to itactiviti
esas itmay deem appropriate,provided thatsuch rules aqd pro tl
res shallnotbe
in= sistentwithorviol
atemepfw isbn:ofthlsAgreemem arldPI/VIM thatsucllrule,
sandfegulionssball

permltmeetlngs W telephone,videoconferencingorthe like gnd qhallpermitCimmlttee Membersto

partidih
ateinmeetinm byteleptloneorvl
deoconfefenceG theikeorW wfittenproxy,aridstlchpa '' Yn
shallbe deemedattendanm forpurw sesofdetermlnlngWhethera qA rum I
s present
6.2
''

Powem .Dutm
- @nd Responvibilitiesofthe Manauem entcorrtnaX ee.n eManagement

cemmltteesllallhavealloftherighfs,dutiesandpowerssspedrledinthisAgreqment,indqdingwlout
Iimitation,the genenlpcwers and duiesofmanagementtyplcallyvested in the boal
'd ofdiredofl and the
oflice ofa ch'
lefpxecutke offlcerefa colw ration Matteo requlring the approvalofthe m nagement
.

Cm rnmi
ttee shallifzlude,withokltlimitation,the tll
owing:

t1m
1
2 trk
'
apMl AK

OFERAMNGAGREFMENT-l>A> 13
-

e'Treppid 0119

Jqh.Case
22. 200
3:06-cv-00056-PMP-VPC
6 6:03?k O -'ns J. Fr89,
Document
Es, 644-11 Filed 05/28/0886.
Page
7218 20?'
ofl93
b
'

.d.oe .

'

6,2,1 The authorization.negoti

atlon.execubcnanddelkefyonbehatfofMe LLC ofanyand
al
Ic ntractsoragreements,verbalorwrittenjhavinga coqtractvalue orobligationamountinexcex ()fFi
fty

n ousandDoll
arl($5Q,
000.00),whicbarenecessafyorappropfiateforMedevel
ogmontorexploitaionofthe
TechnologyorareinfudheranceofmeBusinessoftheLLC,including,butnotIimitedto butexpree
sslysubjed
to the li
m itadons requiring Mernberapprovalpursuantto Secti
on 6.4.4 hereof,contracts oragreements
betweenthe LLC and/ori/ M liates(
x any omerPersontopfovidemeLLC wil
h gcodsorsel
vi
cesofanykind
in whi
ch tl:e LtC orits Managermay bave an actualorpotentialceonflid ofinteru t,and including any
amendmenE orfnodifi
cationsthereto,orrenewalsorterminaticmsthereof.
6.2.2 The approval,execution,deli
very and perf
ormance on behalfof the LLC ofthe

MontgomeryTrustC'oqtributilm & reement,andamendmentsorrnodiscatlonstbereto.

6.2.3 '
rheapprovalofdeoll
edllne-item budgetsforthe operationoftheLLC andiksBusiness
orforthe developmentQrexploitati
on oftheTechnology,and any amendments,modificatlons,suppl
emenl

orrenewal
smereto.Eacbsuchbudget(andanyamendmentstheretofrcfrlmetotime),aqerapprovajby
thQMgnggqmentGpmmitteg,shplbereferre:tohereinasaneAporoved Budaet*
.

6.2.4 Subjed totheApproved Budgets,borowing fundsfrom anylenderto operate or

mal
nKin the Busine orforanydherpumosewhi
dlisinfurl
heranceoftheBulinessofthe LLC,omerman
tode payabl
- intheordinarycourseofbusiness'
,toi
ssueevldence,snfI
cdebtednemsinconnecionterewi
th'
,
to feinance,increase tho a= untof,modi
fy,amend prchange the terms of,orextend the time forthe
pay= ntof,anyldebtednes.
sorobli
gationofthe LLC'
,andtosecureany indebtedneu orobligati
onofthe

LLC W mortgaje,pledge.granti
ngasecuri
tyinterestinorotherlienontheLLC'Sassetl.
6.2.5 R e appointmentand termination ofocers,hi
ring and sling ofemployees,orlhe
engagementof ntraclors/gubcontradors,consutanl,expec andQtilerPelx nsnecessary orapgopliate
to carry outthe Busiherns ofthe LLC,inclqding the sel
ectionand engagementofan independentcerified
public accounting 51r1:and legalounself
orthe LLC,and to approve the terms ofany such appointment,
employrnentorengagement,d
ncluding approvalofbhetermsand paymentofcompeflsation.

6.
2.6 n e approvalofthe amountand iming forrequesl foraddi
ti
onalaclvances on
FCWLP'Sand FREMONT TRUST'SCapita!Contributlons pursuantto Sedion: 3.3.1 and 3.3.2 tlereofas
required by the LLC tocontintle the developmentorexploi
tati
on oftheTechnology Qrto othetwisectmdud
its gusinessin accoxlance with anyApprovedBudget

6.2.7 n eapproo lofthearnountanddming ofanyAdditbpalCapitalContributi

onsrequired
by the LLG to condud 1f.
s Rusl
ness,Inclu4lng,w i
thoutIimitation.al!capim lrm ulred to be expended w i
th

re:ped to theTechnology.

6.2.8 Subjed totheapprovalbythe Member:pursuantto Section6.4.2below,theal

e,

Ii
- nse,Ieav ,rental,assi
gnmenttransferorotherdisposi
tipnQfa1IQranymaterlalpartoftheassetsQf*e
LLC,includirigme Tedmdogyandanypatentrightsmereto,whetherasa single tranu dlon ora serie.
sof
transactlonsas pad ofa plan.

6.
2.
9 Any materialdecisions relatng to the testmarkd ng,m anufadure.distribuion,
Iicensuro orexplob tionoftheTe nology.
6.3

Powere.ntltleg*nd Resoonsibilities ofthe M.nacerxn e Managerslmllbe chargedwith

tl
'e rlgtll,dutlesandm wefsasspecsedInthts& reement,subjed totbeIimvtiop:setfolthInthisArtide
6 and elsewhere in thlsAgreement. The Managershallhave responsibll
ity fe oondvding Qle dartoday
operationsofthe BuslnessandtheLLG andfOCimplementingthe declslol
u anddire vesofthe Manage- nt

Peommltteeinconnedi
ontherewith,subjed to thesuperviskm,dlfedion artdO ntro!oftbe Management
Comm>
'

kl
oxwkea
e.
z
mk
xwvfepA.ec
wxt

oprexmxoAoFvxuvr-pw s
rx
eppj
ljalza
N

fm ll

'

239.2
2. 20g0
6:@$8k D- -'nS J. FryDocument
. E!C. 644-11 Filed 05/28/08
80.Page
7213 21@'of16
Case
3:06-cv-00056-PMP-VPC
93
'

'

'

..w .

..

The Managershatlhavethegenerulpowersanddutlesofmanagementtypicallyvestedin the

officeofachiefoperadngofjcefofacofm ration.Subjecttotheprovisi
onsandIimildonagetf01
-1)1inSedions
6.2and6.4hereof,theManagershallhaveresponsibilityforthefollowingmatters(listedbywayofexample
andnotinItmitationthereoj andshallhavetheauthorityonbehalfofandinthenameoftheLLC to door
perform,ofcausetobedoneoriledormed,suchactsorl
hings and to oegutiate,exectlto,acknowledgeand
delivera!Iagreemenw,dx umentsand instrumentslnconnectiontherewith:

6.3.1 Prepare,execute and hle on behalfofthe LLC allapplications (including patent

appli
cations),kcenses,permii,registrations,andconsents,andtootherwi
secommuni
cateanddealwithany
andadgW emmenralagencie.
shavingjurisdictbnover,orinanywayaffec:ng,theTecbnology,theBusiness
oranypad therx f,
6.3.2 Makeerdinalyandnece-ssafyexpendituresandi
ncufreasonableobligatlonsnecerxsary

forthecondud oftileacfvitiesoftheLLC'SBusiness,alli
naccordancewithandsubjecttoApprovedBtldge/.
6.3.3 Authofize.negotiate,.
execute anddeliveronbehal
fofthe LLC anyand aIIcontrac?
oragreements,verbalorwritten.having acontfactval
ue orobligation afnountofl
ess than Fi
ftyThotl
sand

Dollars ($5Q,X 0,00),whlch the Managerdeemsare necessaly orappfopriate forthe developmentor

exploitati
noftile-rchnol y,orareinfurtherance ofthe Business,includingtbutnotlimited 1,butexpreK ly
subpd
' tothelimi
taions requi
ringMemberappfovalpursuanttoSedion6.4.4* 10w.contf'
actsoragreenx ntg
betweenthe LLC and/orif.
sAfsli
ate:orany otherPefsonto provideme LLC with goodsorservices ofany
kindTin which the LLC oritsManagermayhave anactualorpotentialconci
ctofinterestland includlng any
amendmentsormodi
flcatlonsthereto.orrenewalsorterminatlonsthereof.

6.3.4 Subjed totllepriorappfovalbytheMembefspurvvanttoSedion6.4.

2below andthe
Managelrentcommi
tteepursuantt
p Secton6.2.8above,thesale,Ii nse,Iease,rental.assi
gnmentdtransfer
orotheriisposltlon ofaIlorany materia!partofthe assetsofthe LLC,Incl
udlng the Te& nologyand any
patentfightsthereto,whetherasasinqle transaczi
onora seriesofresatedtransactionsaspartofa pln.

'

6.3.5 ToconfessajudgmentagalnsttheLLC,orapprovethefili
ngoforsettiementofany

ciaims,IndudingIitsationmatters,fororagainsttheLLC,oflessthanFiftyTnousandDol
lars($50,000.00).
6.3.6 Execute anddeliverbcms and Indemnitjesby orOn behalfofthe LLC a: may be
required forthe ownershlpand/orsaleofany LLC Property,asexpresstydi
rededtodo so on acase bycase
basi
s by th@ ManagementCommittee.
6.3.7 To purdlase r
labilityandomerlnsurancetoproted theTechnology.th* LtC Properly.
and Businessofthe LLC.

6.3.8 neManager,subjecttothereasOabl
eapprovaloftheManagemeqt(70r1111**,shal

l* rltedmlcalengi
neers,p famme.
rsandote r mptltertechni
cl
anstodevel
op orexpzittheTe fola.
:
Jy.
6.3.9 Fmm Erne to Kme,amend EXHIBIT A to thisAgreemenltoreflecetanychange Inthe

Informatim A iakzd therein.and pfepare,exe teandhIe aCelticate ofAmendfnentorCorredi

lm to the
A111c1
% ofOrganizatlontorelled anychangeorm rredionin tlle LLC,11 Manager,Members,pfinci
m loflice,
registeredagent orthe Iatestdate u& nwhi
ch theLLC maybe dsscd
lved.
6.3.19 Prea re,executeand jIe onbehal
foftheLLC theAnnualUstofManagers,Membem

and&qentwlttlthe:ecretaryofStateandtopayaf
lfilingfeestherefor.
.

'

6.3.11 M direoted ftpm Nrne to time bythe ManagempntCommittee,to Investthe funds of

the LLC in bankcerticatesofdeposijshorbtqrm governfnentsecurities orothershorbterm seeurities.

Indudingrtu leymarketfunds,priortothe expendi
tureofsuc.
hm plklinconnedionwitllBu#neessppqrafons

i'Q*t
T
R
:
w.
p.r*
)wMAK

oespxywoAoRccuusT-eagejj jan1zl
e repp

Ji,2Case
2. 2003:06-cv-00056-PMP-VPC
6 6J?1 .l-.'''n! J. FrDocument
s. ESI. 644-11 Filed 05/28/08h'Page
7213 22
?'of1793

'
-

6.3.12 IftheManagerdeemsitnecessafyoappfrpri
ale,tc?adopta Coqjpanyseal,circtpar
infoan ccmtaining the words''INTREPID TEGHNOLOGIES,LkC,.
'togetherwi
th thedateofformati
onctfthe
LLC,and suchotherinformationasshallbe appropriate forbanklngadotherBusinesspurposes.
6.3,13 Maintain a minute book to indude the Artictes ofOfgankation ofthe LLC,this

Agreementandanyamendmentsorsupplementshereto andthqminutesofmeetings(orconsentsInIieu
ofmeetings)ofthe ManagementCornmitteetwritten consents ofthe Members.and otherimpoe nt
documentsofthe LLC.
6.4
Llm ltatlons on-.
-tbo-Managementcomm..
ittep and Manaoer.Neitherthe Management
Commi
tts.e northe Managershallhavethe authority todo anyofthefollowing withoutthe pfiorunanlmous
VoteofaI
lofthe Membefs:

..

6.4,1 Exceptforthe Iimitedauthorily zfthe Managertoamend EXHIBIT A hefeto andthe

Artl
de.
sotOrgarllzationpklauantto section6.3.9above.matefialtyamend orrestate thisAgreementorthe
ArtldesofOfgantzation.inwhcle orlnpart,lncluding any increasein the numberofCommittqe Membqfsof
tlleLLC puouanttoSection 6.1above.

6.4.2 Sell,Iicense,Ieasesrent,tfansfeqassignQrQtherwisedisposeofal1orsubstantiaW
aIloftle assets ofthe LLC,including the Technology orany gatentrights thereto,whetherln a slngle
D nsactionQra seri
es ofrelated tfnnsactiongas pad ofa plan.

'

6.4.3 ApprovetheTransferofaMember'slntere%t(exceptfortheTmnsferofupto10% of
aMember'sSclmomiclnterestptlrsuanttoSecticrl9.1,3ttereot).
''

6.4.4 Apprlwe any transaotion invol

ving the pqymeatofcompensatbn by the LLG to a
MemberoranAffi
liate ofa Member klnlen ptherwise expru sl
y authorizedand approved pursuantto this
Agreement
6.4.5 Any meler,consolidati
on,di
vesti
ture ordssolution andwi
nding upofthe Business
andaffalrsofthe LLC.
6.4.6 Any materialchangp inthe characterofthe Btlsinessofthe LLC.

6.4,7 The admi

sston ofnew orsubsti
tute Membersto the LLC.
6.4.8

Anyad i
ncontzaventionofthisAgreetnentoranyvali
d amendmeqthereto theArticles

ofO/ anizatlonoranyamendmentthereof.

6.4.9 Knowinglypedorm anyact(otherthannyad requiredbythisAgreemontorbykw

oranad Kken i
ngoe faithlwhi
chwould!atthetimeofsuchad,subjed any MemberofiheLLC tany
persm alliabilityInanyjurlsdlctlon.
6.5

rlme Devoted tp Manaoement Unleu an altemaEve schedule isdeterminedfrom KIY to

tl(Y bythe Managea ntCommi

lte to be Inme bestlnterestsofthe LLC afld itsMembers.Qle Manap lY

m lr-mslollbeexdusivetotheLLC,andheshalldevotestlbstandalyal1ofhlsfullKrteadattentionand
efrorts to e!e Bqslrless alld a@airs ofthe LLC dudng Ivasonable btls4ness hx rs. n e ManagerD'
IaF be
reqqifpdtotravelfrpm time totirnelnfurthetance ofhisduEesand responsibilitieshereunder.Tho Manager
agfeet* prw ide hiasefvicesina mannerconslstentwiththe X liclesoftheLLC asmay l)e adopte fK m
ti- to timeby the ManagementCom ittee.

6.5

Manacer's Restrldlon on.lndeoqndentActlvitles:AcreementN01to Compate. R e

'

Managerandh: Ao atesagreethasduringtheterm ofthise reementnoneofthem slhqllm mpetewlththe

LLQ whetherfoftheirowna= untand/orforthe'accountofothqrs,Individually,jolntl
ywithothers,Qrasa

sz
xk
lo
xa
mr
oz
ow
ol
- opx.c.c

(PUSATINGAGReFMENT-'P. . 1:
-

e'rteppid 0122
> $.e 1

Page
of193
J22.Case
22. 223:06-cv-00056-PMP-VPC
25 6:0l2k b ''*! J. FfDocument
yg, Esq. 644-11 Filed 05/28/08
-.0.
7212 23?'
8

' '

partofanyotherlimitedIi
abi
litycompany,Iimitedpadnership,genel
'alpadnership,jointventure,comoration
orotherentity,by: (i)devqloging,Ii
censingorexploiting inanymannefanysoftwareprogramsorother
technole y whichis competidvewith the Technologyorthe Busineasofthe LLC,clrprovldinganyservices
orsupplies which are encompassed within the definition ofthe *Business''ofthe LLC as setforth in this

Agreement'(ii)purcasingorotbefwise acquiring,owning,hol
ding,opecaling,managing,investing inor
otherwisedism sing ofaIllle businessofthe LLC'SBusiness and i
nteresg therein ofanykind ornature;or

(iii
)otherwi
seengaginginanyora1IaspectsofaIlkebusinessofQleLLC'SBusiness.n eManager'sorhis

Affiliates'padicipation in anyofthe activitiesrestricted by thispafugraph shallbedeemed a breach ofthe

Manager'sdutieshereunder.
6.6
Com oengatlon and Reim bursement. The LLC shallpay the following compensation and
reimbursefrentforserviryu renderedto oron behal
foftheLLC.orsuholhersal
aryand benerts asshallbe
hereafterapproved from time totime bythe ManagementCommitiee:

6.6.1 Expense Reimbllrsoments.The LLC Shallreimburse the Managerand/orany

Gommitte Member,MembersortheirAffili
atesforanyexpense paid bythem on behalfofthe LLC.thatls
to beproperlybome bythe LLC,aspfovidedforin anApprovedBudget()rasothefwiseapprovedfrom time
to time bytheManagementG mmittee.
6.6,2 compensationoftheMaflaner'
.Guaonteed Pavment lnconsi
deration forhi
s *11
time,exdusi
ve servkesto the LLG,the Managerofthe LLC shallreceive,in edditionto anyreimbuflement

forcostsasprovldedforinSection6.6.1above,aGuafacteedPayment(asthatterm isdefinedinsedioo
;07(c)oftheCode)intheaggregateamountofElevenThousandDollafs($11,000.0W permonthpayabl
e
on the first(1st)dayofeach calendarmonthcommencingascfOctober1,1998.and terminating on
Mamh 3,2000,The paymenta0damountofsuch Guamnteed PaymentQrsuch othercompensafonte be

paidtotbeManagerforhisservioesrnaybeadjusted,renewedorierminatedbytheManagementCommittee

'

from time totime.

6.7

Reatrictionson Distribptions. No distfibutiontothe LLC'

S Members lsVal
id unlesssuch

di
stribtldonhasbeenapprovedeltherimmediatel
y beforeorI
m mediatel
y afterapprpvalbythe Management
mmittee.
.

6.8
RlchtsofInspection. The ManagerandCommitee Membersshallhave theabsolute right
atany feasfmable time to insped andceopyarlbooks.recordsand documentsolevery klnd,andb)insped
thepllysl
o lpcpertiesofthe LLC andalso fits subsidiae Iimi
tedliability companies,domcsticorforeign.
$tIcI
1Insm di
onbythe ManageroranyCommitteeMembermaybe rnadeinperson orbyagentrttorrley
and Indudesthe rfghttocopyandobtalnabst
rads.

6.9 Fum ishlnp LLC Information. The Managermayrelease stl

ch informaion n mingthe
Buslnc s and operations ofthe U.C to such sourcas as is customaly orrequired by law orby rule or
rpgulatilm ororderofany regul
aterybody.
6-10 Authonw to 8ettlew'
ltllIRS.IftherearemoreQmnonehundre (1X )MenzersoftheLLC,
the*H *
l
ax
Ma
t
t
eo
Ma
n
a
n
er
(
as
ap
p
ointed inSection1Q.4 * 10w)shallhavethe RutloritytoenterInto R
-

- -

rrvmtwRhtheIntfnalRevem eServiceonbehalfoftlwseMember:having 1e,

% thana ONE PERCENT

(1*)intestklmeprorltsoftheLLC,exceptwhereaMemberfi
lesasltementwiththeIRS,inaccordance
wlthapplicableTreasuryregula ons,stadngthattheTaxMattersManagerhasno skl
chatlthorltyteactontlvt
Mem be/sbehalt M yMemberfili
ngsue.h astatementwi
th the IRS shallnotifythe Managerthereofwlthin

thirty(30)daysofsuchfil
ing.

Cl
T
-zv l
TD ) AK

OPERATINOM REEMENT.Pag.1T
W reppid 01O

'

3:06-cv-00056-PMP-VPC
Page
ofI93
Jin.Case
27. 200
5 s:04?k .;n '>':s uI. FfDocument
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7217 248.
S

'

,'

;. w e

,- L

wayjcu: y
DEFAULTS

7.1 Default.n efoll

owingshallOnstituteaneventofdefaul
tunderthi
sAgreement(a*Defaulr),
and,whereapplicabl
e,theMember(I
nclutingtheManageroraCommitteeMember)causingsuchaDefautt

'

shal
lbe deemedthe D qfaultlnq Member'and the MemberorMemberswho havenotothefwise defaulted
shal
lbe deemed the*Nondefaultlno Member@)

T.1.1 Failure to Pav Obllpatjons erAdditionalCanitalContributions. Failtlre byany

Memberin the paymentofany financlalobligation crAdditionalCapitalContrlbutkm to the LLC which

continuesforapedodofseven@)daysafterwrittennoticetosucllDefatllting Memberjorfailure in the

Performanceofanyofthe otheragfeementsorobl
igadonsctmtalnedin*i
sAgreerrxmtifaaid failureconti
nues

foraperi
odofthirty(30)daysafternoti
cetosuchDefaul
tingMemberiprovided.however,noDefaultshal
lbe

deemedtohaveocourredIf(i)suchDefauldngNembe/sfailureofpee rmanceiscurable,and(ii)ifsuch
Defaulttobecufabl
e,butaftertheexerciseofreasonablediligenceitisfound such Defaultcannotbe cured
-

. ..

wi
thln-thlrty(30)daysaftecnoti
ce,buttheall
egedl
yDefaulti
ngMemberhas lwnencedtocuresuchDefuult
wi
thinthe 30.
.day periodand thereafterdiligentlyproceedstocuresuchDefault.

7.1.2 TrxlnvfvrlnVlolationofAcreement.AnypurportedorattemptedTfansferlasdefi
nvd
InSecti
on9.1.
2bel
- )byanyMemberi
nvi
olationofArticle9hereofatanytimedtllingtheexistenceofthe
LLC.
7.2
Remedies ferDefault. Upon the oc rrence ofa Defaulthereundec tbe Nondefanlling
Membersshal
lhave thef011* % choi ofremedi
es,noneofwhictlshallbe exdusi
veorInanyway Iimitthe
Nondefaulting Membefsfrofn seeking anyotherremedythey may have in law orin m vity:

'

7.2,1 Rem vdv forDefaultUnderSection 7.1.4 ofthls Agreem ent. In fhe eventofa
Defaultdescribed in Secti
on 7.1.1 above,the Nondefaulting Membershallhave the right(but notthe

obl
igation)tornakeanAddifonalCapi
talContributionls)totlleLLC ortolendtotheLLC theamountts)thet
should have been ntributed byQw Defaultng Member.M ysuchamountso loaned shallaccrue lnterest

flxedonthedateoftheIoanatayrannum IuteTWELVEPERCENT(12%)1orthernaxlmum rateofinterest

permittedbyIaw,whlcheverisI
ess,whichIntefestshal
lacorueandshallbeadjtlstedbasedupcm theYregoing rateand becompoundedon eachfirst(1sl)dayQfeach rnontbdurl
ngthe term ofthe loan. Any
arrountssp lmaned,togetherw101l
nterestthereon asaforesaid,shallbeirflmedktqlydueand payable from
theDefaultifgMerfe rtothe NondefaultirigMember,M I
ongastheamountso Ioaned and int/reitthelw n
r4mains tlnpald,any di
stribution to which the Defauldng Memberwould ethe- ise be entitled underthis

N reementslalbepal
dtotl'eNondefaultingMemberandappliedinrepaymentoftheamountssoIoaned,
with anysudlN ymentappliedhrsttoattorneys'feea. stsandexpenses (ifany);thento interestthen
a rued;thqnto thq belal
w e inredkrtbn ofthe pfincipalarrmuntuntilthe Nondefaul
ting MqmberhasbW n
repaldaIlarfxxlntsso Ioanedto tbe LLC tocuresudlDefault lncludlng allaccrued interestxfeesarld costs
asprovided forherein.

7.2.2 OtherRemedles. In the eventofarly Defaultunderthis Agreement,lndudinga

DefaultunderSection7.1.1.above,and solongassuchdefaultremalnsunmlred,the NondefaultingMember
m ay.butshallnotbe ebllgatedteldoanyoral
Iofthefoll
owing'
.
.
7.2.2.1 Use any LLC asset.
s,including, but not llmlted to amourlts ottlelwir,e
distributabl
e to fhe Defaulting Member.to A:
zfilnfythe Defaulting Member': flnanoialorotherobligations,in
orderthatlheNondefaultlng Mem- rneed notcontributeaddi
tionalfundgto vatisfy theworklng O pitaland
opeeationalrequirernentsofthe LLC.
7.2.2.2 Pursue anyandaIIrighl lore verdamagesandaI1ot- rremedi
esavailable
In I:W and equity.

llz
K-lt
HPAW z'
pv) &EZ

opcuraoAoseeMsxr-eaue1:
e'rreppid 0,
124

Case
3:06-cv-00056-PMP-VPC
05/28/08
Page
of 2
93
22h.
22. 200
6 6:2lFk -- -'s J. FrDocument
yg.ES$, 644-11 Filed 89,
7218 25?.
0
:.

''

w y

. ...

7.2.2.
3 TerminatetheLLC.bywrittennoticetotheDefaultingMemberatanyti
qx prior
tothe DefaultO ingcured.

7.2.2.4 Manage and conductthe Businessand operations ofthe LLC.withoutany

padicipationdconsentor approvalofthe Defaulting Mqmberori? represenltion on the Management
Committeewhic.
h wouldomefwise berequlred puauantto thi
sAgreement.
ARTICLE 8
MEM B
.ER:'MEETINGS:ACTIONS W I-DIOUT MEETINGS
- -

8.1

Meetinas.The Membersshallnotbe requiredto hoklanyrc vlar,annualorspecialrneelings

inordertoapproveanyacti
onoftheLLC asrequiredbythlsAgreementortheNRS.
8.2

Aetions W ithouta Meetlna.

-

'

8.2.1 Anyadionreqkiri
ngepprovaloftheMemberspursvanttothisM reementmaybe
approvedwithoutthec ndud ofameetingandwlthoutprlornojcelfawe encansentsetting11rt11the acti
on

oracti
onsso taken.issigned byMembersbolding,kltheaggregate,aMaXKN in Interestormoreofthe

Members.unl
essa grvaterVote isrequired under,ora Iesservoteisprovided forIn,thisAgreementorthe
NRS.
8.2.
2 Unl
essthe unaqimouswrtten(xpcyentQfthe Membershas beengi
ven,notlce ofany
suchadi
c approvedby1- thanaI1ofthe Membersshal
lbe gi
vento those Memberswhodi
d notN rtkipate

Inclrapproveofsuhaditm withinten(10)daysfollcwingtheapprovalthereof.
8.2.3 Any Membergklng awrittenrm sentmayfw oke tileconsentbyglving written notice
to the LLC priorto thetime thatwrittenconx ntsoftM Mernbersholdi
ng,inthe aggregate,the Voterequlred
to atl
thorizettle pm posed action have been sledwith the LLC. Suc,h revocation i
s effective onlyupon its
receiptbylbe LLC.

6.3

ExcluglonofVote.1f,puuanttothe NRS orthq tefmsofthl:R reementa Memberisnot

enftled to Vote on a specirlc maoer,then such Member's numberofVotes stlallnotbe considered for
purposesofdetarmgni
pg whemerapprovalbyVote ofthe Membershas been obtained in relpectofsuch
speci
ficmatter.
ARTICL.E 9

RESTRICTIONS ON TM NSFER OF LLC INTERESTS:

ADMISSION AND SU
ON OF NEW MEMBERS

9.1

TransfefoeA% itlnmentofMember'slnteu t SIINO Y tllepm isicnsofAdicle11ofthis

AgreementIthe lnterestofeacb Mernberafi lhe E nomlc lntqrestofa Peer:on who ls nota Member
constitute-s the personalpropertyofthe Mem- rofEctm mic Interestholder. No MemberorEo nomic
Interesthol
derhasany InterestInthe Property ofQleLLC.
9.1.1 A Membe/slnterestoranEoonornioInterestmayonlybeQpnafefred orao igned In
stricta= rdancewi
th OIY Agfeernent

9.1.
2 N0trdnsfer,hype ecati
on,enoufnbcan ofv igna nt(aq-ransfee)ofaMefn- r's

lnterestIn the LLC wilbe valid tlnleGs unanlmously appfuved by the Memberslotherthan the Member
prom singlodl
sy seoflh lnterest lfleo thanunanlnotlsO nsentofthe Membefslotllerthan the Member
prolv yedtodispx oofIY Intere tdoe.snotapproveQo lh psfer,thetransfefeeofthe Memte stnterestse ll

IXBI
w
YC
:
IX'
I
)
V*kKIPXEQ

OPEMMNGABREEMENT-PeeeJjreppid 0125

Page
93
Jih.Case
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s, ESI. 644-11 Filed 05/28/08h'
7213 26F'of21
G

''

''- '

nothaveanyrtghtto padicipate inthe managementofthe Business and affairsofthe LLC orto becomea
Memberoftbe LLC.

9.1.3 ATransferoluptotenpefcef!t(10*/1)ofaMember'sEconomicIntere-stmaybedone
withouttheconsentoftheotherMembers,the ManagefortheManagementCommittee.The transfereeof
an EconomicInterestshallnothaveany ri
ghtto parjcipate i
n the managementofthe Husi
ness and affairs
ofthe LLC orto become a Member. Notwithstanding the Ioregoing,any Tfansferby a Memberofan
EconomicInterestinexcessof10% skallbe deemedaTransferofsuch Membe/s LLC Interestand shallbe

subfecttoSection9.1.2above.
9 2 Void Transfers, Any Tr'
ansferofan Iqterestwhi
ch does notsatisfy the requirements of
Sedion 9.1.
2 above shallbenullari
d void,andthetmnsferring Membershalloontjnueto be a Memberofthe
LLC aDd to be obli
gated undereach and everyprokl
sionofthisAgreement
'
.

9.3
Admission ofN*w Members.A new Membermaybe admittedintothe kLC only upon the
unanilnousVoteofaIlofthe Members.

9.3.1 The amotmtQfCapl

talGontributionwhich mustbe rnade bya new Membershallbe

determinedW theVoteofa11exisingMembefs.
9.3.2 A new Membershapnoti)edeemedadmit'
tedj
ntothe LLC unti
ltlleCapitalContbutjon
rm uired ofsueeh Person shallhave been madeafld stlqh Pelx nhasbecome a partyto thisAgreementby
executing and delkering to the LLC a O unterpad signature page to this Agreementacknowledging his
atxeptance of.and agreeing to beboupd by,the terrnsal
hdconditionsofthisAgreement,
'
'

'

94

SubstitutionofMembers.Subje ttotheprovisionsofArticle 11hereof,a Personmaybe

stlbsttuted as a Memberand admi:edtothe LLC,succeedingto alIofthe ri

ghtsofany Membec upon the
deathofaMemberorupontheval
idTransferofa Mem- r'sInterestina= fdanc.
ewithSection9.1.2 above.

n esubstltuted Member.shal
ihw eqIItherightsandpowersandshallbesubjecttoalltherestrictionsand
Iiabilitesofthe transferrlng Membec exoeptthatthesubstltutl
onofthe transferee Membershallrl
otrelease
thebansferring Memberfrom Ilablli
tyto the LLC pufx antttlNRS Secti
on85.351. No substitutedMember

shalbedeemedadrnittedintolbeLLC untilsuchsubsti
tutedMemberhasbecomeapa* tomisAgreement
byexectl
tinganddel
ivefingtotheManagementCommitteoqcounterpade nature pageto thisAgreemeot,
acknY edgingbisacceptanceQf,andagreeingtobee undW,theterrnandO ndltlonsofthlsM reement.
ARTICLE 1

ADMINISTRATION AND ACCOUNNNG MAU ERS

10.1

Maintenance ofBooe and Records.TheLLG shallcause boolsand recoro ofthe LLC

to bemaintained Inaccordancewithgenefallyzvvwpled accotmting prlnciples,and shallgive repodstn the

Membersinacecordan w141prudentbusinesspracticesandthe NRS.n ere shallbe Reptattlleprindpal
businessofra oftheLLC aswellasgttheregisteredomceoftl)eLLG spedfi
edinSeeetion2.5(#dlfferent),

@nyinformae requlredtobeINAiA i
nGIW theLLC pursuanttoNRSSedion86.241.asBmendd frem Nme
to ime.

10.2 AnntlalAccountinn.Wo inonehundredtwenty(120)daysafterthecloe.eofeachFkscalYear

Qft* ttc,the LkC ehalpfpvldetothe Membersa1
1iqformation peesr'ary forthem to O mpletefedemland
statetax returns.

10.3 lnsnection and AuditRiqbts. Each Member,atits own expense,has the right.upon
reearm ablefeques'tandforpurN esreasonablyrelatd totheSnterestofthatMember,* lnsped andcpy
dudnglermalbtl
slnesshoursanyofti'
l
e LLC 17t* andrecordsrequifedto l)emaintai
ned inaccordaa with
Section 10.1atm e. Gudlrlghtmaybeexerdsed W the MemberorthatMerrl
becs agentorattorney.Any

Cl
j
r (
T
*V D) A EC

OPERATINGAGREEMEN'I.eage20

e'freppid 0126

Document
Page
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J8h.Case
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06 62058. (> ''As J. Fr?9.
Esi. 644-11 Filed 05/28/0819.
7213 27?'
.

'

-'

w <

..

Membefmay requirearevi
ew and/orauditQfthe books, recordsand reportsofthe LLC. Thedetefmination

ofthe ManagementCornmittceastoadjustmentstothefinacclalreports, books,recordsand retumsofthe

LLC,in the absence offfaud orgross negligence, shallbe jnaland binding upon tle LLC and aI1ofthe
M embel
'
s

10.4

'

TaxMatters l-lalliled bv Mananqr.TheManagementCommittee shalldesignatea Pemon

tobeQleLkc'
sVaxMattersManaaee (deinedasq-raxMadersPartnerinCodesedi
on6231)terepresent
the LLC (atthe LLC'Sexpense)inconnectionwitha1IexaminationsoftheLLC'
Saffairsbytaxaithorities,
indudingresungjudi
cialandadministrajveproceedings,andtoe-xpendLLC fundsforprofessionalservi
s
an ixmtryau oclate terewith. In its capacity as G ax Malters Manageryethe designated PeMon shall
overseethe LLC taxaffalrs intheoverallbestinterestsofthe LLC.
10.5 EstablishmentpfBankAccoilntq:Authorlzed Slnnatodes.The ManagementCommittee
shallauthoc e tlheestablishmentofoneormofedem si
tofy acczmntsIn Nevada and elsewhereforthe Iunds
ofthe LLC.AlIdisbursetncnk fmm the LLC'Sbankaccountsshallbein accordancewiththisAgreement. Any
-

checksidfafts,and otherlnstrumenE obtigating tlle tLc to paymoney uptoa maxlmum afnountolTwenty-

Five Thousand Dllars ($25,000.00),including Instrumen? payable to the ManageforotherPersons

authortzedtosi
gnthem,maybesignedonttieLLC'SbeihalfW theManager,adi
ngalone.Anysuchchecka,
dfafts oromerlnstrumentsobiigating the LLG to pay money in ex ss of$25,000.00.whetherasa slngle

clv kofasefie.sofchecks.shallrequirethejolntsi
gnaturesoftheManagerandaPersondesignatedfrom
time to time bythe ManagementCommi
ttee,

C..a.
O t181ar1c> onhandmaybeinvestedW theManagementCorrkmioeeonbehalfoftheLLC
.

-'

as provlded forIn thi

s Agreement tLC funds shallnotbecommingled with the fundsoftlle Manager,any
Committee Membec Membef,officeroranyotherPersonortzsed ascompensafqg balances forany other
obligatl
onsofthe Managec anyCommitteeMember,any Member, offi
eaerorany otherPerson.
10.6 FederalIncomeTax Electloqs.TheManagementCornmitteeonbehalfofthe LLC maymake
a1Ieledi
onsforfederalincometaxpurposes,including butnotli
m ited to the following:
-

10.6.1 EntA Classificatlon EIectlon. As a domestic eligibl

e enfrty,the Management
Comrnltteeshallca se meLLC toelecttobeclasaifiedasapartneahip forfedet'
altaxpurpose-sW Ni
ngForm
-

8832.Enti
tyGl
asstflcationElectitm,wittlthetnteraalRevenueSefvi
iflthetimeaqdmancerprererlbedW

the appli bl
e regtll
adons.n e elu onforsuchcl
assifo ti
onshallbeeffedkeasofthe effective dateofthls

& feement

10.6.2 DgeofAcceleratedDepreciationMethods.'rotheextentpermittedbyajplible

Iaw and regulati

ons,Q1e LLC mayelcxd to use an accelemteddepreciationmethod on any depreclableuni
t

oftheqs- tsoftheW c.
1:.6.3 Accogotlno Method.Forgnanclalreporjng purx ses, the boolfs arld rece s ofthe
LLC sballbe kept()nthe CASH METHOD OF ACCOUNTING appliedin aK nslstenttnanlYrandshallrelelt
alItransactionsofthe LLC and beapprop:ateandadequate forQlepurposesofthe LLC
.

1Q.6.4 Obllaatiofl: ofMembers to ReoortAllocatlons. '

I'
M M embe are aware QIth@
income taxm p quencesofthe alG ationsmade bythisAgreemem Rnd hereby agreeto be bound bythe
provisl
onsofthisSprfnn10.6 iprem rting melrshares oftheLLC income afld I
ossforincometaxpurposes.

10.6.5 TaxYear,TheManage- ntCorrznitk.

ckewll
!causethe LLC to adopttheCALENDM
YEAR as i
ts lxabl
e year.
10.6.6 Oiher Flx tlon:. n e Management Committee shallhave the ri
ghtin its sole
diK retipnatanytimeto makeornottopukesuchotherelectiona Rsareauthorted erpermitted by any Iaw
orregula:onforinxrnetaxpurposes(including,bUtnotllmited*)1anyel
ediongnderM ons734.743and

II
K
mH t
T
eX
.pM
OWWWE
) '
C

OPERATINQAIIRKMY -Page21
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.
80,
7212 28F.

'

'

;54oftheCodetoatjustthebasisofthePropertyoftheLLC inthqeventofaTfansferofalIorpad ofthe

InterestofanyMember).Notwi
thstandingtheabove,nokember,northeLLC shallmakeanelectiontobe
excluded from the appli tionotSulxhapter!(oftheCodaoranysf
m llarpvision: ostateIaw,
ARTICLE 11
PURGHASE OPTION:MEMBFRS'RIGHT OF FIRST REFUSAL

11.1 LLC': Purchase Option. Upon the occurrence ofany ne ofthe foll- lng events (a

U riaqerinaEventf)with resped toaMembectheLLC shailhavq theoptionto pue asea11,butnotIessthan

al
l,oftheLLC InterestofsuchMember(theFsclling Member*)atth@priceandonthetermsassetforthin
Section 11.3 bel
ow :

11.1.1 The l
ntended sale,lransfer,encumbmnce orhypothecation ofa Member's LLC
Interest
11.1:2 Thewi
thdrawalofaMemberfrom the LLC'
,
11.1.3 Thedeath ofanindivkualMembec
11.1.4 n e bankruptcyofa Membeq

11.1.5 Thiwinding upanddissolufonofanenti

tyMembeqor
11.1.6 The mergerorothorreorgaplationQfan entl
ty Membefinwhl
ch th*enti
tyMee er
Is notthestlrvivingentty,
EachMemberagreesto promptlygi
vewrittennotlceto the LLC ofa Tri
ggering Event Ihe LLC
shallhavetheoptionto purchaseall,butnotlessthanal1ofthe LLC lnterestofthe Selling Member,which

ltmayexefciseonlybygivln:writtennoticetoSel
lingMemberonorbeforethethlrtieth(30th)dayfoll
owing
reoel
ptbythe LLC ofthe SellingMembef'snotice.Upon the giving ofthe notte,the LLC shallbe obligated

to purchase!h:LLC lntefestofKe Selling Member.subjed tothepfovisionsofthisAgreqmept lft114 LK

doesnotexercl itsoptonto purchaseall
,butnotlessthana1l,QftbeSdl
ing Member?s LLC Intefest,the LLC

shall,onorbelofethefiftil(5th)dayfollowingteendofthel
%-dayperioddeKribedabove,glvewrittennoti-

to tbe remalnlng Membefsthatthe LLC lnteresthasnotel

eded t pue asetl'k
e SellingMember's Interest
f1.2 Remal
'nl
'lm Mem bera'Plzmbase Option. Um nrecelptofmenou holn 1h/LLC dese d
In Geotion 11.1 above,each remaining Membershallhave the option to purchu e the Selling Mernb'
er's

InterestInthetamepropoftbnasthatRember'slnterestbearstoaIItheVembersryotledngtpurdlase

theLLC Interest A remainingMemberrnayeierclsehIsoptiononl

ybyglvingwrittennotlcetoLLC oner
beforethethlrti
eth(30th)dayfollowingreceiptoftheLLC':notlce.Eachrem iningMembernotdeiringto
pge aseany/f(he SeldrlgMember'
sLLC Irlterestsllallgkewri
ttenllotl tnereoftomeLLC durirl
g the =-4rrm
30-day period. lfallorany Qflhe LLC Interestofthe Sell
ing Memberi: nolpurchased by the rernalnirig

Membeo,then,subjecttotheunanimousapprovaloftheremainingMemberspursuanttoArtizle9hereof.
fheSelpngMembermay sellhI
s lnterestto a O nafi
dethktm artypurchaseronthe priM andtermsretflxth
in Secti
on 11.3 bel- . Forthls purpose.the Selling Membershallprovide the LLC and the remainirlg
Memberswf
tllsuch infofm ati
onregardingthe third-pqdyptlfch% e.rastheymayreasonablyreqflest lfKe
remainlng Members do notunanimouslyapprcve the purchmserand the sale and trafsferofthe Solling
.

Member'
slntereattosuc.
hjurchaseer,thentheSeljngMembershal
lremainaMemterandshall ntintleto
beobligatedas aMemberIn accordan with Sedion9.2 hereof.

11.3 Purbase Price and PavmentTerms.Tbe purchase pri

ce forthe LLC Interestpurstlantto
Eections 11.1and 11.2 ahwesluallbelhefairmarketvalueofihe Intereqtasmutuallyagreed between the

SellingMemberapdtheremainin:Membefs(the*purchasePrIc@*).lfiheSellingMemberandtheremaini
flg

IIQWT
(
eXiW
)WWWVY

OFfMNNGAGREEMERT-eage22

e'freppid 0128

Case
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b10bFk
/'38 J'Fl1Document
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7212 29F'of2$
*

'

Memberscannotmutuallyagreeonthe Purchase Pricewfthi

nthirty(30)daysafterthedateofqoticeas
specified in Section 11.1 or11.2,as the case may bedthen the Purchese Price forthe Setling Mernber's
Interestshallbe determinedbyarbi
trationassetforthbelow.

W ithinten(10)daysaftertheexpifv
atfonofthe30-daypedoddescribedabove,the Selling
Memberandtheremaini
ngMemberzshalle.
11!:11nameone(1)afbitrator.ThedisputedvaluationsoftheLLC
Interestand tl
)e Purchase Price determined by the Seling Memberand the remaining Membersshallbe
submi
tte lo lle arbisatof.Theafbitratorshallthendeterminewhetherthe Sell
ing Memberorthe fer
tmingng
Members'Ptlrchase Price ismorerefkctke ofthe fairmarketvalueoftheLLC andthe LLC Interest. The
arbi
tratormustseled the valuation and Purchase Pri
ce submitted by eitherthe Selling Memberorthe
remainingMembers. N0 othervalue maybe determined. Thedecisi
onofthe arbi
trator%hallihevakd and

bindingona1lparties,andjudgmentfnaybeenteredthereoninanycourtofcompetentjurisdidion.Ttleparty
accepted shallpay aIlofthe fees,costs and otherexpenses incurred in
orpadieswhose valuation ispp.t'
connectionwi
th thedetermination.
..

ARTICLE 12

TERMINATIQN
- AND.DISSOLUTION.
12.1 Diasolution.PursuanttoNRS SecionK .
491,theLLC shallbedlssol
vedupontheoccurrence
ofany ofthe following events:

12.1.1 The uqanimouswrlttenconsentofaIltheMembers;or

12.1,2 Thesale,Ii
cense,I
ease,reptal,asskgnmentorotherdi
sposilionofaIlor%ubsl nti
all
y
al1t)ftlle asseta efthe LLC,i
ncltlding the Teohnology orany patentriglltsthereto.whethero urring ina
single tr/nsad on ora seriesofrelateGtransadionsaspartofa plan.
12.2 continuation and Condud ofBusinessAfterDissolution. Upontlle occurremce ofany
disM l
utim eventspc ifiedinSectiml12,1ahwe,tl- LLC abal
l ase to carryon 11 Bklslnou ,euzptInsofar
as may b. necessary forthe winding tlp d Its Buslness. n e LLC shallcontinue as q O mpany forthe
pqrpose ofproseutlng 4nd defending stli
ts.aeti
ons.pfpceedlnga and clal
rns ofany kirld orr'ature by or

agalnstitandofenablingitgradtlallytosettl
eand dse itsButiness,to colled and discharge itsobllgatio% ,

todkposeofand cofweyifsPfopertyarldtodistdbuteitsassetsandWopetk.butrlotforconfntllrlg the

Businessforwhich itwasestablishod.
12.3 Llm l
tatlon onAdions bv erAqainstDesolved LUC.Thedisolutionofthe LLC sballrlot
impairany rernedy orcatlse ofaeetfcm avail
able to oragainstitorits W nag/r,G mmlttee Members or

MembersarisingbeforeLsdissolutionandO mmncedw1t1tw(1)yearsafterZQdateofII!QdlsK lutix .

12.4

DistdbutionofNetProceedsUponLlquldatlon.The Menkhers shRllcontinue todivldeNet

Prd tsandNetLossesandAvaifableCashF-bw dtlrinstheWi

nding-upperlodinthetamemanaqrqqd tlle
Same pfiorl
je.
s asprovided fofinArtitbs4 and5 hereof,7Xeproceqdshom the lquldadonofPfnpertyslhql
be appliedto liabil
ife:ofthe LLC in thefotlowingordec
12.4.1 Fifstatote D ymentofcredi
tors,IntIIQ orderofPjori
tyasprovi
ded byIaw.exceptto
Membqrson aocountofthelroontributions'
.
12.4.2 Next,tothe paymentofIoansorildvanfxsthatmay have been made byany ofthe
MembersortheirPrsncigalsforwofkingcapltaloromerrequirementsoftile LLC'

12.4.3 NeA pl'

o rata.to FCPA P and FREMONT ln acemrdancewlththeirpositive Capital
Accountbal
ancex

VZX @
QQ*
)e AK

OPEPATINBM REQMEIIT-P-e'
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27, 200
6 610682 O ''hS J.Fr?g.
Es. 644-11 Filed 05/28/08d0'
7013 30?'
.

w #

* ..

12.4.
4 Next.to MONTGOMERY TRUST in accordan with bis gositive CapillAccount
bal
an 'and

12.4.5 n ereaNer,pro rata,to the kembersinaccordancewi

ththeirapplicable Percentage
Interestsatthe time ofsuchdistribution.

Wherethedlstrilmtionpursuantto1lsSedion12.
4consists1)*1ofcasll(orcashequkalents)
andnono shassets,thecash(orcashequivalents)stlal!firstbedistfibuted,inadescendingordeqtofully
sati
sfyeachcategofy slartin: withthe mostpreferred categoryabove. Inthe case ofnoncash assets,the
distributi
on values are to be based on the fairmarketvalue thereofas detefmined in good faim by the

lkul
dator,andtheshorte.
stmaturityportionofsuchnon-cashassets(e.y.,notesorolherindebtedness)shall
,

tothe extentsuch non-car,hasr'etsarerqadilydt

visible,bedi
stributed,lna descendlng order,to full
y satisfy
each categoryabove.starlingwith thernostpreferredcategoty.
.

ARTIC LE 13

..

INDEMNIFICATION

13.1 Indemnm catlon ofthe Members and n elrPrincipal

.s.The LLC shallIndemnify and hold
barmless eacb ofthe Members,lhe Manageq thijcommittee MqmbefB,theirAMli
ates and each oftheir

r- pective offi rs,directors.managers,trustv s,employees,agents and Pdncipals (indivddually,an

dlndemnitee/)from andagai
nstanyandaIlIosses,claims,demands cm ts,damagees,Ilblli
tiesvjointand
seveml,expenseaofanypattlre(includingreasonableattofneys'feesanddisbursernents),Jtldgmentsl'nes,

'-

uettl
emenl and othefafnounl arising frpm any and aI
Iol
alms,demands,actions,suits orprom edings.
whetherckil,crlmi
nal.admlnistrativeorinvestigati
ve,inwhi
cbthe Indemnltee Isinvolved asa party arising
outofthe Businessofthe LLC,excluding Ii
abil
itiesto any Membeq regardl
ess ofwtletherthe Indemnitq/
cY tinuesto be aMember,anAffiliatq oranofficer,dlrectoq empleyee,agentorPfindpalofthe Memberat
the time any such I
iablll
tyorexpenseis paidorincurred,to thq fullestextentpermitted by the NRS and all
otherappliable Iaw:,provlded lhattheMemberorsuch Personactedingood fai
th,within whati
s reax nably
believed to be the scopeofit%atlthnrity and fora purpose whlch Itreasonably believed to be inthe be-st
interesY ofthe LLC and the Memhersorolhpl
w ise In compliance wlth the proVi
zlons ofthis Agreement;

provied!howeve.
r(pmattheLLC shalnotberequiredloindemnlfyanylndefnniteeqapdanysuchlndemnltee

shallbellable,foranyIorxs,exllemseordamagewhlchtheLLC rnaysufferasarezultof(A)suchIndernnitee,s
wlllfulmisconductgrossnegligen orbadfaithipfailingtoperform Rsdtltieshereundec(B)acionsfaken

byguchIndemniteelnvioladonefthi
sAgfeement,(C)tllerereeiptW Ktlcbld emni
teeofanyfnandalbenefi
ts
towhlchltisnotendtledpursuanttothl
sAgreement,or(D)mevotebysuchIndemniteefQradistributionof

fundsoftti
eLLCinvklati
onf*isN reementortheAd;(Ii)theLLCshallnotberm ukedtinenmifyBny

lndemniteeforanybreac.hoftheprovisi
onsofmia& reementrorforany10::,expeqseordarnagewbichIt
may stle rasa rezultfth bfee ofthisAgreeementbyQleRernbert;whk)h thelndemnltee b relate ;and

(iI4anykabi
lityhereundershalbeIirritedsolelytotheassetq@ndpr
w ertie:ofQleLLC,andnoMem'ber(or
anyM liateofanyMember)shakIvveanyIiabll'
ftyorobflgationW reasonoftheseindemniqcadonprovisi
m .
13.2

Expenses,Expense.sjn rredbyanIndemnlteelndelending anyclalm.demand.adi

on.suit

orprtmeedingsubjecttosedion13.1abovemay,from timelotifre,beado rtcedW theLLC e rtottleinal

disposltionofsucehdalm,demand,a n,stlitorproceedinguptm reMiptW theLLC ofanunde kingW
or iwhnlfofthelndenmi
teeto mpayQll
r.
h amountlfI
tshallbedetermlnedthatsuch Personis riotenti
tled
to be indefnnised asauthorlzedin Sed/on 13.1.
13.3

IndemniscatgonRiqhtsNon xcluehe.'fheIe mnilicatlon provl

ded by SM zn 13.1shall

beinaddltiontoanyotherrlghtatowhicllthoseIndemnzedrrkaybeenledtlnderanyagreementVoteof
.

the Members,asa matterof1aw orequityorothel

w kselbothasto edion inthe Indemnitee'scallacityas a
Member,asan Aml
iate orasan offi
cer,dlreotoq employee,agqntorPrinclpalofa Memberand as to arty
adl
on Inane efcapaci
ty.Rndshallconbnveasto anlndemnb ewllo ha:ceasedto servein such O padty
and shallinure totlle benetoftho helrs,successors,asslgcsandadmi
nistratoriofthe lndemnitee.

7I
V
zl
QW
(lR,7puXP
)M FAXQ

OPERATINGAGREEMENT-Page24

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Case
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. 2206
5:0bpk r -'*s J. FryDocument
s, E9. 644-11 Filed 05/28/08d.Page
?210 31?.of26
'

13.4 Errors and 0m.i

x ions lnsurance.The LLC may purchase and mai
noai
n insurance,atthe
LLC'Sexpense,onbehal
fofthe lembers andsuchotherPersonsastheMembersshalldetermine.against
any jabifitythatmaybearysertedagainst,efanyexpense f
hatmaybefncurred by,such Personinconnecti
on
withthe adjvi
tie.softhe LLC and/orthe Members'actsoromissionsas the Membersofthe LLC regardless

nfwhethertheLLC wouldhavethepowertoindemnifysuch PersonagafnstsuchIiabilityundertheprovisi

ons
ofthisAgreement

ARNCLE 14
AMENDMENTS

14.1 AmendmentorModifi
cation
..-ofth: Aqremont. Exceptforthe authori
ty granted to the
Managerhereklndefto amend EXHIBIT A to thisAgreementfrom tifne to time,this Agreementrnay be
adopted al
tered amended,orrepealed and anew operatlngagreementadoptedby theunanlmousVote of
lfleMembers.
.
.

14.2 AmendmentorModifi
cationofArticle&ofOruanization-. Exceptfortheauthorityglanted
to the Managerhereunderto amend orcorrqcttheM lclesofOrganization.and notwithstanding any other
.

provisi
ontothe(xntraryIntheArticlesofOrganizationorthisY reementfinnoeventshalltheAdicl
esof
Organl
zation beamendedwithoutthe unanimousVoteQfthe Memberv.
ARTICLE 15
NOTICES:W AIVER OF NQ-IICE
15.1
.-

Method ofNotice.Anynotfceorc mmunicationrm uiredorN rmitted to be gken hereunder

shal
tbelnwritingandfnaybeeimer(i)pefsonall
ydel
ivered2whi
c;
hshallt)edeemedrc ekedatthe:IKe of
adqalrc iptthereotor(i)sentbyf% i
steredorcertisedmal,w11 postageandchargem prepaid,which:llal
be deemed deliveredseventy-Go (72)hoursafterdepositin tbe United Slatesfnail;or(ii)delivefedby
fa= imilebansmission,whkh :hallbedeemedreoeivedenthedate andatlhe tifm ofel
eotronl
o conjrmatln
ofsuchtrartsmissinn,ptovided anoriginalmechantcalsl
gnedoopyofsuch notie.
eorothercommuni tion is

alsoimmedlatelydeposited'intheUni
ted Statesmail*1t1srst-l
asspostageandchargesprepaid;or(iv)

deljvered bymessenger,FedF.
x orothertrackablecourierservi
oe,whichshallbede med dcliveredoq the
date and atthe fme as tracked and O nirmad bysuch cotlrierservice'
,and In each (w e,addressd Qr

delkez'
edtotheI
lartytowhom Mesamei
sdi
fectedatsuchpa@ saddressand/orfao imil
enufnbersetfodh
bel- ,oratsuchottleraddressand/orfacsimilb numberasthatpafty maysgeci
fybywritten notice givento
the otherpafties ioacm rdancewiththisparagraph;
Ilto tlle LLC:

INTREPID TFCHNOLOGIES,LLC
Atln: W arrenTrepp,11 ManagementCommittee Chairman

685GafyCotlk
InclineMllage,NV 89451
Mailinu Address!
P.O.Box4964
lnclineMllage,NV 89450

Facslmil::C02)831.
4395

..

I1I
///
///
II1

iW #
Q/-AO XAXC
.

EK RATINGAIX EMEITF-PA/
A Z:

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Document
Page
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J3q.Case
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06 6:068k D '-s J' Fryg,
Esl. 644-11 Filed 05/28/0889,
7213 32F'
7
* ''v

'

'

w1th acotlrtesv coov to:

Frye& Hsi
eh,LLP
Attn: Dougl
asJ.FryelEsq.
24955 PacificCoastHl
ghwayjSuite M 01
MaliburCalifomia 90265.
.4:47

Faoimile:(310)456.
4808
Ifto FGPE.P as aM em ber:

FRIENDLY CAPITAL PARTNERS,LP.

Attn: Friendl
y Capi
tal,Inc.,ltsGenefalPaftqer
Attn:W arrenTreppjItsPresident
685 GaryCourt
lndin/M lage,NV 89451
Mail
in? Address:
P.O.uox4964
lnclineW lage,NV 89450

Facsimile!(702)531-4395
Ifto FREMONT TRUST as a Mem bor:

THE FREMONTTRUSX DAW D MAY 16,1994

At
tn;w arrenTrepp,Its-rftl
stee
685 Garycourt
InclineMllage,NV 89451
Mai
linpAddress:

'

P.O,Box4964
lnczneullage,Nv 89450

Facsimtle:(702)831.4395
W itilacourtesv coovto:

FRYE & HSIEH,LLP

Attn: DouglasJ.Frye,& q.
.
24955 PaclficCoastHighway,SuiteA201
Mallbtl,Callfomia 90265.4747

Facsimile:(310)456-0808
lfto MONTGOMFRY TRUST as a Mem ber:
'

MONTGOMERY FAMILY TRUST

Attn: Dennis Montgomeryand erenda K.Montgomery.11 Ceo--rrustees
818 Cheney Court
LY l,Call
fornia 95242

Fa=imll
e: (299)369-7530
llI
III
IIl
IlI
....

/#
llI
IlI

IXO*
@.
'u''
F
'M
')
*N'k'
tWWK

OBEIRATINGAGREEMENT.P+e'fr
26eppid 0132

Document
Page
of08
93
J8p.Case
23. 223:06-cv-00056-PMP-VPC
06 i:05?k R -'3s J. Frys'
Esg. 644-11 Filed 05/28/08k.
7@12 33@.

W 1th a Courtesv Copv to:

TEHIN +PARTNHRS
Attn: Nikol
aiTehin.Esq.
BankofAmeri
ca Center
5:5 CaliforniaStrpet,33e Floor
San Franci
sco,California9414-1609

Facsimile:(415)951-8808
W tlerecourtee
sycopiesare provi
dedfof,theserviceofanysLlr,h urtesycopysballnotonstitute notice to
the paftyheretlnder, IftheUni
ted States PosllService retums totheLLC orthe registered agentapynotice
as nndeliverable,a1lfuttlre noticesto thatMembersballbe deerned duly gkertifkeptavailable forthat

MemberattheLLC'
Spri
ncipalplaceofbuslnessfofone(1)year.
15.2 W ai
verofNotice. NoM ithstanding the foregoing,when,tlnderthe provisionsofthe NRS or
utl* rthq proisions ofthe Arlicle:ofQrgRni
zation QrthisAgresqmentrnofce is requtred to t)e gi
yqqjo q
Memberorto the Managerofthe LLC,awal
verIn wri
ting signed by the Person orPefBons entitl
ed to the
.

notlce,whetherbefore orafterthe timestalej init,isequivalenttothe gkingofnotice.

ARTICLE 16
MISCELLANEOUS PROVISIONS

15.1

Cpuntqrparts.ThisAgreementrnaybeexecuted inseveralcountelpadslandalIcountezpads

so executed shallconstitute oneAgreement bindingonaIlofthe padieshereto,notwithstandlng thataIIof

-

thepadiesare notsignatoryto theQri

qlnalcrthe same oounterpart

16.2 StltvivalofRihts.ThisAgreementshalbebindingupon,and,asto permitted oraccepted

xm nnu ors,transferee:and au lgns.inuretothebenefitofthe Membersand the LLC andtheirrespecti
ve
beirs,legatees,lc alrepresenltives,stlccemsofs,b'ansfefeesand assigns,inaI
lcaseswhetberbythe laws
ofdescentand dislribetifm,me/ er,revec merger.consolldation.saleofM sets,othefsale,operatipn OfI
aw
orothefwise.
16.3

Severabilltv. ln the eventany sedi

on,subsection orany sentenoe within any :&+%()n Qr

eubsectln hereunderisde aredbya couttofO mpetentjtlrisdidjonto be vel

d orunenfor able,stlch
sectkm ,subsedion orsentence shallbe deemed severed from theremainderofthisAgreementand the

balan ofthlse rsk

ementshallremalnlnfullforceandeffed.
16.4

Conetrudion. n e kanguage inaI

Iparts gfthi
s Agreomentshallbe in aIlcases Y nstm ed

sirnplynrm rding to its fairmeanlng and notstridlyfororagainstnyofthe Membe.

16.5

Section Headinus.ThecaptionspftheAro es,Sece nsorsubsedionsin thisAgrement

areforconveni
enceCTW andinnowaydefine (imltextendor4er'
tzibetheKopeorIntentofany oflhe
plpvislone hereof,shallnot be deemed partofthis Agreementand shal
lnotbe used in construing or
inteqxeng thisAgreefnent

16.6 Govem lna tzw.ThisAgreementandarl

y ameri
dnxnl orexhi
bikgheretq and the rightsand
obli
gati
e ofth*parti
e:hereue em Ise-xecutedunderandinconfomff
tywiththekawsoftheStateofNEVADA
rel
aingto limie -iabili
ty rrw nie andi:tobe nstrued.enfor d andgovemed in accordance there m
wi
tboutglvlng eflectto anyconqid ofIaw provision.
'

16 7 AdditionalDocumen. Each Member upon the reqvestofanomerMember agrees to

perform alIftlrtheractsand execute,acknpwledqe and delivefaltdtlcuments which may be reascnably
(IJVXXXFr+ANCtI-AIG'AEC

11a (5Jzpul

OPERATINGAGREF-MENT epage 27 '

W reppid 0133

J)q.2Case
2. 2003:06-cv-00056-PMP-VPC
6 6:6@1 ,6 Q'%s J.Fri,
El. 644-11 Filed 05/28/0816.Page
3213 34F'of@S
Document
93
t. 1-

'

..

neceeaarylappropriaterdesi
rabletocarryoutthe provisionsofthisAgreement,including butnotIimited to

acknowle ging befof'

e anotary publicanyslgnatureheretofore orhereaftermpue by a Membef.
16.8 Pfonouns and Piurals. Wheneverthe contextmay reqtlire,aay pronr
x c used in this
AgreementshallincludethecorresK nding masculkne,feminine and neuterforms.and thesingularfotm of
notlf
w ,psonotlnsand verbs shalllnclude the piuralafluvice versa.

16.9 Time ofthe Essencm Fxceqtasothefwise provided berei

nltime is ofthe essence in
coonectkon with eactlaad evefy pfpvdslon fllllsAgreement
16,1Q FurtherActions. Each ofthe Membefs agfees to execute.aoknowledge and deliversucll
additionaldoctlnx nts:al:dtake suclhfuftheradions,asmayCeasonabl
y be reqoiredfrom timeto timeto (m17y
outeach ofthe provlsionsland the intent,ofthisAgreement,and everyagreementordocumentrelating
hereto,orentered inte ia connedltm berewith.

16.!1 ANBITRAIION DF IMSPUTES, ANY M6MW M IK RQTQ W W RCQUIV .TI#E

AltITM mONOFA#YDIPUTBARISINGUNDRORINCONNECTIONWITHTHISAGREEMENT0R
ANY RELATED AGREQMENT.SUGH MEMBER MAY INI
TI
AW M D REQUIRE ARBITM TION BY GM NG
NOnCt TO THS OTHER PM TIES SPECIFYING THE MATI'ER TO BEM SITRATED.IF LEGALACTION
ISALREADY PENDING ON ANY MATTER CONCERNING W HICH THE NOTICE IS GIVEN.THE NOTICE
SH/LL NOTBE EFFECTIVS UNLFSS GIVEN DY THE DEFENDANTTHKRFIN AND GIVEN 8EFONE THe

G PIRATION OF TW ENTY(20)DAYSAFTER SERVICEOFPROCESS ONTHE PERSON GIVING THE

NOTICE.FXCEPTM PROM DED TO THE CONTM RY IN THESE PROVISIONS ONARBITRAMON,TNE
M BITM TION SHALL BE IN CONFORMITY W ITH AND SUBJECT TO APPLICABLE RULES AND

PROCEDURESOFTHEAMERI
CARARBITRATIONASSOCIATION (OR ANY SUCCESSORTHERETO).
..

IF THE AMERIGM ARBITRATION ASSOCIATION ls N0T THEN IN EXISTENCE AND THERE IS NO

SK CESSOR,OR IF FOR M Y RF-ASON THE AMCRICAN ARUITRATION ASSOCIATION FAILS OR
REFUSES TO ACT,THE AREITRATION SHALL B8 IN CONFORMCW W ITFIANO SUBJK F TO THS

PROVISIONSOFAPPUCABLENEVADASTATUTES(IFM Y)RELATINGTOARBI
TRATI
ONATTHLTIME
OF THE NOTIGE.THE ARBIIRAIORS SHALL BE UOUND BY THIS AGREEM ENT AND ALL RELATED

AGREEMENTS. PLEADINGS IN ANY ACTION PENDING ON THE 9AME MATI'ER SHALL,IF

ARBITM TION IS REQUIRED AS AFORESAID,BE DEFMED AMENDED 3D LIMIT THE IESUES TO

TBOSE CONTEMPLATED MY THB RULES PRESCRIBED ABOW .FACH MEMHSR SFIALLPAY THE
CO8TS OFARBITRATIONCINCLUDING ARBI
TRATOR'SFEES,ASAWARDED BYTHEARBPIRATORIS).

THBNUMBERANDSELECTIONOFARBITEIATORIS)SHALLBEINACCORDANCEWITHTHERULES
PRESCRIBED ABOVE,EXCEPTTHAT(i
)M CH ARBITRATOR SELECTED SHALLBE NEUTRALAND

FAMILIARW ITH THE PRINCIPALSUeJECT MAITER OF THE ISSUES T0 BE ARBITRATEDqSUCH ASm

BY WAY OF EXAMPL6 ONLY,TK HNOLOGY AND SOFIW ARE DEVELOPMSNX 0R SUCH OTHER

SUN ECT MATI'ER ASMAY BEATISSUE,(i

1)'I
'IICTESTIMONYOFWITNESSEE SHALLBEGIVEN
UNDER OATH,AND (ili
) DEPOSITIONS AND OTHER DtSCOVFRY MAY BE ORDEREO BY THE
ARBITRATORIS).

NOTICE:BY FXK UNNG THISAIM EEMENV YOUM EAGREEING TO HAVEANY

DISPUTE ARISING OUT OF THE MATFERS INCLUDED IN THE 'ARBITM TION OF DISPUTEB.
PROVISIONDK IDED BYNEW G M B- MONM DYOUM EGIMNGUPG RIGG SYOU MIGIW
POSSE8S TO HAVETHE DISPUTE LI
TIGAYED IN A COURT OR JURY TRIAL 'BY INITIALING IN THE
SPACEBELOW YOU M EGM NG UPYOLIR JUDICIALRIGFITSTO DISCOVERYM DAPPEK UNLESS
SUCH RIGHTS ARE8PEQ FICALLY INCLUDED IN THE ARBITRATION OF DISPUTES'PROVISION. IF
YOU REFUBE TO SUBMIT TO ARBITRATION AFW R AGREEING TO THIS PROVISION YOU MAY BE
COMPELLED TO ARBITM TE UNDER THEAUTHORIW OF THEAPPUCAA E STATE STATUTE.YOUR
AGREEMENT TO THIS ARBITRATION PROVISION IS VOLUNTARY. NOTHING CONTAINED HEREIN
SHALL PRLN ENT ANY MEMBER FRQM SEEKING EQUITABLE REMEDIES FROM A COURT OF
COMPETENTJURISDIW ION.

raT'
/= r &'G

OPEIRATIKBMREEMENT-P- 2
e8'rrepcp.id0B4

Jiq.23.
Case
299
3:06-cv-00056-PMP-VPC
9 5lg7?k > ;'n3 J, FfyDocument
g, Es. 644-11 Filed 05/28/08
'
h'
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72l3 35F'
of293
0

'

16.12 W AN HR OF JURY TRIAL.W ITH RESPECT TO ANY DISPUTE ARISING LINDER OR IN

CONNECTION W ITH THIS AGREEMENT OR ANY REG TEDAGREEMENT,AS TO W HICH NO MEMBER
INVOKES THE RIGHT TO ARBITHM ION HEREIN PROVIDEDUOR AS TO O ICH LEGAL ACTION
NEVERTHCLESS OCCURS,EACH MEMBER Id6qE8F IRREVOCADLY WAIVES ALL RIGIITS IT MAY
HAVE TO DEMAND A JURY TRIAL. THIS WA VER IS KNOO NGLY, INTENTIONALLY, AND
VOLUNTARILY MADEBY THE MEMBERS AND EACH MEMBE: AGKNOG EDGES THAT NONEOFTHE
OTHER MEMBERS NOR ANY PERSON ACTING ON BEHALF OFTHE OTHER PARMES HAS MADFANY
REPRESENTATION OF FACT TO INDUCE THIS W AIVER OF TRIAL BY JURY OR IN ANY W AY TO
MODIF'Y OR NULLIFY 1TS SFFK T.THE MEMSERS FM H FURTHER ACKNOW LHDGS THAT IT HAS

BEEN REPRESENTED (OR HASHADTHEOPPORTUNIW TO BEREPRESENTED)INTHESIGNING OF

THIS AGREEMENT AND IN I'HE MAKING OF THIS WAIVER BY INDEPENDENT LEGAL COUNSEQ
SELECTED OF ITS OW N FREE W ILL,AND THAT IT HAS HAD THE OPPORTUNIW TO OISCUSS THCS
WAIVF-RW TH COUNSEL '
I'
HE MEMBERS FACH FURTHER ACKNOO EOGES THAT IT FIAS RFAD AND
UNDSRSTAND THE MEANING AND RAMIFICATIONS OFTHIS W AIVER PROVIBION.

15.13 n ird Padv G nefitl

'arlem I'
l:m @re nothird party benesciades ofthlsAgreemtex pt

(i)Vfillatu andPecipalsoftheMembersand@)ac/otherPefsonsasmaybeefltltledtetl)ebenejtsof

Article 13.1 hereof.

16.14 Partltlon.TheMefnbersagreethatthq PfDy rtythatthe LLC may own orhave anintereestin

isnotsub bleforparti
tbn.EachoftheMembersherebyirrevoc bl
ywpivesanyandal1ri
ghtslhatitrrkqyhave
@0 fnairllain anyacti focpardtionofanyProperty the LLC may atanytimebaveBninterem 1n.

16.15 Entire Aqreement Ttl

is& reementandtheArlcl
esofOrganizationO nstitutetheentire
agreementofthe Membef'
s wifh resped !o, and Gupersedes at!prior written and oralagreements,
-

underskndingsandrtegoti
ati
onswi
thresped to,thewblqctmatterhereof,
16.16 W alvlr. No failure byany pafty to insistupoathe strictperformanctQfany covenantjduty,

agreementorm nditionofthis& reementorto exerciseany rightorremedy col

w equentupona breach
thereofshallctmslitute a waiverofanystlclbreacloranyothef'O venant duty,apreemerllorcondi
tion.

16.17 Attomevs.Fees.Intlx eventofany Iitigatkm,arbitfati

onorothefdi
spute ari
singaoa restllt
oforbyru son ofthi
sAgreementythe prevailing partyinanyGuchIi
Egatlon,arbltrati
onorotherdispute shall
beentitbd*,I
n addle nto anyotherdamgesassessed,its reasonable attorneys'f/es,andaIIQthercosls
andeo
xpen:eesinctlrred in nned onwl
th settling orfesolvil
)g such di
spute.The qttomeyx'fep:which the

pfemadingp-s* lsentitle torecw ershallincludefeesforpmseotltingordefendinganyappealandshallbe

awarded forany supplementalprollee ings untilthe finaljudgmentissatisqed ifl*21- ln addiEon to the

foregolrlgawardorattomeys'1e.5totheprevailingpady,theprevaili7 pa* inanylawzuitorasbie tion

prfw kdqo o!
lthlsAgYementshzbeenitledtoitsreasonableattnmeys feesincurredlnanym stjudgfnent
prGzedingstoK lled orenforcethejudgment Thisattomeys'feesprovislonissepafateandseveraland
sballmlrvivememergerofthi:& reementintoarlyjudgment.
11I
III
lll
///
III

///
III
l//
llI
I1I
lII

I1I

(Crontl
nlledandSignedontheFollowlng Page)

W @%*rv

MC

OPEMMNGAGREEMENT-PW:gee2
9
eppid 0135

Case
Page
of 21
93
J2C.
?7. 203:06-cv-00056-PMP-VPC
06 0:g7?k - -.3: J. FrDocument
, Es9. 644-11 Filed 05/28/08h'
7212 36@,

'

EIGNATURE: OF THF RARTI:S

IN W I
TNESS W IIEREOF,the padies hereto haveexecuted and delivered,orcaused to beexecuted
and delkered by a duly authorized representali
va, tbis OPERATING AGREEME'NT of INTREPID
TECHNOLOGIES,LLC asofthedayand yearfirstabovewri
tten.
Further,th@ underslgned,asMem bers ofthe LLC,acknowledgetheyhavq read anduqderstand

t
lmfol oingOpemtingAgrHmentforINTRFPIDTECHNOLOGIES,LLG Includingspeiscallyzbut
not Iimlted to,sections 16.11 and 46.12,*Arbitration of Disputesg* and Y aiverof Jury THal,*
re pectives,arld,mltvidenedbythelrslgnaturesbelow,tlw uqdqrsigned herebyaknowledgeand
agr.eto thepeovisions conhined herein.
INTREPID TECHNOLOGIES,LLC
A Nevada Lim ited-uability Company
..

. ..

B#11 M#mbery

*FCPILP*
FRIENDLY CAPITALPARTNERS,L.P.
A Califomie Limi
ted Padnership

By!Ffiendiy apitatlrlc.A

vada Corporation

ItsGeqer Partner
By:

wu

..

ltspresident

*FREMONT TR S .

THE F ONT TRUGT.DATED MAY 16.1994

A Neva Revocabl Tfust

W:

E m BPP,11 Trustee

*MONTGO ERY TRLIST'

MONTGOMERY FAMIL TRUST

A Califo ' qv= lQ st,''
By:

'

N s o

MERY,11 co-Trustee

RENDA K.

&fGO

,I

Trustee

IIl

//'
/

J//

'

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///

///

'

lAcceptamceofAppoinfmentofManagerConoafnedontheFollowngRage)

1= (,r,.l

oesav qohoRceMsvr.pagpx

e'rreppid ()B 6

3:06-cv-00056-PMP-VPC
93
J)h.2Case
2. 2206
6:2782
'ns J. FfyDocument
g, Esl. 644-11 Filed 05/28/08$9,Page
7212 378.of22

ACCEPKA-NCE CF APPOINTMEA
OFTHF MAKAGER

n eundersknedherebyacceo hisappoirltrrxmtasManagerofthe IA.C forthetefm qtaledi

n 1is
OgetatingAqfeeflxntandherebyagreesto undedakethepedomlarlceofhisdsrG 'tlrespons*iliuexand
obl
igations in nzvw dafwe wi
th terms otth1s Operaunq Agreeme J tbe Aftice ofOrganation and Ke
applicable pw isionsofNevadaIaw.asanya ln- be
h'
om 11* to*ne.
N.

DEN IS

k,
Mzr-l
TeH,re.
'h
'''RVK

ERX individualsy

C- RAMNGAGI.r''= NT-P.g.3S
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2* 1* 1

Case
J3.23,
2203:06-cv-00056-PMP-VPC
6 5:0182
'ns 7. FfDocument
', Esk. 644-11 Filed 05/28/08d'Page
7213 38
?.of2293

EXHIBIT A
1*
t)THE OPEM TING AGREEMENT
OF
INTREPID TECHNOLOGIES,LLc

(Updatedasof3/23/99)
t;<:.
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FRIENDLY CAPITAL PAFITNERS.LP.

$181,500.001

Attn'
.FrendlyCapl
tl,tnc..1t,
:GenefalPac er
Atth:W a'
rten'-rfep'p- Its'prsid:flt
590 Lake-shore Bul
evard
InclineVillage.NV 89251

'

(Cash)
W ithaddi
ionalRdvances
ofa CapiKl(lontributkm
ofuptoanaggregate

Mailino Addrerxs:

maximtlm amountof

P.O.Bx4964
IncineVillage,NV 89450
FEIN 95-4412683
THE FREMONT TRUAT.DATED MAY 16.1994

$975,0* .
00
$12010* .00

M n:WarrenTrepp,ItsTrustee
..

..

12.5%2

(Cash)

590 LakeshoreBlmlevard
IndineVillage,NV 69451

37.54
,$2

Wi
thaddi
tionaladvarltles
ofaGapitalContdbklbYn
ofup to an aggregate
rnaximum amountof
$325,110.00

P.
O .Box
lncjneW lage,NV 89450
SBN 1
-5047

'

MONTGOMERY FAMILY TRUW

Attn:Dennl
':e ntgomeryandDrendaK
Monoomery,ItsCTrusteos

$1,3X ,000.QQ

50.0%

(GrossM setvalue)

818 CheneyCoud
Lodi.califom kq 95242

SSN 664 128598

'

TOTAL;

m rm m trsw vm -......-..-x.
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=
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wx,
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.
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gateAdvanoesMadeFmm !/1/99

353/99-$17,500.00
M ON T TRUSTG IIbepro ratab

evreppid 0138
2* $4*

Case 3:06-cv-00056-PMP-VPC Document 644-11 Filed 05/28/08 Page 39 of 93

w.

CO NTRIBUTIO N AG REEM ENT

By and Between
INTREPID TECHNOLOGIES.LLC
as I'INTREPID''
and
DENNIS M ONTGOM ERY andBRENDA K.M ONTG OMERY.
a: CoG nlsteesofthe M ONTGOMERY FAM ILY TRUST
-

as the<'Contributor''
and

DENNIS MONTGO MERY

Dated and Executed as of

Septem ber28,1998

) l lT
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Case 3:06-cv-00056-PMP-VPC Document 644-11 Filed 05/28/08 Page 40 of 93

w

x
..

CO NTRIBUTIO N AG REEM ENT

THIS CONTRIBUTION AGREEMENT(the'M reementeji

s made andentered into effecti
va asof
SERTEM BER 28j1998 byandbel
w een INTREPID TECHNOLOGIES,LLC,A Nevada Umited Liability

CompanyCINTRFPID-)bntheonehand,andDENNIS MONTGOMERY andBRENDA K.MONTGOMBRK

as Cm-rrustee.
softlleMONTGOMERY FAMILV TRUST aCalifomiarevocxabletrust(the*contri
butof'),and
DENNIS MONTGOMERY,anindividualCMontqomepp)ontheotherhand.ThisAgreementismadewi
th
refeqencetothe following facts:
STATEMENTS OF FACT:

A. lontgomeryhasdevelopedandoniibutorownscertainsowarecompressiontechnol
ogy
(asmorepadicularl
ydescribedherein).
B.

ContributordesirestocontributetheContributedAssets(definedbel
ow)toINTRFPID as

itsinitialCapitalContribution to INTREPID inexchangeforaMembership Interestthereirl,and INTREPID

agrees to acceptand receive the Contributed Assetsknexchange forsuch M em bership Interest aI!in
accordancewiththeterm sand conditionssetforthin thisAgreement.
'

NOW ,THEREFO RE,in considerationoftheforegoing factsand them utualcovenants,term s.

conditionsand provisionscontained llerein,andwiththeintention ofbelng Iegally bound hereby,the
.par
ties hereto agreeas follows:
ARTICLE 1
CONTRIBUTION AND EXCHANGE OF ASSETS
1.1.

Contribution and Excbanqe. In exchange forthe considem tion described in Articl

e2

hereot Contributorhereby agreestotransfer,contributelassign andconveyto INTREPID,andINTREPID

agreesto acceptandrecei
vefrom Contributor,e#ectiveasofthe ClosingDate (asdefinedherein)a1Iofthe
Contn-butedM setsofContributorow nedbyitinexchangefortheissuance to ContributorofaM embefship

Interest in INTREPID equalto a Fifly Percenl(50%)Percenhge Interest(as those terms are more
particularly described in the Limited Liabi
lityCompany Operating AgreementofINTREPID (theelntrenid
OperatinaAnreementMl).
1.2. Contn-butedAssets.M usedinthisAgreement.theterm *contributedM sets*sha.mean
and include,collectively.aIlthefollowing assets,togetherwitbal
IofContributor's rights title and interest

thelein,taqgibleandintngible,presentorfuture Mcluding,butnotlimi
tedto.alldevelopment.distri
bqtion
and explol
tation rights.orto any proceedsderivedtherefrom:
1.2.1. A1IofContributor'sknow-howitrade secretqr,patentrights,copyrights,trademarks,
licenses and permits. registered of unregistered pending or appfoved'
.software programs and alI
programming and source codes used in connecti
on therewith or otbelwise requifed to operate any

componentthereojand al1programmingdocumentation.designs.materialsandotherinformation.allin
whatekerform and whereverlocated relating to orused in connedionwith orotherwise describing or
consi&ting ofany part of.the software compression technology contained on thatcedain Software

CompressionEngineDevelojmentProgram containedonCDNo.1ra1lofwhichi
sbelngcontributedby
Contributorbereunder(coll
ectlvely,theKl-echnoloqv*h.

iIXXXC
( )W CMEWBLEC

ContrlbutionAgreement-Page1

Case 3:06-cv-00056-PMP-VPC Document 644-11 Filed 05/28/08 Page 41 of 93

1.2.2. Certain of Contributor's tangible persoqal property used in Qonrlecti

on the
TechnologyasmofepadicularlydescribeonSCHEDULE 1.2.2 attached hereto arld madea pad cfthis
Agreement
1.2-3. AIlofContributor'sbooksandrecordsresating to theGontributed Assets.

1.3.

Excluded Assets anclLiabijities. Notwithstanding anyofthe foregoing,Contri

butori
s

specifi
call
ynotcontributing,transferringorconveyingtoINTREPIDunderthisAjreementorbyanyomer
means,norisINTREPID acquirfng from contribtltor,anyother'angible ori
atangl
ble assetsofContfibutor
notspeciliedherein andexpresslyisnotassum inganycl
airrl
s,liabilitiesorobl
igationsofContributorofany
hind ornature,whetherexisting asoftheClosing Dateorafising thereafteq on accountofContribtltor's
Qwnershp.developm ent'exploi
tationoroperationoftheContributed Assetsatanytim epriorto tbe Closing

'

Date.

ARTICLE 2
CONSIDEM TION
2.1.

Consideration:IRC W 2$fa!Exchanne.Infullconsiderajon ofttle contribution.transfer

assignmentand conveyanceofthe ContribtltedAssetsby ContribtltortoINTREPID (wlyich Vaasteris

intended to qtlalify as a contributiortofpropedy to an enti
ty in exchange foran i
nlerestin such entity

pursuanttclsectitm 721(a)ofthelnternajRevenueCodeof1986.asamended).Contributorshatlreceivel

and INTREPID shallissuetoMontgomeryTrustamembershipcerti

ficaterepresentinj aMembeohip
lnteresti
nINTREPID equaltoaFiW Percent(50*4)Percentagelnterest(the*MembershloCertificate'l

2.2. FairMarketValue:AmountofContrl
'butor's CaoytalJontributlon t/ INTREPID.For
purposes olvaluing Contributl
x'l CapitalContribution lo,and becoming a Member of.INTREPID.
Contribptorand INTREPID hereby acknowledge and agree thatthe aggregate fairmarketvalue ofthe

ContributedM setsshallbetheirGrossAssetvalue(asdefinedinthelntrepidOperatingAgreement)equal
toOneMi
lliocThreellurdmdThousandDolbars(41,
300,000.
90)whichhasbeendeterminedinaccordance

withthelntrepidOpelatinjAgreement ThepaftiesfuftheragreethatforaIItaxrepodingpurposes,the
allocationamongtheContnbutedM setsshallbe assetIodh(m theal
ltxationschedule atlacbedheretoand

made a pa# hereotasSCHEDULE 2.2 which alocationshallbeusedbyeach partyinpreparingtheir

resjecti
veapplicablei
ncometaxretums.Contri
butor'scontributi
onoftheContributedAssetstoINTREPID
asl
t%Capi
talConbibutionthereto and itsadmissionasa Membershallbeevidenced by hisexecuion and

deliveryatthe closin: ofa countem artsignature page to the Intrepid Operating Agreem entin accordance

with the term sthereof.

ARTICLE 3
REPRESENTAM ONS AND W ARM NTIES OF CDNTRIBUTORM a'
m aterialinducementto INTREPID to eBterintoandperform tNTREPID'Sobligadonsunder*is

AgreemensContnbutorand Montgomeryherebymake the foll- ing representationsandwarfanties.upon

which INTREPID l
sreyd
ngandbutforwhichwouldnothaveothe-iseenlefedintothisAgreement
'

3.1
PowerandAuthorik .ContributorandMontgomel
y havetherequlsitep- erandauthority
toexecute.del
iverandperform thisAgreementand al$resated documenllinstruments and agfeements.
each ofwhichwillbe dul
y executed anddelivered by Contributorand MontgomeryattheClosing andshall
consti
tuteaval
id andbindiqgobligatonofContri
butorand Montgomery.n eexecuti
on anddelivee ofthis
Agreement,andanyagreementagreedtobeexecut
ed anddeliveredptlrstzantbareto,doesnotandwillnot

CXI
IQQCPGCMt&F''LEC

contrbutlonAgreement-Page2

Case 3:06-cv-00056-PMP-VPC Document 644-11 Filed 05/28/08 Page 42 of 93

>

- '

vi
olate anyprovi
sfonofanyagreement,order.fudgmentordecfee towhich ContcibutororMontgomefy i
s
a pafty.orbyw hich ConbjbutororMontgomefyisbound.

3.2
Title to Contributed Assel. Contributorhas orwitlhave atthe Closing good and
markeb ble ti
tl
e to a1
IoftlleContributedAssets freeandcl
earofal1security interests.m ortgages,pl
edges,
Iiens.encumbrances charges.orrestrictions ofany nature and specifically i
ncluding any contingent
Iiabiliti
esorliabilitiesarisingoutofanyIegalproceedingstowhich Contributorisaparty,and m ere are no
olherlicenses contm ctsoragreem entsoutstandingregardi
ng Contfibutot's I
ightto own develop,operate.
tlse.sell.transfec icense,distri
buteorexploi
ttheContributedAssets speci:callyincludingtheTechnology.

'

3.3
WorkinqCondition oftheTechnoloqv.TheTechnol
ogy i
sdevel
oped,isoperati
onaland
pedbrm s in tlle mannerwhi
cn Contribtltorhasrepresented te tlle LLC oritsrepresentatives.A working
prototype ofthe Technole y has been developed.and Contributorhas conducted repeated and varied

lestingontbeTechnology,orbascausedRtobetested toensuretheTechnologysatisfactoriN operates

-

'

uhdt-ntl
mbtf(
jbdilisns.'
Thei'
-are'l
ho'khbW'rbji'
dli#.'-/dih'kimrrfdi-Whfdh-n-'
did-b- '' -'- -- ''-' '
overcome orthatwould otherwiseinhibitorpreventthe softwarefrom propedyoperatingorperform ing in

themannerwhi
chi
tisdesi
gnedtodoorwhichContri
butorhasrepresented.Thereisnosqecialhardware
orothersoftware program whi
ch isrequiredto runoroperatethe program atanylevelthatlsnotgenerally
or readily available to the publi
c thatwould othel
w ise rnake itcostprohibi
tive or unreasonable to
m anufacture,distribute licenseorexploiti
n any mannerthe Technology.

3.
4
LeqalProceedinqy-.ExceeptassetforthonSCHEDULE 3.4 attached hereto and madea
palthereofneitherContributororMontgom efy hasno knowledgeofanypendingorthreatened Iitigation
governmentalirwestigationorotherproceeding againstorrela:ngtooraffectingContributtk Montgomely,
the Contributed Assets orthetransactionscontemplated bythisAgreementwhichcould have a material
adverse affectthereon. To the knowledge ofContributorand Montgomefyvnobasis forany such adi
on
exists.and thereisnoIegalim pedimentofwhkhContributororMontgom el
y haskn- ledgetothe cont
inued
devet
opm entand exploitationofthe Technologyorcontnued use oroperationofany ofthe Contri
buted
Assets i
n theordinarycourseofINTREPID'
Sbusi
ness.
3.
5
Contrah . Contributor has delivered to INTREPID copies of al
lwri
tten contradsl
obli
gationsand commi
tmentsofContributorenteredintoin connecti
on withand related to theContributed
M sets,a!lofwhichare listedby referenceon SCHEDULE 3-5 attached heretoandm adea pad hereof.

3.6

Llabllities. Contributorhas notincurfed any matefial uninsured obligati

on orIiability,

absoltlte.accrued.contingentorothefwise,wllich affectthe Contqbuted Assets,and exceptin connecti

on
withthe perform anceofthisAgreement.sold trarlsferredorenctlm bered anyofthe ContributedAssets.

3.7
n xRetums:Taxes.Contributorbas5ladalIta'
sreturnsrequired to be jled by,and made
a11payment requiredtobemadebyit,wi
thresped toalI1
00 1,slteand fedel
'
alincomelxes,salestaxes.
usetaxes,employmenttaxesand similartaxesdueandpayabseon orbeforethedate ofthisAgreement
To Contributor's bestknowledge,informationand belief,thereare no such unpaidtax Iiabil
ities.
3.8
Commisslonsand Fees.Therearenovali
d claifm forbrokeragecommissions orfinders
orsirnit
arfees in connection withthe transactioncontemplated bythisAgreementwhich may nothave to
be asserted againstINTREPID resul
tingfrom any actiontaken byContributor.
3.S
Comoliance with Laws.Contri
butorisincompli
ancewith alllederal,stateand 1oca1laws.
regulations and ordinancesfelgting to aI
lofthe Contributed Assets.
3.10

No Untrue Renresqntatlons orW arranties. No representation orwarfanty made by

ContributororMontgomely inthisAgreemensinanyschedule attached hereto,in any certi

ficate furnished

toxlT
ws
.e
-eulpksfortQmtEG
apasler:
sl

contributionAgreement-Page3

Case 3:06-cv-00056-PMP-VPC Document 644-11 Filed 05/28/08 Page 43 of 93

'

w p:

to INTREPID pursuantto this Agreement,orin connection with the transactions contemplated hereby;
conMinsorwil
jconlin anyuntruestatementofarnatecialfactoromitsorwillomittostateand materialfact
necessaly to m ake the statem entsorfacts contained therein notmisleading.
3.11 Disclosure.Contributorhasrecei
vedcopi
esoftheAdiclesofOrgani
zati
on andthe Intrepid
OperatingAgreementand hashadanoppoduni
tytoreview suchdocum enlsandto askquestionsand to
feceive answefs and/orto revi
ew such otherdocuments orinstrum ents as requested by itand/orits
i
ndependentlegalcounseli
n connecti
onwith the transacti
ons contemplated by this Agreem ent
ARTICLE 4
REPRESENTATIO NS AND W ARRANTIES O F INTR EPID
..

M amaterialinducementtoContributortoenterinto and to perform Contributor'sobli

gationsunder
'

'

'

'

' ''

1t1'
Z-Agte frfht.INTREPI
D h:/ebymkes'thtjlbll
Wih'
jIreptthttilm'
s zrkd WarrtmtiBs'upon which'the '- '
;
Contributorisrelylng:

4.1
O m ancationand Standinq.INTREPID isalimitedIiabil
itycom panydul
yorgani
zed,validly
existing and in good seanding underthe lawsofthe State ofNevada.
4.2
Pow erand Authori
tv. INTREPID has the requisite powerand authon'
ty to execute,deliver
andperform thisAgreem entand aj
!relateddocuments,instmm enksrelated thereto,eachofwhlch shal
lbe
dulyauthoroed.executedanddeli
veredbyanauthorizedrepresentative ofINTREPID atthe Closing and
shallconstittlte a valid and binding obli
gation ofINTREPID.

4.3
Broker.INTREPID hasneitheremployed norothelwise engaged any brokerortinderin
conned i
onW tIAthisAgreementorw i
thresped tothe transactionscontemplated hereby underterm swhich
Wotlld gi
ve rise fora claim againstContributorforany brokerage comm issi
on.findeps fee orsim ilar
Payrnent.
4.4
Canitalization. INTREPID is authorized to issue the M em bership Certiscate upon the
Closing.and the M em bership Cefticatecontemplatedtobeissued hereunderto Contributorwilbe dul
y
and Validly issued and willbe fully paid,provided Contributorhas fully transfen'ed and conveyed the
ContributedAssets to INTREPID inaccordance withthisAgreement
4.5

No Other Reoresentations or W arranties. G cept as othelw ise sct fofth in this

Agreement INTREPID makes nootherrepresentati

onsorwarranties,expressorimplied.
ARTICLE 5
INTREPID'S CONDINONS TO CLOS-IN-G
--

AIIobl
igatbnsofINTREPID underthisAgreementshal
lbesubjecttothefulfillmentofthefollowing
conditionson orpriorto the Closi
ng,anyora1Iofwhi
chmay be waived inwriting,in whol
e orin part.by
INTREPIO:
5.1
Contrl
-butor's @nd Montnomew 's Reoresentatlons and W arranties True atClollnq.
The representations andwarontiesofCo'ntributorand MontgomeryconKi
ned in thisAgreementshallbe
true andcorrectIn a1Im aterialrespectsonand asoftheCl
osingw i
th the same force and effectasthough
madeonthe date ofthe Cl
osing.
-

c;D m e.m eepiR ontlgrrltetl

,!2Q (
s:s.pM)

contributionAgreement-page4

Case 3:06-cv-00056-PMP-VPC Document 644-11 Filed 05/28/08 Page 44 of 93

XY W

'

'v .

5.2
Absence ofU tiqation. There shallbe no sui
t,acbon orotherproceeding pending or
threatened before any courtorbefore orbyany govefnm entalagencyin w hi
ch i
tis soughtto restrain
prohibit i
nval
idateorsetasi
de inwhole orinpaftthe devel
opment,m anufacturing,use,sale licensure
distribution orotherexploitationofthe Technology;the consumm ationofthisAgreem entorthetransacti
ons
contemplatedhereby'
,ortoobtainsubstantialdam agesinconnecti
ontherewith.

'

5.3
M ateriglChanqes.Thereshallhave beenno matefialchangesinContributor'
sContributed
M sets including,butnotlimited to any change in the waythe Technology operatesorpedorm s,and no
CharNesOrerrorshave octm rredin,and noalterationshave been m adein the design orprogram ming of,
theTechnologythatcoul
d inhibit.delayorpreventthefurtherdevelopment,use,operation,pedorrnanceor
exploitation OftheTechnology.
5.4
ADDrgvalofDocum entation. The form and substance ofal
lcertifice
ates.instrum ents and
Othefdocum entsdelivered ortobe deliveredbyContributorto INTREPID underthisAgreem entshallbe

l
iifdbiiinIlrespectst6INI-REPIO aridf
tscounel.
ARTICLE 6
CONTRIBUTOR'S CONDITIONS TO GLOSI
-N-G-

AIIobl
igationsofContributorunderthisAgreementshallbesubjed tothefulillmentofthefollowing
conditions on orpriorto the Closing,any oral!ofwhich may be waived inw rijng,in fullorin part,by
Contributoc.
6.1
INTREPID'SRenresentatlonsandW arrantiesTrueatCloA7nq.Therepresentaionsand
warranjes ofINTREPID IflP)iSAgreem entshallbetrueandcorred inaIImaterialrespectson and asofthe
Closing witllthesame forceineffed asthoughm ade asoftheClosi
ng.
-

6.2
ApDrovalofDocum entation.n eform andsubstanceofaIlcedi
ficates,I
nstrumentsand
otherdocum ents delivered ortobe deli
veredby INTREPID toContri
butorunderthisAgreementshallbe
satlsfactory inalIrespectsto Contributorandhi
scounsel.
'
A RTICLE 7
CLOSING:DELIVBRIES AT CLOSING

7.1

Closinn.Closinu Date.n ecl

osing ofthetransactionsand exchange ofdocumentsand

propertycontemplatedbythisAgreement(theKclosinu*)shaloccureffedveasofSEPTEMBER 28,1998,
orsoon thereafterata time and on a date as may be mutually agreed upon between INTREPID and

Contributor(the*closinaDate*). AttheClosing,thepartiesshaldel
iverandexchngethedocumentsand
p
setfodh i
n Sedi
on7.
2 below,orsuchotherdocumenE insubsbtuti
onthereforasaresatisfactol .
tothe recipientand itsorhiscounsel.
7.2

Deliveriesbv CbntributorattlleCloslna.
7.
2.1 A hnalupdatedSCHEDULE 1.2,
2,SCHEDULE 2.2 andSCHEDULE 3.5hereto.

7.2.2 A dul
yexecutedB2IofSalein aform and substance satisfactoryto INTREPID and
Sufficientto convey.tfansferandassignto INTREPID allri
ghts,dtleand interestin and to theContribute
Assets.includlng theTechnology.

c:
T
n
Nl
eapk tm mtec
$It
z?xx
% (
6r:
s:p
M)

Contribution A greem ent-Page 5

'

Case 3:06-cv-00056-PMP-VPC Document 644-11 Filed 05/28/08 Page 45 of 93

7.2.3 A duly executed counterpartsignaturepagetothelntrepidOperatingAgreement

of INTREPID in connection with Contributor becom ing a M ember ofINTREPID and the issuance to
INTREPID ofthe Membership Cedificate.
7.2.4 Possessioo ofalIofthe tangi
bleContributedAssetspursuanttoArticle 8hereof.
including,butnotlimited toIContributof'stangiblepersonalproperly,books,records.fi
lesand otheritem s
relati
ng to the Technology orotheri
tem sofpersonalpropedy being acqeired and conveyed hereby.
7.2.5 ContributoratanyjmebeforeoraftertheCl
osing.agreestoexecute acknowledge
anddel
iverany fudherassignm ents conveyances,and otherassurances,docum entsand instrum entsof
transfef,reasonablyrequested byINTREPID oritscounselandwilltakeanyotheractioqconsistentwi
th
the terms ofthisAgreem entthatmaybe reasonably requested byINTREPID forpurposesofassigning.
transferring,gm nting.conveying,andconfirmi
ng to INTREPID a1IoftheContri
buted Assets,includingthe
Technologyandotherproperty to be conveyedpursuanttothisAgreement

'

7.3

Deliveries bv INTREPID atthe Closincl.

7.3.1

n e MembershipCefti
ficate,dulyissued inthe name ofContributor.

7.3.2

A fi
nalupdatedSCHEDULE 2.2.

7.3.3 R esolutions adopted by the ManagementCommittee ofINTREPID authorizi

ng the
executionand deliveryofthisAgreementandaIIrelated agreem ents documentsandinstrum ents andthe
consumm ation ofthetransactionscontemplatedhereby.
7.3.4 INTREPID,atany timebeforeorafterthe Cl
osing,agrees to execute,acknowledge
anddeliverany fuftherdocum ents,waiversand to takeany otheractionconsi
stntwiththeterm softhis
Agreem entorthatm ay be reasonablyrequested byContributorforpurposesofconfi
rmingtoContributor
thevali
d issuanceofthe Mem bershipCerti
fl
cate asdescribed hereinorasm ayotherwise be necessafy to
consum matethe eansactionscontem platedbythisAgreement.
ARTICLE 8
POSSESSION OF THE CO NTRIBUTED ASSETS
'

Possession ofthe Gontributed Assets.includi

ng the Techpology,shallbe delivered to IHTREPID
on the Closing Date;provided.however thatwi
thoutIim iting any other provision ofthis Agreement,
Contributorshallprovide authorized repfesentativesofINTREPID reasonable at
zcessto the Contributed
M setsforthepurposes ofsatisfyingINTREPID w ith respectto the represenlationslwarranties,covenants
andagreem entsofContributorcontainedhereinandwithresped to satisfactionofanyconditionsprecedent
to theClosingcontained herein.

ARTICLE 9
SIJRVIVAL OF REPRESENTATIONS AND W ARRANTIES:
INDEM NIFICATION
'

'

9.1
Survlval.A11representaions warranties and statem entscontainedin thisAgreementor
in any schedule attched hereto. er any agreement executed pursuant hereto shall constitute
representationsandwarfantiesofContributorand Montgom ery,respecti
vely.Al
Isuchrepresentationsand

warfantiesshallsurvivethedateofthisAgreementandtheClosingDateforaperiodoffive(5)yearsand

L:m u Tre4iuclraplld7ootAgn:l.Ec

11azg:(6:sa$.
M)

Contribution Agreement-Page 6

Case 3:06-cv-00056-PMP-VPC Document 644-11 Filed 05/28/08 Page 46 of 93

each party covenants with the otherparties notto make any claim with respectto such representation and
warranties againstany palty afterthe date on which such survivorshallterm inate.
9.2

lndem nification. Oontributorand each ofits successor trustees.benefici

aries agents,

counsel,successorsand assigns(collectivel
y,the *lndemnitors'and indivi
duall
y.an elndemnitor'),shall
indem ni
fyand holdharm l
essINTREPID anditsamli
ated andsubsidiaryenti
ties,andeachoftheirrespedive
offi
cers.di
redors.sharehol
ders rnanagers,members empl
oyees.axpnts,counsel.successofs andassbns

tcollecti
vely,the*lndemnedPersons*andindividually,anMlndemnijedPerson*lof.from andagainstany
anda1lIiabili
ti
es Iosses,claims.damages.actions suits.costs,desci
enci
esand expenses(i
ncluding,but
notlimitedto,reasonabl
e feesanddisbuoementsofcounsel)arisingfrom orbyfeason of,orresul
tingfrom

'

anybreachby Indemnitorsofanyrepresentati
onjwarrantylagreementorcovenantcontained herein and

eachdocumentcefti
fi
cateorotherinstrumentfumished orto befumishedbyanIndemnitorhereunder,on,
ffom oraftertheCbsingDate orarisi
ngfrom (:
x'by reason oforresulting from Indem nitorsconductorthe
'

'

developmentvownershi
p!u.se,o.y-eru
or
o
ta.j.o
noft.h.e.Co
b.u.t
As
nclud
ngth.e
...o
-.n-ex
.pl
.-i
..
..nt
.r
.i
..ed
-.-s
.eY.i
.i
. Te
.. ch
.n
.o
-l
.ly..
' '' ''bisfi6innflfj#'
dtofnegtigenceollnilemni
torsori
tsemployees.agenfsorindependentcontractors
-

in anywayrel
ating to the Technologyorthe Contributed M sets.

9.3

lndemnlrlcation Procedure.W thinsixty(60)daysafteranlndemnified Person receives

writt
ennotic.
e oftherm mm eqcementofanyactionorotherproceeding in respectofwhichindem nilication
orreil
nbqrsementImaybe soughthereunder.orwithinsuch Iessertim easmay be provided bylaw forthe

defenseofsuch ad onorproceeding,suchlndemni
fied Personshalnotifythe lndemnitorts)thereof.lfany
suchactionorotherproceeding shallbe broughtagainstany Indem nifi
ed Person,Indemnitorshall,upon
wri
tt
eflnotice gi
venwithin a reasonable tim e fol
lowing recei
ptby Indem nitorofsuch noti
ce from lndem ni
sed
Person beene edto assum ethedefenseofsuchacti
onorproceedingwith counsel(A osen by lndemnitor
andreasonabl
ysajsfadorytothelndemni
fi
ed Person'provided,howeveqthatanyIndemnifi
edPersonmay.
athIs own expense.retain separate counselto participate in such defense. Notwi
thstanding the foregoingl
Indem nifi
ed Personshallhavethe rightto empl
oyseparate counselatlndem nitor's ekpense and tocontrol

hisowndefense ofsuch actionorproceedingit inthe reasonable opinionofcounselto such Indemnified

Person:(i
)thereareormaybeI
egaldefensesavailabletosucblndemnifi
edPersonortootherIndemni
fied
Persons thatare differentfrom orin addition to those available to Indem nitorand whicb could notbe

adm uatel
yadvanced bycounselclwsenbyIndemni
torwor(ii
)aconfli
ctorpotentialconflid exists between
Indem nitorandsuchlndemnisedPersonthatwouldmakesuchsepacate representati
onadvzable;provi
ded,
however,thati
n noeventsbal
lIndemnitorbe requiredto payfeesand expenseshereunderform orethan

'

onefirm ofattomeysin anyjurisdidioninanyoneactionorproceedingorgroup ofrelated actionsor

proceedings. lndemni
torshallnot,withoutthe priorwritten conseotofany Indem nified Person,settle or

compromiseorconsentto theentryofanyjudgmentinanypending orthreatened claim compromise or

consenttotheentryofanyjudgmenti
nanypendingorthreatenedclaim.actionorproceedingtowhichsuch
Indemnified Personisa party unlesssuch settlement.compromiseorconsentincludes an unconditinnal
release ofsuch lndemnifiedPersonfrom any andalliabilityofanynaturearising orpotentially ari
singfrom
t orby reasonofsuchclaim , actionorproceeding.

Inthe eventIndemnitorshalobjecttothe requested Indemnifi

cation bywritten notice

j r
eceivedbylndemnedPersonwi
thintwenty(20)daysafternoticeofthecommencementofanacti
onor
Prcceedingisreqeked bylndemni
tor,theentitlementofIndemnijed Persontotherequestedlndernniscation
shallbe determinedbynonbindingarbitrationinthefollowing mannec one arbitratorshallbe named by tl)e

IndemniedPersonandonebytheIndemnitorwi
thinfifteen(15)daysofreceiptbylndemnifi
edPersonof
thewrittennoti
ceofcontestreferredtoabove.Ifthetw'
oafbitratorscannotagree tlpon theall
owanceofthe

requestedindemnifcationwithinjfteen(15)daysaqerthei
rappointment.thearbi
katorsshallappointathird
arbitrator,andthedecisionofthemajorityshallbemadewithintwenty(20)daysthereafter.Allexpenses
ofarbitrati
onshallbepaid by theIosingpar
ty,orifthereshallbenocleardetermination astothe prevailing
OrIosing party.asthe case may be.such expensesshallbeshared equall
y by Indemnified Person and
lndem ni
tors orpro fata amonga1Ilndemnihed Persons andal1Indemnitors asthe case may be.

c:k>x>$as#kQr:pd.Gonbqgmtec
,,w s:

;,sap,a)

contributionAgreement-page7

'

Case 3:06-cv-00056-PMP-VPC Document 644-11 Filed 05/28/08 Page 47 of 93

ARTICLE 19
NOTICES

Fxceptfortheitemstobedel
ivered atorbefore theClosing,anynoticeofcommunicationrequired

orpermittedtobegivenhereundershallbeinwritingandmaybeeither(i)personallydelivered,whichshall
be deemedreceived atthetime ofactualreceiptthereot or(ii)sentbyregistered orceftifi
edmail.with
postageandchargesprepaid,whi
chshallbedeemeddeliveredseventyutwo(72)hoursafterdepositi
nthe
United Statesmail;or(iii)delivered by facsimiletransmission.which shallbedeemed received onthe date
and atthe tim eofelectronicconjrm ationofsuchtransmission provi
ded anori
ginalm echanicalsigned copy
ofsuchnotice orothercom munication i
s al
soimmedi
atel
ydeposi
tedinthe Uni
tedStates mailw i
thfirst-class

'

postageandchargesprepaid;or(iv)deliveredbyrnessenger.FedFxorothertfackabl
e courierservice which
shallbedeemed deliveredonthedateand atthe tim eastrackedandconrm edbysuch couriersefvice;and
i
neachcase.addressedordel
keredtothepartytowhom the sameisdi
rectedatsuc.h padysaddressandlor

).
qryttjorthWlqwsqrat@cjpthraddr>jsapd/orf
pcsimilenumberasthatpart
ymayspeciT
Kce
simil
e npm!
.

iywri
kennoticegiventotheotherpartieslnaocofdancewiil
iilsparagf/pif.

IftoINTREPID:
INTREPID TECHNO LOG IES,LLC
Attn:W arrenTrepp,ItsM anagementCom mitteeChairm an
685 Gae court
lncl
ine V ll
age,NV 89451
Mail
inq Address:
P.O .3ox 4964
InclineM llage,NV 89450

'

Facsi
m ile:(702)831-4395
W it: a courtesv convto;
Frye & l'
lsieh.LLP
Attn: Dougl
as J.Frye,Esq.
24955 PacificCoastHi
ghway,SuiteM 01
Malibu.Califom ia 90265.
.
4747

Facsimile:(310)456-0808
Ifto contributor:

MONTGOMERY FAMILY TRUST

Attn:DennisMontgomeryandBrendaK Montgomery,ItsCmirustees
818 CheneyCoud
Lodi.Cali
fornia 95242

'

'

Facsimil
e:(209)369-7530

'

Ifto M ontnom erv:

DENNIS MONTGOMERY
:18cheneyCourt
Lodi,california 95242

Facsimile:(209)369-7530

IITC
(
IX
,IIA)'PW'GOC'
LYMLEC

cOntributionAgreement-Page8

Case 3:06-cv-00056-PMP-VPC Document 644-11 Filed 05/28/08 Page 48 of 93

m th aCoudesv Copvto:
TEHIN + PARTNERS
Attn: NikolaiTehin,Esq.
BankofAm eric.aCenter
555Cal
ifom iaStreet.33*Floor
SanFrancisco,Cali
fom i
a94104-1609

Facsimife'
.(415)951-8806
W herecourtesycopiesareprovided for theservice ofanysuch courtesycopy shallnotconsti
tute notice to
the pafty hereunder.

. .. ..

. ..

..

. . -

..

AMTIQI
.:M ... ...

. .

. . .....

...

GENERAL PROVISIONS
11.1 EntireAqreem ent Tbe partiesagreethatalInegotiationsarem erged into thi
sAgreement
and Mat,exceptfortheBillofSale thisAgreementconstitutesthe finalcornpleteand exclusivestatec nt

Qfthetermsofti!eAgreementrelatingtothecontribudonofContributof'sContributedAssetsinexchange
forthe M embehiplnterstinINTREPID assetfodh herein.Therearenoofalorotherw ritten agreement.
s

tetween the paftiesconcerning the subjectmatterofthisAgreement.

11.2 Am endm ent.M odlfication. This Agreementshallnotbe deem ed m odified by oral
fepresentation made before orafter the execution ofthis Agreement. Any ol'
alrepresentations or
modificati
onsconcerningthisAgreem entshallbeofnoforceandeffect Any amendm entorrnodi
hcation
lo thisAgreementsballbevalid unlessitisinwridng andisexecutedbya1Iparties.

'11.3

NoAsslqnment n isAgreernentmaynotbeassignedby anyofthe partiesheretowithout

the prorwrittenconsentofthe otherpadyorparties.

11.4 Benerltand Burden.ThisAgreementshallbebi
ndinguponand inure tothebenefitofthe
partieshereto andthek resped i
ve heirs successorsandassigns.Theparti
esheretoagree,forthemselves
andthelrheifs successorsand assigns toexecute anyinstrum entinwri
ti
ngwhichm ay be necessaryor
prcperin the cearfyingotltoftl)e purposesand i
atentofthisAgreemeot
11.5

No Third Partv Beneficlarles. exceptas omelw ise provided in this Agreement no rights

Qrbenefits underthisAgreementare conferred upon,direcqyorindirecdy.orshalllq anywayinuretc the

benefi
tQf anythird partynotasignatoryto thisAgreement
11.6

Severabilitv. lf any provi

sion ofthis Agreementas applied to any party or to any

cirlmmstanceisadjudgedbyacoufttobevoidand unenforceable,thatshallinnowayaffectanyother
provi
slon ofthi
sAgreement the appli
cationofsuchprevisi
on i
n anyothercircurrk
stances.orthevalidity or
enforceability ofthi
sAgreementasawhole.
11.7

No W alver. No course ofconductbeo een the parties and no delay oromission ofthe

partiestoexerciseanyrightorp- ergivenunderthisAgreernentshall:(i
)impaifthesubsequentexercise
()fanysuchrightorpow'
er. or(ii)be const
zuedtobeawai
verofanybreachoran acquiescenceinor
consentto the cure ofany breachwhile anyotherbreach shallcontintl
e to exi
ssorbeconstrued to be a

waiverofsuch continuing breach orofanyotherrightorpowerthatshalltheretofore bave arisen.Every

powerand remedygranted by kaw andby thi
sAgreementtoeitherpartyheretomaybeexerdsedfrom tirne
totime.asoqen asmaybedeemedexpedient A11suchrightsand powers shallbe cumulativetothefultest
exlentpermitted bylaw.

c-

hT 4lbdnpk>cenukyntE?

'
1ap.)
,,z?x (s.

contributionAgreement-page9

'

Case 3:06-cv-00056-PMP-VPC Document 644-11 Filed 05/28/08 Page 49 of 93

*

'

>.

11.8 Affirm ative Acts;AdditionalDocum enl . Atany time and from time to time foll
owing the
Closing Date andateachpart
y'sown expense,thepadiesagreetotake orpedorm suchfurtheracts and
to exectlte and deliver such ftldher documents ceftifi
cates or instruments and to gi
ve oath to or
acknowledgebeforea notafy publicanydocurnents reasonabf
y requested bythe otherpartyto im plem ent
orcompl
etesuch pafty'sobli
gati
onshereunderorthetermsorintentofthisAgreement.

11.9 BINDING ARBII-IRATION OFDISPUTES.FXCEPT FOR ANY PROGEEDINGS ARISING

OUT OFOR PURSUANT TO ARTICLE 9HEREOF,ANY PARTY TO THIS AGREEMENT MAY REQUIRE
THEARBITRATION OFANYDISPUTEARISING UNDEROR IN CONNECTIONW I
TH THISAGREEMENT.
ANY PARTY M AY INITIATE AND IREQUIRE AR9ITRATION BY GM NG NOTIC F TO TH E OTHER
PARTIES SPECIFYING THE MATTER TO BEARBITM TED.IF LEGALACTION IS ALREADY PENDING
ON ANY MATTER CONCERNING W HICH THE NOTICE IS GI
VEN THE NOTICE SHALL NOT BE
.

EFFECTIVEUNLESSGIVENBYTHEDEFENDANTTHEREINANDGIIENBEFORETHEEXPII
RATION
W TWO J!'
.
IJ(VW DYYS ?WW R >-EF.
4FItA (.
IF FTOCEqF 9.Y.& q.jX 6991
.
491.
X16.
9.I'IJX-Y-G ICE
ExcEpTAs PROVIDE6 TO #HEUONTR'
AO IN THESC P/OVISIOMS 09 ARBITIRATIONITH

ARBITI
RATIO N SHALL BE IN CO NFO RMIW W ITFIAND SUBJECT TO APPLICABLF RULES AND

PROCEDURES OFTHE AMERICAN ARBITM TION ASSOCIATION (ORANY SUCCESSOR THERETO).

lF THE AM FRICAN ARBITIRATION ASSOCIATION IS NOT THEN IN EXISTENCE AND THERE IS NO
SUCCESSOR,OR IF FO R ANY REASON THE AM ERICAN ARBITRATION ASSO CIAM O N FAILS OR
REFUSES TO A CT,THE ARBITM TION SHALL BE IN CONFO RM ITY W ITH AND SUBJECT TO THE

PROVISIONS OFAPPLICABLE NEVADASTATUTES(lFM LT REM TING TO ARBITM TION ATTHE

TIM E OF THE NOTICE. THE ARBITRATORS SHALL BE BOUND BY THIS AGREEM ENT AND ALL
RELATED AGRUEMEKTS. PLFADINGS 1< ANY ACTION PFNDING ON THE SAME MAU ER SHALL,
IF ARBITRATION IS REQUIRED AS AFORESAID,BE DEEMED AMENDED TO LIMIT THE ISSUES TO
THOSE CO NTEM PLATED BY THE RULES PRESCRIBED ABOVE.

THE NUMBER M D SELECTION OF ARBITRATORIS)SHALL BE IN ACCORDANCE

W I-I'
H THE RULES PRESCRIBED ABOVEqEXCEPTTHAT (I)FACH ARBITRATOR SELECTED SHALL
BE NEUTM L AND FAMILIAR W ITH THE PRINCIPAL SUBJECT MAU ER O F THE ISSUES TO BE
ARBI
TRATFD. SUCH AS. BY W AY OF EM MPLE ONLY, TECHNOLOGY OR SOFTW ARE

DEVELOPMENT.OR SUCH OTHER SUBJECT MAU ER AS MAY BEAT ISSUET(11)THE TESTIMONY

OFW ITNESSES SHALLBE GI
VEN UNDEROATH,AND (111)DEPOSITIONS AND OTHER REASONABLE
DISCOVERY M AY BE ORDERED BY THEARBITM TORIS). THE ARBITRATORS SHALL HAVE THE
POM R TO GRANT ALL LEGAL AND EQUITABLE REMEDIES AND AWARD COMPENSATORY
DAMAGES PROVIDFD BY NEVADA I-AW BUT SPECIFICALLY SHALL NOT HAV E THE POW ER TO

AWARD PUNITIV'E DAMAGES. THE DV ISION OF THE M BITM TORS SHALLBE FINALAND
UNREVIEW ABLE FOR ERROR OF LAW OR LEGALREASONING OF ANY K ND.F-ACH PARR SHALL
PAY THE COSTS OF ARBITRAIION,INCLUDING ARBITRATORS'FEES,AS AW ARDED BY THE

ARBITM TORIS).
11.10 W aiverofJu> Tneal. W ITH RESPECT TO ANY DISPUTE ARISING UNDER OR IN
CONNECTION > TH THIS AGREFMENT OR ANY RELATED AGREEMENTSAS TO W HICH NO PARW
INVOKES THE RIGHT TO ARBITRATION HEREIN PROVIDED,OR AS TO W HICH LEGAL ACTION
NEVERTHELESS OCCURS.FACFIPARW HEREBY IRREVOCABLYW AIVESALLRIGHTS I
T OR HE MAY
HAVE TO DEMAND A JURY TRIAL. THIS W AIVER IS KNOWINGLY. INTENTIONALLY, AND
VOLUNTARILY MADE BY THE PARTIES,AND FM H PARTY ACKNOG EDGES THAT NONE OF THE
OTHER PARTIES NOR ANY PERSON ACTING ON BEHALF OFTHE OTHER PM TIES HAS MADEANY
REPRESENTATION OF FACT TO INDUCE TUIIS W AIVER OF TRIAL BY JURY OR IN ANY W AY TO
MODIFY OR NULLIFLY 1TS EFFECT.THE PARTIES HERETO FACH FURTHER ACKNOW LEDGE THAT

IT OR HE HAS BEEN REPRESENTED (OR HAS HAD THE OPPORTUNITYTO BE REPRESENTED)IN

THESIGNING OFTHISAGREEMENI AND IN THE MAKING OFTHISW AIVER BY INDEPENDENT LEGAL

COUNSEL,SELECTED OF 1TS O1
R HIS0% FREE W LL,AND THAT IT HAS HAD THE OPPORTUNIR

jjxga
:uizppocrewmtec

ContributionAgreement-Pagejg

'

Case 3:06-cv-00056-PMP-VPC Document 644-11 Filed 05/28/08 Page 50 of 93

TO DISCUSS THIS W AIVER W ITH CO UNSEL THE PARTIES FA CH FURTHER ACKNOW LEDGE THAT
IT O R HE HAS READ AND UMDERSTANDS THE M EANING AND RAM IFICATIO NS O FTHIS W AIVER
PROVISION.
11.11 Tim eisofthe Essence.TIME IS EXPRESSLY DECLARED TO BE O F THE ESSENCE
in thisAgreem entwitb respectto aIloftheterrns provisi
ons covenantsand conditionscontainedherein,
incltlding specificall
y.but not Iimited toIthe paymentofany moni
es or executi
on and delivery ofany
documentsprovided forherein.
11.12 Construction.The I
anguage i
n al
IpadsotthisAgreementshallbeconstrued,in aIlcases

accordi
ngloitsfakmeaning,andnolfoforagai
nstei
therpa@ hereto.Thepadiesacknowledge thateach
parl
y and its or bis counselhave reviewed and revised this Agreementand thatthe norm alrule of
construction to the effectthatany ambiguiti
es afe to be resolved againstthe drafting party shallnotbe

#?r.
ppl?yqt!iptlqlaterpf4tptiopoftpisAgrqqpppl, ..

11.13 faptltms.n ecaptionsandhaadingscontainedinthisAgreementare i

nse/edforconvenience and identification onl
y and are in noway i
ntended todescribe.interpret,define orl
imitthe scope,
extentorintentofthi
s Agreementoranyprovisi
on hereof.
11.14 Variation ofPronouns.
.Gender.A1lpronounsandanyvafiationsthereofshallbedeem ed
to referto masculine fem inine ornetlter singul
arorpltlralas l
heidentity ofll)t:person orpersonsmay
requi
re.

11.15 Public Notice:confidentialitv.

11.15.1

PublicNotice.Subjectto theprovisionsofSec'
tioa 11.15.2.below.the rharties

hereto agree thatatany time and from time to ti

m e following the executi
on ofthis Agreementtheywill
m utual
lyagree inwriti
ng onthe contentofa1lpressreleasesorotherwrittenororalcom m unications tobe
disseminatedto anym ediaorthirdpartiesconcerningthi
sAgreementoranyofi
tsterm sortheirrel
adonship
with one another.
.

11.15.2 Conrldentialitv: Disclosure ofCertain In-formation. The pafties hereto

acknowledge and agree thatthis Agreement,and allnegotiations,disctlssions.mattersorinformation
relating hereto,are confidenti
alamongthem. Exceptfordisclosure to itsauditors,lawyefs,tax advisofs.
bankers,underwriters or Ienders or as necessary or desirable forconduct of business incloding
negotiationswith otheracquisiti
on canddates,neherpady hereto sllalldlsseminate orrelease to any third

party,oruse in mpetitionagainstthe otherorthe other'saffiliates anyinforrnationregardinganyprovision

QfthisAgreement,oranyfinanciali
nfofmadonregardingtheQther(past,pre-sentorfuture)thatwasobedlned
by theotherin the courseofthe negotiationofthisAgreementorinthecourseofthe performance ofthis

Agreementwi
thoutthe otherpady'swrittenapproval'
.provided,howeveqtheforegoing shallnotappl
y to
'

'

informationwhich(i)isgenerall
yavailabletothepublicotherthanasaresultofabreachofconfi
dential
ity
provKi
ons;(ii)becomesavaiableonanonconfidentialbasisfrom asourceotherthantheotherpartyoriks
amli
atesoragenLs,whichsourcewasnotitselfboundbyaconrdentialityagreernentaor(ii)whichisrequired
to bedisclosed bylaw.includingsecuritieslawsorpursuanttocoud order.
11.16 Governlnq Law. The validity. construction,interpretaion and enforcement of this
Agreement,andthe rightsand obli
gati
onsoftheparti
eshereunder,shallbe govem ed by and construedIn
accordance with the laws ofthe StaleofNevadawithoutgi
ving effecttoanyconflictoflaw provision.
11.17 Counterparts. To facilitate executi
on,this Agreementmay be executed in mtlltiple
cotlnterpafts.each ofwhich shallbedeemedan originalAgreement.and atIofwhich shallconstituteone
Agreemeptto be effecti
ve asofthe day andyearfirstabovewritten. Itshallnotbe necessaryin making

CY- TM -

azaate:saev)
,i

M OnY KEC

contributionAgreement-page11

Case 3:06-cv-00056-PMP-VPC Document 644-11 Filed 05/28/08 Page 51 of 93

proofofthisAgreementto produce oraccountform ore than a singfe counterpartcontaining the respective

signatures or oron behalfof each ofthe parties hereto.

IN W ITNESS W HEREOF,theparti
esheretohaveexecutedanddeli
vered,orceausedtobeexecuted
and deli
vered by a duly authorized representati
ve,thi
s CONTRIBUTION AGREEM ENT as ofthe day and

yearfif'
stabovewri
tten.whichAgreernentwhenfull
yexecuted,shallconstitute a valid.bindingagreement
on aI1padies.
IINTREPID''

INTR

ID TFCHNOLOG IESILLC

ANevJrLi
mi
t
edLi
a'
I
i
tyCompany
By:
TREPP
s anagementComm ittee Chairm an

''CONTRIBUTO R''
M ONTGOMERY F
Y TRUST
A California Revocab Trust

l
By:

DE Nl

'T

M ERY ItsCo-Trustee

BRENDA K

ONTG
'
i

By:

Y,ItsCo-T

tee

'' NTGOMER '' I

DENNIS

ckkcm re oewpkFctma mtEc

kzvselo,
sse.

RY.an lndi
vidual

contributionAgreement-page12

Case 3:06-cv-00056-PMP-VPC Document 644-11 Filed 05/28/08 Page 52 of 93

*

v e

SCHEDULE 1.2.2

This schedule is attached to and made a partotthatcertain Contribution Agreement dated as of

September28,1998 byandbetweenINTREPID TECRNOLO GIFS,LLC,a NevadaI
im i
tedliabilitycom pany

CINTREPIDD ontheonehand.andDENNIS MONTGOMERY andBRENDA K MONTGOMERY,asCoTrustees ofthe MONTGOMERY FAMILY TRUST,a Californi
a fevocable trust(the Mcontributor'),and
DENNIS MONTGOMERY,anindi
vidualCMontclomerv*)ontheotherhand.

''

'

'

fli'fo-ljt
-iWln'g-is a fit ofa
-iltangiiie p
''
ersonalproperty oiContributor being
contributed,assigned,transferred and conveyed to INTREPID pursuantto Sectlon
1.2.2 ofthe Agreem ent:
'

ITO BE COMPLETED)

slzlll
(= cr*pi'*o'
*'W*'c

'

Case 3:06-cv-00056-PMP-VPC Document 644-11 Filed 05/28/08 Page 53 of 93

SCHEDULE 2.2

This schedule is attached to and made a paft ofthatcertain Contribution Agreement dated as of
September28,1998by and betweenINTREPID TECHNOLOGIES,LLC.aNevada l
imi
tedIiabilitycompany

(MNTRFPID')ontheonehand.andDENNIS MONTGOMERY andBRENDA K.MONTGOMERY,asCoTrustees ofthe MONTGOMERY FAMILY TRUST.a Cal

ifornia revocable trust(the lcontributofX).and
DENNIS MONTGOMERY,an individual(uMontqomefv*).on theotherhand.

'

'

''

'

''

Tllefollowing allocation oftheconsiderationforthe Contributed Assets pum uantto

tlle'Agrekrnentisherebymade'agred ahd'tse'livered pua tlalft-t/ Sttin2 2the- of:

'

($3
l
:
270
::8
*1
(RPM)

Technology

.00

Tangible PersonalProperty

.0O

TOTALCO NSIDERATIO N:

$1.300.000.00

'''
c

Case 3:06-cv-00056-PMP-VPC Document 644-11 Filed 05/28/08 Page 54 of 93

SCHEDU LE 3.4

This schedule is attached to and made a pad of thatcedain Contribution Agreementdated as of

September28,1998byand betweenINTREPID TECHNOLO GIES.LLC,aNevada li
m itedIiabili
tycom pany

CINTREPID*)ontheonehand,andDENNISMONTGOMERY andBRENDA K.MONTGOMERY,asC0Trustees ofthe MONTGOMERY FAMILY TRIJST.a Cal

ifornia revocable tnlst(the *contributof'),and
DENNIS MONTGOMERY.anindi
vidual(vMontaomel
v ),ontheotherhand.

'

'

''

'

'

Thefollowing'is alistofallIegalproceedings'ofGontributoro-r'Mkjfltdt#rrit#'tltili'
tf
to Contributoq Montgom eryortheContributedAssetsto bedisclosed byContributor
and Montgomery pursuantto Section 3.4 oftheAgreement:

1.

M ontgomeryhasanoutstandingjudgmentagainsthim individually.inthe sum of

$335.
000.
00 (pl
usinterestaccfuing thereon)foradverseattorneys'feesand costs
arisingoutofa failedarbitrationinvol
ving 3NET SYSTEMS,INC.,whichjudgment
and arbitration,asrepresented and warranted by Montgomery,do notadversely
affectin any m aonerthe Contributed Assets including the Technology.

(C$1ld(
l:k*
p*
M*)O*>C**&%F?l'
E&

'

Case 3:06-cv-00056-PMP-VPC Document 644-11 Filed 05/28/08 Page 55 of 93

SCHEDU LE 3.5
Tbis schedule is attached to and made a pa4 ofthatcertain Contribution Agreem ent dated as of
September28,1998byand betweenINTREPIDTFCHNOLOGIES,LLC,a Nevada I
im itedliabili
tycompany

P NTREPID*),ontheonehand,andDENNISMONTGOMERY arldBRENDA K.MONTGOMERY,asCoTrustees ofthe VONTGOMERY FAMILY TRUST a Califomia revocable trust(the *contributor),and
DENNIS MONTGOMERY,an individual(MMontnomervp),on the otherhand.

'

'

'

Thefollowing '
is'a listof-allwrittentontracts;obligationsand othpreom m itm ents of

ontributorrelatinj to theContributedAssetsto bedeliveredto IHTREPID and

disclosed by Contrlbutorpursuantto sectlon 3.5 oftlleAgreem ent:

ITO BE COMPLETED)

ktvl
(
l:
rll-e
)pu- 'ec

'

'

Case 3:06-cv-00056-PMP-VPC Document 644-11 Filed 05/28/08 Page 56 of 93

BILL O F SA LE

THIS BILL O F SALE is made,entered intoanddeli

vered effective asofSEPTEMBER 28,1998,
pursuantto the term s and conditions ofthatcert
ain ContribtltionAgreementdated as ofSeptem ber28,
'

1998.byandbetweenINTREPIDTECHNOLOGIES,LLC,aNevadaIimitedliabil
itycompanyCINTREPIDOJ.

ontheone hand aqd DENNIS M ONTGO M ERY and BRENDA K.MO NTGO M ERY as ce-Trusteas ofthe

MONTGOMERY FAMILY TRUST,a Galiforniarevocabletrust(ucontributof'),andDENNIS MONTGOMERY,

anindividualCMontqomerv') onthe otherhand (theMcontribtlti
onAqreemenfn.Unlessotherwise defined

'

herein.theterm sused in this BillofSaleshal

lmeanand refertothose termsasdefined inthe Contribution
Agreem ent.
'

''

HbW '
fii/itiz
b e #bifilb Xbkilust.ko<lo
''
liW lbk therec'
eiptansufjcncy
ofwhichisherebyacknowledged,Contri
butorherebysells.transfers,assi
gnsandconveysuntoINTREPID

aI
lotitsri
ghts.title,and interestin andto the fol
lowlngtangibl
e and intangible propedy andassetswhich
constitute aIIofthe*contributedAssets'being contributedbyContributorto INTREPID underthe term sof
tNe Contribtltion Agreem en:

1.

AIIofContributor'sknow-how;tradesecrets'
,patentrights.copyrights.trademarks.
Ii
censes and petmits regstered orunregfstered pending orapproved'soflware
programs andaIlprogram mingand source codes used inconnectiontherewithor
othe- ise required to operate any com ponentthereof' and a1
lprogramm ing
docum entation,designs,materialsand otheri
nform ation alIinwhateverform and
w hereverIocated relatingtoorused inconnectionwith orotherwisedescribing or
consistin: ofanypal
'tof thesoftware compressi
on technologyccntainedonthat
certain So> are Compression Engi
ne Developm entProgram cootained on CD
No.1.beingcontributed by Contributorpursuantto the termsofthe Contribution

Agreement(collectivei
y,the*'
I-echnoloqvpl'
,
2.

Certain 471Contributar's tangible personal property ux

sed in connection lhe
Tedm ology asmoreparticularl
y described on SCHEDULF 5.2.2 attachedhereto
and m adea pad ofthisinstrum ent'and

3.

Al
lofContri
butor'sbooksand recordsrel
atingto the ContributedAssets.

ContfibutorherebyreqresentsandwarrantstoINTREPID tbatitistheIawfulandequitableowner

oftheabove-describedContnbutedM sets.andithastheh'eeri
ghttocontribute,convey,transferand
assignitsentire interestthereinwi
thoutthe consentorpermissi
on of andwithouttherequlrementofany
noti
ceto,anypersonorentity.Contributorrepresent andwarrantstoINTREPID that,exceptasotherwise
disclosedto ltundertheContri
buti
on AgreementvaI
loftheContributedM setsarefreeandclearofany and
alIIiens securi
tyinterests charges,burdens claims restrictionsorencumbranceswhatsoever.

E'
ach ofContributorandINTREPID herebyacknowledgeand confi
rm thatthisNillofSale aad the
sale.tfansfer assi
gnmentandconveyance oftitlelothe ContfibutedAssetssetfodhherei
n byContributor
toINTREPID hereunderis beingexecuted anddelivered pursuanttotheContribution Agreement.ThisBitl
ofSale and the conveyance oftitle to the Contributed Assets to INTREPID hereundershallbe epective
imm ediately uponexecution and deliveryhereofatthe Cl
osing.
In the eventofany Ii
tigation,arbitrationorotherdispute arising asa fesultoforbyreason ofthisBill

ofSal
eorthesuUjectmatterhereof;theprevaili
ngpadyinanysuchIiti
gadon,arbitrati
onorotherdisputeshall
beentitl
edto,inadditionto anyotherdamagesassessed,itsreasonableattorneys'fees,and a1lothercosts
andexpenses incurred in connectionwith settling ortesolving such di
spute.Theattorneys'feeswhi
ch the
prevailingpartyisenti
tled to recovershalli
nclude feesforprosecuting ordefendinganyappealand shallbe
cqxxwhyreaekoeepw4hysauaec
279e,:4spu)
$1

'

Case 3:06-cv-00056-PMP-VPC Document 644-11 Filed 05/28/08 Page 57 of 93

'

- :

awarded forany supplementalproceedings untilthe 5naljudgmentis satissed i

n full. ln addition to the
foregoing award ofattorneys'feesto the prevai
li
ng parly,the prevailing pafty in any I
awsuitorarbitrati
on

procedureonthisinsbumentshalbeenti
tledtoitsreasonableattorneys'feesincurfed in any postjudgment
proceedingsto collectorenforcethejudgment.
The validity construction,interpretati
on and entorcementofthis BillofSale,and the ri
ghts and
obligationsofthe partieshereunder shallbegovem ed byand construed inaccordancew i
ththe Iawsofthe
State ofNevada withoutgiving effectto any conflictofI
aw provisi
on.

IN W ITNESS W HEREOF.thepaftieshereto haveexecuted orcaused to be executed by adul

y
authoroed representative,this BILL O F SALE effedive asofthe day and yearfirstabove w ritten and to be
delivered attbeClosing.
. .. .

.. .

..

UCO NTRIBUTO.Rt'

MONTGOM ERY FA ILY TRUST

A'aIiognia Rev

Ie Trust

k .
&

6Y

/ D

(k!-29
-

By: N

TGOMERY.Itsco-Trustee

.
K. ONIG

RY, ts Co--r ustee

ACKNOW LEDG ED AND RECEIVED BY:

ulh1qrlREEr3l()''
INIREPID TECHNOLO IES,LLC
A Ne a
d'a Lim ited Li lli
ty Com pany
h,
.2

ts anagem entCom mittee Cbairm an

Qo =!Ta-

112:9:(6:
49PM) il:p1fsa%.Ec

'

Case 3:06-cv-00056-PMP-VPC Document 644-11 Filed 05/28/08 Page 58 of 93

y
w *

*.

SCHEDU LE 1.2.2
This schedule is attached to and made a pad ofthatcertain BillofSal
e dated as ofSeptem ber28,19981
from DENNIS MO NTGO MERY and BRENDA K MONTGO M ERY,asCo-Trusteesofthe MO NTGOM ERY

FAMILYTRUST,a Californiarevocabletrust(theMcontributo/'
)infavorofINTREPID TECHNOLOGIES,LLC,
aNevada limitedliabilitycompany(UINTREPID, .

Tlle follow ing is a Iist of all tangible personal propedy of Contributor being
contributed, assigned, transferred and conveyed to INTREPID pursuant to the
accom panying '
B ill'of-sale: ''

t-ro BECOMPLETED)

(:

Case 3:06-cv-00056-PMP-VPC Document 644-11 Filed 05/28/08 Page 59 of 93

* #

No,CV06-00114
ETREPPID TECHNOLOGIES,INC.
.

VS.

DENNIS M ONTGOM ERY,ETAL,

Ex
k,
A
?ted:Februa'
y7,cc
n6
RONAL . NG
J . LERK
m-

BY

..
e/'
.

'DOPLIW

N-

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2. 2:06
s'
.l0?2 a 't:s 6. gfyDocument
i, Esg. 644-11 Filed 05/28/08d.Page
72I4 60?.ofl93
'

'

NDED A c RESTATED OPEIG TING AG REEM EN T

OF

INTREPID TECHNOLOGIES.LLC
A N evldl Lim ittd-Liability Com paRy
'

Dated and Adopted

Effective asofJ
ARY 1,1999

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6:10pk Dc l2s J 8r?Document
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3:06-cv-00056-PMP-VPC
644-11 Filed 05/28/08.Page
L

x....

-..

AM ENDED ANl)RESTATED OPFM TING AGREFM ENT

OF

INTREPID TECHNOLOGJESS LLC

-

Tm SAM ENDED AND RESTATED OPEM TING AGREEM ENT ismadeandentered

into and effectiveasQfJANUARY 1,1999,by and among thoso Mcmbers(definr.d lxlow'

l
executing thisAgreement.ThisApeementismadewit.
hreferenceto thefellowiugfacts;
STATEM ENT8 Ol?FAG :
A. JntzepidTeclmolgies,LLC wasformedbytteftljngoftheAm clesofOrgaftization
w1f.
11the Nevada Sooretazy of Stateon September22,1998,forthe formation ptlrsuarttto the

applicableprovisioasftheNRS(asdefinedlerein).
B. Thelvlem bersexecutingthisApeem entwisllto adoptthisA greem entastheOperating
Agreementofth:Company,governing itsorganizationandmam gementand ther1g111,powers,
dutiesazldobligationsofthtM anagementcemmitcc,Qm Maaager,andteM em bers,respcctively.

NOW ,'ITIEREFORE,in cqsideratinn of the feregtliag premtses and tite m utual

coveuants aad couditiom contaiaed hereh ,aqd with tlle intention of being Iegaily bound
hereby,tEepartiesllerttg agreeasfollews:
M W ICLE 1
DEFINITIONS
ExceptalotkenviseseparatelydefmedelsewhereinthisAmoem ontfellowing aretltetenns

antlmeningsastlsed thfougimutthisAgrtemo t:

1.1

''Adiqst
-edC.apital
-AccBulltDeflcit''meaas,withrespe-cttanyM ember,iikedeticit

balanoezifany,in such M ember'sCapitatAcceuntasoffeendofthertlevantFiscalYear,after

givingefecttothefollowingadjlenents:
1.1.1 Inorev suqhcapitalAcctmtbyanyamountswltichsuchM emlxrisobligated

tocontributctothLLC (ptlrsumxttotlletermKofthisAgrermentorothem ise)orisdeemedtobc

obligatedtocoatributctotlmticpursuanttoRegulatit)nsSoction:l.704-2($(1)and1.704-2(i)(5);
and

1.1.
2 Rcduoo such Cayihl Accmtmti)y the atnotmt oftlw ittms desclibed in
-

-. -.. . -

RtpzlationsSvotifms1.
7Q4-1C9(2)(i.
i)(d)(4),(5).r
?n.
f1
..(6
.)..

- ..- - - . .

.. .
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Jif
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z7. 223:06-cv-00056-PMP-VPC
26 $:10?k n Glls J. Fryg,
Document
E!9. 644-11 Filed 05/28/088:.
Page
7211 62p.
of293
q. '%- #

>'

1.2 ''M ftliate''meaus,whenttsedwithreferencetoaspecitlodPersom (i)thePrincipal

OfthePersonp(ii)allyPersondircotlyorindirectlyconeolling,contzolled byorundercommon
contfolwit.hsucilPerson,(fji)auyPersoaowningorcontrollingTEN PERCEN-I-(tf)%)()rmoreof
theQutstandiagvotinginterestsofsuohPerson,fmd(iv)anyrelativoorspotuseofsuchPerson.
1.3 f'Atrcemexlt''memw thisAmendedmzdResutedOperatingAgremncntoftheLLC,
asoriginallyexecuted and msauwnded from time to time hercaftcr,mstht coatextrequires. W ords
suchas''herein ''''hereinahery'''hereto ''''hcmby''and''heretmder''whenusedwithmferencetotltis
A greem ent,teferto thisAgreem entasa whole,tmlessthecontextotherwise requires.

l.4 . ''Article:ofOrganizatl/n''meanstheArticlesofOrganiz-ation(whichincludesa
designationt)ffesidectagentforserviceofpmcess)filedwiththeSecretaryofStateoftheStateof
Nevadaon SEPTEIVIBER 28,1998,FilingNo.1+ C-5563-98,forthepurposeoffonningtheLLC.
).5

''AvailableCash Fltlw'fmeans,withrespecttoany FiscalYearorotherperiod,the

sum ofa1lcashreceiptsoftlleIIC from anyandallsomces,lcssallcashdisbuzsemens(indudiag

loanrepayments,capitalimprovementsandreplacements)andareasonableallowanceforRoservcs,
contingenciesaadanticipatedobligationsasdeterminedbytheManagementCommittee.
1.6

''Book Dfmreciation''means forcach FiscalYearorotherperiod,an am otmtequal

totheDepreciatiow excepttlzatftheGrossAssetValuqefaaymssetdiffersfxom itsadjustedbasis

forfederalincometaxpurpososattlm begirmingofsuch yearorQtlmrperiod,''bookdepreciation''

witkrespecttosuchassctshall,eveptasotlwrwisercquh'edbyRegulationsSectonl.704-3(d),be
anamom twitichbearsthesameratio to suohbeginniag CxrossAssetvalueastheDepreciationwith

resmctto such assetforsuchyearf)rottte;periodbearsto such beginning adjtusted tax basis.

Howcver,ifthefedoraltncaometaxDepreciation withrespectto such mssetforsuchyearis'zeto,''
% okdepreciaioasM l% dett= inM w il referencetesuohbeginaiagGtossAssetvalueusingany

rem onablemethod seleotedbytheLLC.

1.7

''Busine.ss''or''BusinesseftheLLC''mcansth:businessoftheLLC asdetinedin

Seotion 2.7 hereof.

1.8 ''CapitalAcceunt''ofaM cmbershallhavetl)emeaning setforth inSection 3.5.3

hereofand shallbedeterminedinaccordanccwith Sedion3.6hereof.
l.9

'lcapitalContributioaffshallhavethemeaniagsetforthin Sedion3.7.1hmeof

1.10 ''ClassA M embqrfsl'fmeaasthoseM embersreceivhgaPriorityRehvn(defned

below)andhavingpriorityoyertlm ClassB Membersindistzibutionsom theLLC andinvoting
rilts.
1.ll 'fclassBhlemberfsl''meansthoseM embersreceivingapriorityllrttvnandroceiviag
'

'.

subordlnnteddistributioms&om thoLLC tmtiltheClassA Membershaverecoivd thei:P;IIIW

Retum andaretum offlmiragpegatecapitalConihutiocstothcIaLC.'
I'
heClassB Mem brrsshall
havnow tj-pg-rigl ,
.

km ;m e.
tuu=epzmVAR

OPERATINGAGREEMENTW-PMe
2
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l.12 ''Cede'#m eanstholrlternalRevenueCodeof1986,asam ended,oranycorrespondiag

provision orprovisionsofany succeeding law.

1,13 ''Com mitteeM emberfsl''meansanyoralloftlm three(3)Personsappointedbythe

M ombersto serveon theM amagem entConm litleeptlrsuantte Section 6.l.4 ofthisAgreement.The
CormnitteeM em bersshallatalltimesactcollectively a5theM anagem en.
tConunittce,which shall
bo charged wit.
h those powers,dutiesand responsillilitiesassetforth in Artiole 6 and elsewhere in
thisAgreem ent.
1.14 ''b epreciation''m eans,foreach FiscalYearorotherperiod,an am olm tequalto the
depreciation,amortiz-ation orotlzercostrecoveryreductionallowablewithrespectto anassetfor
such FiscalYearorotherpmiod.

1.15 ''Dissolutiolltfmeans(i)whenusedwithreferencetotheLLC,theearlierof(a)the
date upon which tlle LtC isterm inated undertlle NRS,orarty slm ilarprovision enacted in lieu

themof,or(b)thedateuponwhichtheLLC ceasestobtagoiagcoacrm,and(ii)whenusedwith
referencetoarlyMember,theearlieref(a)thecLateum nwhiohthcreisaDissolutionoftheLLc or
(b)thedateuponwhiohsuch Member'sentireinterestilltheLLC istennitmted bymeansofa
distributionorseriesofdistributicnsbytheLLC to suchM eiuber,
1.16 ''Ecenom ic Interest''m eansaPerson'srightto shareilztheNd Profts,NetLosses
'

orsimilaritemspursuanttoSections4.1.1.4and4.1.2.5hereof,andtoreceivedistributionsfrom th.
e
LLC ptlrsuantto Sedions5.2.5 and 11.4.6 hcreofvwhich theassignorofsuch economicirtterest

'

would otlw nvisebecnitled,butdoesnotincludeany otherrightsofa M emberincluding,without

limitK on,tlm righttoVote,tparticipateinthemamgemeatoftlleBusinessand theaffai!softhe
LLC,oranyzighttoinformationconcemingtheBusinessoftheLLC.

l.17 ''Fiscal Ycar'l moaas the fiscal year of tlK LLC,rllnning for the period of
JANUARY 1toand ilwludingDECEM BER 31t)feachcdendarycar.

1.18 ''GrossAssetValue''meaos,witllrespecttoartyassetof*eLLC,theasset'sadjusted
'

basisforfederaiincometaxpurposes,exceptasfollows:

1.18.1 n einitialGmssAssd valueofanyassetconkibutedbya'

M embertotlwtic
slmllbetitegrossfairmarketvalueofsuch mssetaasagreedbetw'
eentheLLC andtbecontribuing
M ember.
'

1.18.2 'I'
hoOrossAssetValueofallLLC assetsshallI7eadjustedtoeqlmltileir
respectivegror,
sfairmarketvalues,asmutuallyap'
eedbetweenthelat,
c andtheaffectedMemberts)
upontlm occlarenceoftlzefollowingevents:
1.18.2.1 TheacquisitiollofanadditionalInteresthltheLLC by any new ot

existingMemberinexohangeformlletI)aCa#..
m'ntttCapltalContribution;

fm lot&'-

K=

OPEBA'
ITNGAGREEMENT-Page3

eTreppid 0061

Jir.Case
22. 203:06-cv-00056-PMP-VPC
26 6:lppk .Do'llz J. rrDocument
y', Esg. 644-11 Filed ,
?2ll 64p.
05/28/08hpPage
ofb93
.

l.18.2.2 W edistibutiortbyth=LLC toaM embe,

rofmoret1)% a/4.m inimis
..

amountofcash orpropertyascocsideratioarerthcaoquisitignofa11oraportonofsuchM ember's

Interestin(htLI-C iftheLLC reasonablydetermincsthatsuohadjustmentisneccssazyorappropriatcto reflcctthe rclative eoonomicinterestsoftlw M om bersin the LLC ;and

1.18.2.3TheliquidationoftI
ZeLLC withinthemeaningofRrgttlationsSection

1.704-1(b)(2)(ii)(g);
1.1s.3 n eChossAssetValueofanyLLC assetdistributedtoany M embershallbe

thep'ossfairmmketvalueofsuchassd asmutuallyagreedbytlw LLC audtheaFcdedMcznberts)

ontie dateofdkstlibutkoa.

1.12.4 TheGrossAssetValueoftheLLCassdsshallbeincreased(otdecreased)to
retlectanyadjustmentstotheadjustedbMisofsuchasseapurstmnttoCodesectionv/34tblorCode
section7430% butonlytotheextent1a1suchadjustmentsarctakmlintoaccountindetermining
CapitalAccolmtspursuantRegulationsSection 1.704-1($(2)(iv)(m)and Section 4.9 hereof;
providedohoweverythatGfossAssetValueshalluotbeadjustedpllrsuanttothisSection 1.18.4to
tlw xtenstlm LLC determinestlmtanadjustmentpursuanttoSection1.18.2aboveisnecessaryor
appropriateincomwctionwiththetransactionthatwouldothem iseresultinanadjastmentunder
thisScction 1.18.4.

IfGeCzrossM setValueofanassd hasbeendeterminedoradjusteedptlrstu'mt

toSections1.i8.1,1.18.2or1.18.4above,suchGrossAssd Valtw shalltlmmafterbmadjustedby
theBook Depreciation taken into accountwith respeotto sucilassetforplvposest)fcomputhg
profitsaadlosses.
1.18.5 lftlw LLC and mv affected M emberN suemtto Sections1.18.1,1.18.2 or
1.18,3 above are tmable to agre,e on the Gross AssetValue ofany mssetforpurposes ofthis
Agroem ent,anmttuallyacceptableappral
;sershallbcselectedbytlmm forthispurpose
uc
,andtheval
establishedbyGucizappraisatshallbebindingupentheLLC andtheafectedM ember.

1.19 ''GuarantadPavm cut''hasteme,

attiagsetfortllinSedion6.6.2ofthisAgreement
1.20 ''LLC''or''Companv''means
Pm TECIINOLOOIES, LLC,tlle N evada
lhnited-liability companyformed puzsuanttotlm ArtidesofOrganization.

l.21 ''LLC Loans''shallreferto any loans,lwsofcreditoradvances mnrle by any

M mbcrtetheLLC,BxceptasotherwiscspecifredhltllisAgreementv such LLC tm nsshallbeear
interestatthemteagreedtobetweenthcMemberandtkeM anagementComrnittee.
1.22

''LLC M inim ttm G am ''m tmnAthe amotmtdetorm ined by cornputiqgw ithrespectt

eachnonrecourseliabilityoftheLLC,theamountofgaitl(ofwhatevercharacter),ifany,th1 would
berealizzdbytileLLC ifitdisw sed @ auxabletrarlsactioa)oftlw Propertysubjecttosuch
liahilityinfullsatisfactioatlwreof,artdfornootherconsideration,andsubjecttotheotherrulesset
jxwmmtjeeuxe- wa

opEn e
jw tjAGREEMFNT.pagg4
W teppid 0062

?8h,23.
2003:06-cv-00056-PMP-VPC
6 6JlFk .D9''-l8s J. FrtDocument
f, . 644-11 Filed 05/28/08dc.Page
7211 65
?.of693
Case

forthillRtgttlatiolu Section1.704-2,audbythenaggregatingtheamotmt.
ssocomputeda.
ssetforth

ittRegulationsSection1.704-2(d).
1.23 ''M aioritv in Interel''or'fM altla
r..
i.w in..
1n.terestoftheM em bersf'means,lmless
otlletwiseprovidedintheAgrcemcnt,thePercentageInterestsoftlleclassA M embers,wllioh,taken

together,exocedFIFTY PERCENT (50%)oftheagpegatefatlPercentageInttrestsheldbyall

ClassA M emborsentitledtoVotcorgrantconscntwithrespecttflthem atterizlquestion.

1.24 ''ManaeementCommittee''means,collectively,thethree(3)CommitteeMemher:
appointed by the Membersto managetheLLC pursu-mtto Section 6.1ofthisAgreementacting
togetherto mnnagetheLLC inaccordancewithtketermsandcondltinsc'ftbisAgreement- n e
M alm gem entComm ittecshallbechargedw iththosepowers,dutiesand responsibilitiesassetforth
in Article 6 and clscwhertinthis Agreem ent

1.25 ''M apazer''meansttle Person appoiated uaderSedion 6.1 oftttisAreementto

managetlleLLC.TheM anagershallbechargedwithtlwsepowers,dutiesand responsibilitiesas
sc'tfortilinArdcle6andelsewhereinthisAg eement.

1.26 ''M ember''meansaPersonwhf):

1.26.1 Hasbeen admitted to theLLC asaclassA M em berora Clmss B M em berin

accordancew1t.
11theM iclesofOrgnnizationQrthisAgreement,orisauassigneeortransfemeof
anIntorest,otherthananEconomicInterest,andwbohasbecomeaM emberptusuanttoSection9.3
hereof.
1.26,2 Hasnotresignd,witbdrawnorbcenexpelledasaM emberor)ifothertbnnan
individual,hmsbeen dissolved.

1.26.3 HaspaidltisCapitalContribution tofheLLC inexcllarlgeforanIntemstintlte

LLC,or,inthecaseofatraasferecM cmbcr,hassuooeede,dtotb.
eCapitalAccotmtofthetransferor

Member,andwhohasbecomeapattytothisAreementbyexecutingandsubmittingtotheMauajer

acolmterpartsignaturepageto ttisAgremnentaccepting1hetermsandconditionsot andagreemg

to t)cbolmdby.thisAgmement.

Refcrrnceto a''M emberMshatlbeto any one oftheClasksA M embtrsQrClatsB

M embersofthtLLC idcntiG d in Srfon 3.1below orasothel'wisesupplemtntedandidentisrd
onEXHIBIT A attachedtp andmadeapartofthisAgremnentvwhiohoxhibitmaybeamcnde,dor
m od edfrom timetotime.
1.27 ''M em ber Nbnrecourse Debtf'lm the m e-anl
'ng setfori in Rogulaions Se tion

1.704-2(19(4)fQr'partaerlmnrecotlrsedebt.e'.
1.28 ''M emberNonrecourse DebtM int
'm um G aia''m eansan amotmt,$v1t11resped to

e hMemH NovxoaseDeW equztoieLtculnl

'm= Gaino tx uldrcsultifxchMemhr

ilTlsq
ed**em ''-

OPERAIANGAGIkBBMENF,PAteS
e'rreppid 0063

J8h.22.
2000
6111pk Dnp'lis J. Ffk,
8S9
h.7
21( 66
2.of7 93
Case
3:06-cv-00056-PMP-VPC
Document
644-11 Filed 05/28/08
Page

NonrecourseDebtweretreatedasanonrecottrseliabilityoftheLLC,determinedinaccordancewitil

RegulationsSections1.704-2(i)(2)and(3).
1.29 ''M emberNosreca- eDeductions''H iemee agsetfoe z RegulaonssK on

1.704-2(i)(2) for ''parlner nonroooafse dtductieus.'' 'l'

lm amolmt of MemberNonrezcotvse
Deductionswztllresped to aM emberNozlrccourseDebtfbraFiscalYcaroftheLLC equalstl)e

excess(ifany)ofthenetincrease(ifanylintlw amountofMembc NonrecourseDebtMinimum

Gain attributable to such M emberNomecolzrseDebtduring thatFisoalYearovertheaggregate
amountofanydistributionsdtd ngtlhatFiscalYeartotheM tmborthatbears(orisdeemedtobear)
theeconom ic lossforsuchM embetNontecourseD obstetheextentsuch distributiensare from tlw
proceeds of such M ember Nonrecourse Debt and aze allcable to an illcrease in M ember
NonrecourseDebtM inimtlm Gaittattribulblotosuoh M emberNonrecourseDebtadeterminedin

accordancew1t.
11RegulationsSectioa1.704-2(i)(2).
1.30 ''M embersbm Interest''or''Interest''mealssancpm lersllipkltGestzeLLf ,which
includesa M em ber'sEconomiclm erest,therightto Voteorparticipate in them anagem entofthe

LLC,andtherkhttoinformationconcerningtlleaffairsandBtlsinessoftheLLCa.
sprovidedinthis
Agreementandunderthe'
NRS.n eMembershipJnterestofaMember(includingtheEconomic
Interest)constitutcsthepersonalpropertyoftheM ember.NoMember:byvirtueofhisownerslp
ofaM embership Itlterest,hasorowas,orisdeemedtohaveorownvan interestirta11oranypartof
theLL's Property.
1.31 ''N etCapitalContribution''m e-anqaM em ber'sCapitalContribution,asofany date,
REDUCED BY a11priordistribtltionsofaM ember'sCapitalpursumzttoM iole5arld/orArticlel1
hereof.

1.32 'fNetProfittsl''aad ''NetLossestesl'lmeauoforeach FiscalYearorodterperiod,an

amounteqm ltotheLLC'St'kxableincomeorlossforsuohyearorperiod,detenninedinaccordance

withCodeseotion703(a)(fortbisptuyose,aliitelusofincome,gaiw lossordoduo,
tienroquiredt:
bessatedsepazatelypursuanttoCodesection703(a)(1)shallbeinoludedinfaxableincomeorloss),
witlvthefollowlngadjllvl
rnents:
1.32.1 Any incnme Qfthe LLC thatisexemptfrom Federalinoomc tax and nt
otherwisotaktnintoaooountinoompztingNetPtostsorNd Lossesshnllbeaddedtosuohuxable
incomeorloss;

1.32.2 Anyexw nditta'

esfO LLC describedincodseotion705(bX2)(B)Qttreate,d
asCodesecEon705(17 2)@ )expeatlittaespuwuanttoRegulationsSeotion1.704-1@)(2)(iv)(i)and
nototherwisetalcen intoaccotmtitlcomputingNetProfitsorNetLossesshallbesubtracted from
suchtaxabletnoom eorloss;
1.32.3 fuinorlossresultingfrom anydispoe on ofPropertyw1t11respecttowhich

gainorlorssisreco> z.
edforfedcalincometaxpuzpososshallbecomputodbymfcmncetothefair
marketvalueoftllePropertydispostdofknotwithshndingthattheadjustedfaxbasisofsuch
-- .- -

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tydiftrsfrom itsfairrnarkd valu;
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OPERATINO AGRSEMENT-Page6
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Document
Page
of893
Jh.Case
22. ?q3:06-cv-00056-PMP-VPC
gs F:!lF2 , qo'''tzs J. Fr?8,
E9. 644-11 Filed 05/28/0889.
7211 67?.
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l.32.4 Inlieuofdepreciation,amortization,andotAercostrecoverydoductiorlslaken
into accotmt in computing sttoh Qaxablt income or loss,there shall be taken into aocount .
Depreciation for such FiscalYear orother period,computed ittaccordance w it.
h the subsectioa
hereoftatitled ''Depreciatioa'';and
1.32.5 Notwithstanding any otherprovision ofthissubsection,any item sofincom e,
gain,Iossordeductionwhicharespeciscallyallocatedshallntltbefakenintoaocountincomputing
N d ProtitsorNetLosses.

1.33 ''NRS''metqnsChapter86,Sections26.011to86.571,oftheNevadaRevisedStatutes,

asamendet oranycorrespondingprtyvisionorprovisionsofaaysucceedinglaw.
1.34 ''PercentaTeInterestlsl''meansafraction,expressedasapercentage,tllenum erator
ofwhich istllenum berofU nitsowred by aM em berandthe denom inatorofwhich istheagx egate

ntlmbe:of a11issued and outstanding Units ofthe M embers.The PercenGge Interests ofthe
M embersshallbt setforth on EYR IBIT A attached hereto arld m ade a partofthis A grexm ent,
which exhibitm ay be updated and amended from tim eto tim e by the M arlager.
1.35 ''Pcrson''meansan individual,padnership,lim itod pa> ership,corpomtion,trustz
shte,associatiow limited-liabilityoompany,orothertntity,whetherdmesticorfoteiga.

1.36 ''Prilcipal''meansthePetsouwbichisinultimatecontrolofaM ember.

1.37 ''Prioritvm turn''m ennqthepriorityreturn to cach oftlw ClassA M em brsandthe

Clrs B M emlxrs of artaccrued cumulatlve return on each of tlteir respective Nd Capital

CtmtributionsinaaamountequaltoTWELVE PERCENT (12%)peraunum,cumulativr,butnQt

compounded,pro rated forany period which is a partialyear. N otwithstanding Qw foregoing,a

Priority Return on in-ldnd CapitalContributionsshallbecalculated and accnze in an amolmtho

p'
eaterthantheaggregatePriorityReturnaocmingto allcashCaptalContributionstotim LLC.
1.38

''Propertv''m eans a11orat,y personalpropmty and otherassetsofthe LI-C.both

taugiblearldintangibleaincludhg,butncdlimhedto,theTechnology(defmedbelow),oranyportion
thereof.

'

1.39 ''R egulations''or''TreasurvReulationslfm eamsthefezleralillcmm etixfegd adoM

promukatedbytlte'rreasuryDepnrtrnentunderthecbdr,assuchregulalionsmaybeamendede m
tlmetotime.Allrefcenoeshtreintoaspcifiosection QftheRegulationsshallbedeemedalsoto
rcfcrtoauyconw pondingprovisionsofsucceedingRegulatioas.
1.
40 ''Reseo es''ma nqftmdssetmqidefrom capitalContzibuNonsorrevenuesasreserves.
-

Suck Reseaesshallbemnintainedin mlwuntsrcasonably deemedse cientby theM anagement

Cornm ittce for working capital and the payment ef taxes, irlsurance, debt service,repairs,
replaoemeutsmnewals,orotlwrcostsorexpeasesincidentto tlte BtuinessoftheELC,orinthe
altem ave,GeDissolutionoftlteLLC.

fm rzr - e'

OPER&I'
ZIGAGItEEMLZPP.P.e7

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G:w .

w.

1.41 l'Secretarv ofState''meanstheSecretaryofStateoftb.

eStateofNevada.
.

l.42 Gunitlsl''meansaunitofMemborslpInterestasaClassA MemberorasaClassB

M em berin the LLC representing a CapitalContribution to tlw LLC in the amountofTwenty-six

Dollars($26.00)perUnit. TheCompany shatlbeautlmrizedtoissttethefol:owingnumberand

classesofUnits:

Authorized

'

'

ClassofUrtits

Number

ClassA Units
ClmssB Units

800,000
200,000

1.43 ''V oteg'm eatks,exoeptwlw re superstdedby anotlmrsectiou ofthisAgroem ent,orms

mayberequiredtmdertheapplicableprovisionsQftheNRS,tlteCodeorapplicableRejulations

thereunder,thevotesoftlleClassA M embers,whetherby ballot,m itten consentoravomevote,

whereineach ClassA M embershallhave and castantunberofvotesequaltothatClassA M em ber's
Pcrcenuge Interest.
A RTICLE 2

INTRODUCFORY M ATTE.RS
2.1 FormationofG eLLC.ThepartieshavefonrrdtheLtf pursuanttoSeotioas86.151
and36.201.1oftheNRS byexecm ing,aclcnowledgingandfkliagtheAi clesofOrganizme nwith
theSecrda!'
y ofSlatt and by eutcring into and adopting thisAr eem ent.

2.2 Resi nation ofO r allizer.ThepartiestothisAgreem entacknow ledgeandav eetlmt

DOUGLASJ.FRYEZanindividual,actedastheorganizzroftImLLC selelyforthepurm seQfftlklg
tlltArticlesofOrganizxtionw1t.
11theSecretmy ofShteasdescribedhereinalldthat,immediatdy
upontheadoption andoxecutionoftllisAgreomeatbyitsM embers,titeorgnnlzershallbedeemed
tollaveautom atioallym signedoO tlmutnoticeand withoutliability orobligation ofany kindtothe
LLC oritsM mbt'rs,Ac rdingly,th.
epartiestothisAgreemcntherebyacu owledge artdaffirm

al1ationsherdofretakenon behalfoftlzeLLC by saidorganizer.

2.3 xame
- n ensme ofthe LLc is ''INTRIPID 'rEc> otgoGlEs,Iwtzc.'' 'ris
M tmberssuallolv atetiteBlssinessofthetzc wndersuchnauw orux w oh otu :oraddio nal
namesastheM embersmaydeem necessaty ordeskable,providtdallsucllnameornamesshaltie
in complianeaewiththeNRSmld otherapplicablelaws.

2.4 Principallh sinessom ce.n eLLcshzlme e itpe cipibm hesso/ catsgo

LAKF-SHOIIEBOW EN AIID,IIVCLIIIEVR LAGE,N M A 89451,withamailingaddressof
P.O.BOX 4964,INCLINEVILLAGE,NEVADA 29450,oranyolerlocationasdetem u'nedfrom
timetotimebytheM gnngementCornmstlee.

;P>1j;I!

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2-5 ResldentAzetlt;Rtzistered Om ce. Thenameand adzrtssoftheLLC'Sresident

agentuponwhom pyocessm aybescrved,oranoticeordemandauthorizedby law tobeservedupon
theLLC m aybeserved,isGIQLRESiDFPiTA GEIq/ /
T ILLNGS,IN C.,a'
N evadacop oration,wlzose
stred addrcss in Nevada is l100 EAST W ILLIAM STREEY, SUITE 207, CA RSON CIW ,
NEVA DA 89701,and whose m ailiftg address is P,O.BOX 3679,CARSON CITY,NEVADA

29702.'
lheregisteredoftkeoftheLLC inNevada$hal)bctheadda ssoftheLLC'Sresidentagent.
'I'
helocation oftheLLC'Sregisteredofficeorthenameandaddressofitsrcsidentagent,orbothz
mayonly bechaugedby filingaccrtificateofchangewith theSecretaly ofStxteia theform and
m annetrequired by suoh oftit.

2.6 PerpetualExisteuce.AssetforthintheArticlesofOrgatlizvatitlnofflielslacztheLLc
shallhaveperpetualexistence,untiltlw LLC isterminatcd ordissolved in accordancewith tllis
Agreement.'l''
heexistenceoftlleLLC shallcommenoeasoftheeffecivedateofthisAgreement,
SEPTEM BER 28,1998.
.

2.7 Pu oseand BusinessoftheLLC.Thepurposeand businessoftheLLC shallbeto

dtvelop,patentdstribute,licenseandexploitin anymsnnerandon aworldwidebasistimtcertain

soiwarecompmssionteclmologyownedbytheLLCttlm f'Teclluolomrf')alldtoticatkceazfyand
a1loftiw foregoingactivities(oollectively,the''Busiaess''l.TheLLC mayconductorengagein
any othor lawful activitios which $h LLC dttms is neccssmy,iucidentalto er desirable in
cotmection witllthc Businessofthc LLC.

2.8 No IndividualAuthoritvofa M emberorCemmittee M em ber. No M emberor

CommittooM rmbor,acting alonearw1t.
11theM anager,anyotherCommitteeM ember,o/ ceror
othernon-managerM ember,shallhavetlzeauthorityto actfor,orto lmdertakeorassume,any
obligationzdebt,duty orrespnnsibitity onbehalfoftheLLC.
'

2.9 TitletoPm oertvt

'tttheNamepftheLLC.AI1Propertyownedby theLLC shallbe
lxld and owned and mm veyame made in the name ofthe LLC. A1lagreoments,douments,
ctd tkatesmtd otherinstrumeatsprovidingfQrtheacquisition orotherdispositionofPropertyof
theLLC shallbevalidandbindinguponit,exceptasot:erwiseprovidedherein,ifapprovedbythe
M anagem entCom mitt- and executed by thePresidentoftbe LLC msprovidd forhercizu

2.10 M histtnanceoff-ompanvM-inutvBok'
.RgcordKeepix DnEes.r
fheManater
@ theSecretam ifoneisappointedbytheMmmgementCommittee)shallkeepaudmaintainor
causetobekeptand rnnintainedacompanyminutebook toincludetheArticlesofOrganizationof

IeLLCandthisAgreementvandanyamcndmentsthereto,andmintltesofallmeetings(orcoasehts
ialieuofmeotings)oftlzeMmzagemontCommitteejwrittenconsentsoftlw McmH s,andother
importantdocum entsofthcLLC.

im r.
rA 'T**Y*RAAWA'C

OPERA'
IINOAGREEMENT-Pagc9

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ARTICLE 3
M EM BERS AND CA PITAL CONTRIBUTIONS

3.1

Nam es,AddressesandclassesQftheM embers.Thecompletenames,addressesaad

dassesoftheM embelsoftheLLC aresetforth on EXIHBIT A attachedherdo azldm adeapartof

thisAgrecmcnt,wllichcxhibitmaybeamendedotmodified fx m timetottm e.
3.2 M em berCapitalContributlous.AllcapitalContributionsoftheM em bersshallbe
setforth on EXH IBIT A attached hereto and m adea partofthisAgreem ent,w hich exhibitmay be
amendedormodifiedom timetotime.TheM embers'CapitalContributionsshallbeinexchange
forUnitsiatheLLC assetforth orlEM IIBIT A attachedhereto.

3.3

Pavm enfTerm safCapitalCoatributious. IfaM emberfailsto make a Capital

Ceontribution witltin thirty (30)daysafterwritten requestbytheManagerto do so,theathat

M mnber'seatire M embership InterestshalltenninateandthatM embershallifldem nify andholdtlw

LLC and alIoftlleotherM embersharmlessfrom anyloss,costorexperuse,including reasonble

attom eys'feesand costs,calzsed bythefailuretomakesuch CapitatContdbution.
3.4

Ad-d
.itjapxl Capital Contribution or Loans te the LLC . A dditional Capital

Contribuionsfrom theClassA M embersmaybecalled forfrom timetotimeby theM aaagemm t

CommitteeuponwritennoticetotheClassA Memberst111e'AdditionalCapihlConfzibutionsn)
tocnabletheLLC toconductitsBusiness.n ewtittennoticetotlleClmssA M embvrsshallsetforth
the am ountofAdditionalCapitalContributions needed,the dateby whioh the Class A M embers

shallcoatrihute,whichdateshallnotbesoonerthanten(10)daysefreceiptofsuchnotice.Each

ClassA MembershallberequiredtomakesuchAdditionalCapitalContributimsingroportionto

theitPercentage Interestin t
lm LLC.No M embermayvoluntarily makeany AddittonalCapiul
Contributiomsand shallnotbc requird orperrnittod to m ake any rnnk'
e any loan or cause to Ix
loaned any monry orotherassdstothe LLC.

3.5

ltizltt-s-m th Respectto Capital.

3.5.1 LLC Capital. No M tmbtrshallhavethelightto withdraw orreceivqauy

renlrn ofitsCapitalContdbuken,and no CapitalCtmtibution may be retum ed hlthc form of
Propertyotherthan omsk cxooptasspecifcallyprovidedherein.

3.5.
2 Nah terestnn CapitalColltributions.Exceptasexpresslyprovidedforin
thisAgreementznoCaptalContributionofanyM cmbershallbe,aranyinterestorotllervvbetntttle
theoonttibntingM embertoatzycompemsationfortlseofthecontzibuted capitl.

'

3.5.3 EstablishmentofCanitalAcctmts. A separattCapitalAcoomltshatlte

em blishedandmaintahwdforoaohM rmbor,Forrecordkeepingpurm sos,eeac,hM embepsCapital

Accotmtwillbeseparatedintoaoontribuoonaccotmtandaninoomc(loss)accounta1)4willbe
.

maintaincd ao rding to generally acccpte,d accounting principlcs. Seodons3.6 aud 3.7 bdow
desolibetheappropriateaccolmtingtreatmeatfortax purposesoftlr CapitlAccolmts.

r-

Nl
'
z
,m

l.s

OPEM 'IRNGAGREEX NT-Pag:1

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3.5..4 N()Pa.ymeatofSalariesorDraws.NoM embershallreceiveorI

>eeatftled
torreiveanypaymentofsalariesordrawswithrespecttoitsCapiti Centribution orthebalance
i:litsCapitalAccotmtorforserdoesreudered on behalfoffhe LLC orotherwiseitlitscapacity as
aM emberoftlleLLC,except&$expresslyprovided forin thisA greem eat.
'

3.6

G ener
-alRulesfor Determ iaitte CapitalAccounts. 'l'he CapitalAccolm tof eaach

Mom bershallbedeterrninedasfollows:
3.6.1 Increases.'fheCapitalAccountofaM embor5ha1lbeirtcreasedby;
3.6,!.lSuch Member'scmshoontributions;

3.6.1.2TheG ossAssetValueofpmpertycontributedbysltchMember(net
ofliabilities sectlred by such oontributed property thattht LLC is considered t assum e or take

subjectteImderCgdesection 75.
2):
3.6.1.3A11liabilitiesoftheLLC assumedby suoh M em ber,exoluging those
provided forin Section 3.6.2.2 below ;and
3.6.1.4 A llNd profit.
softIw LLC allooatedtosuchM em btrp= uu tteArtiole
4 orotheritemsin the natureofincomeorgainspecially alloeated herelmder,aad ia each case,

appropriatclyadjlzstedtotakriIINIaccolmtbookandtaxdifferences.
3.6.2 Decresses.TheCapitalAccolmtofaM embershattbedecreasedby:
3.6.2.1Theamoulltofcashdlstributedtosuch M ember;
3.6.2.2 n e Gross AssetValue ofallactual and deemed distributioms of

property madeto such M emberpmsuantto thisAgrrtment(nd Qfliabilitiessmuredby such

distrilmtedpropertytbattheMemberiscoasideredtoassumeortakesubjecttckunderCodesection
752);
3.6.2.3A.
l1liabilitiesoftheM embermssumed by thcLLC,t'xcludingthose
providedforinSectien 3.6.1.2 above;and
3.6.2.4 Al1NetLosses ofthe LLC allocatcd to suoh M omber pulsuaatto
Arucle4orotheritel sinthenatum cflossordeduction speciallyallocatedhereunder,andineeach

case,appropriatelyadjustqdtotakehltoaccountbel)karldtaxdiFerences.
3.7

SpecialRulesW itllRe:pectt.CapitalAccetm ta.

3.7.1 TimeofAdiustmentforCam'talContribations.Forpurposeaofcomputing
tlzebalancein aM em- r':CayitalAccolmt,no creditslullbegiven foraay CapitalCtmtribue n

which such H emberisto make UI)SJI such contribution isacmally m ade. Fozpurpose:oftitis
Ag xmentzthesenn ''G pitalCnntribution''memlsthtlotalmnountofcash aad/orthe Gross

m'r zr '**''''-

OPERATYGAGARRMENT.PM:
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LLC bythatMemberartdanysubsequeatcontributionsofcaasltand/ortheGrossAssctValue(net
ofliabilities)ofanyotherpropertysubsequentlycontributedorobligate,
dtobecoutributedtothe
LLC by lhatM ember,includingAdditionalCapitalContributiorts.
3.7.2 InteattoComplvW lth-rreasun Reeulationp.Theforegoingproyisiousof

Sedions3.5and3.6aadth0othczprovision.
softhisAgjeementrelatingtotheznaintenanc,eof
Capital Accouats are intended to comply w1t11Rcgtllatlons Sectioa 1.704-1(b)jand shall be
intrrpmted atldappliedinamanne:consistentwith suoh RegulationsSection.To theexteatsuch
pmvisiorusarcinconsistentwithsuchRegulatiorlsSectien erareincompletc 81t.
11respectthereto,
CapitalAccotmtsshallbem aintained in accordaacewith such RogulationsSection.
3.# 'rransferee's CapitalA ccount. In t
lm vent a M em bcr transfcrs azlIntercst in
accordance with the term softhisAgreem entvf
lm trausfcreeM em bershallsuoceed to theCapital
AccountofthetransferorM embertotheexteatitrelatestothetransfen'edInterest.In theeventof

atransferby aM emberorbyaholdecofan EcotmmicJnterestotetransfereeslla.

llnotucceedto
any portionoftheCapitalAccotmtofthetransferorMemberorholderofanEconomicIateTest.
3.9 Limihtionson Iuiabilitx andOblieatioasoftheM embersand M angen.Exccpt
foraM cmber'sliabilitytotheLLC foritsCapitalContributioasmadeoragreedtobemade,orfor
any liability mising aftera M emberhastightfully teceived aretum ofeapitalpttrsuantto NRS

Section86.391,aadtherightst)fjudgmentcreditorstochargeaMember'sBconomicInterestfor
cettainunsaisliedjudgmentsofaMembetpursuattttoNRSSecion86.401,andmtlessotherwise
providtd forin mlagreemcntsigm d by 4 Member,the M atmger0:Cvmmittee M emberto l)e

'

charged,noMembor,ManagerorCommittoeMembershallbeindividuallyltabletmderajudgment,
decreeorerderofceurt,ori:tanyothermazmer,forany debtoollligation Q:liabilityoftheLLC
whetherernotthatliabilityorobligationm'isesinoontraotortort.NoM embetshallberequkedto
loanaoyftmdstotheLLC,exoeptasprovidedforinthisAgreement.NoM embershaltberequired
tomakeaaycontrilmtiontotheLLC byreasonofanyncgauvebalanoeinhisCapitalAcootmt,nr
shallmly negativebalanorin aM ember'sCapihlAocetmtcreateany liability Qntllepartofthe
M ombortoany tltirdparty. '
3.10 N eR e-snfm sl
'biliw ortziabiliw forpre-Fbrm ation Com m itm entq.Intlm cvtntany

Member(QranystlchMember'sshareholdtrs,patmersnrAY liate'
s)llasilwurredaayindebtqdnoss
orobligationpriortotl!ecommencementoftheexistelv oftlm LLC thatrelated teorQtherwise

effectsteLLC,neithertheLLC noranyothyrhlemhrshallhaveanyresponsibilityorliabilityfnr,
orwithrespecttosuchindebtednessorobligation,unleessasstqnedbyZ eLLC pttrstmnttoawritten
'nlrtnlrneutduly sigm dbyallM tmbers.
l
ARTIKI,E 4

ALLOCAH ON OF NET PROFITSANP NET LOSSE:

..

. .

. .-

4.1 M location ofNetPrnfits and NetLosses. Exccptasetherwise providvd in tkis

M ide4,Nd ProftsaadNctIaosstsoftheLLC inachFisoalYrarshallbeallocatedamongtlm
M embersa5x
setfl.
tlzinSections4.1.1and4.1.2below.
. ..-. . -.. - -- .- -

th
ilxllr k*eth'M'ABc

OPERATINGAGREEMENI-Pag:e'1
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4.l.1 NetPrflfita. N etProtits+ a1lbeallocated am ong the M em bersasfollows:

4.l.1.1First, Net Prol'
if.s shall bo ailocated am ong the M em bevs in ttm

pfoportioninwhiohtheM emberssharedintheNetLossestmtilanamotmtofctunulativeNetProtks
hasbeenallocatedequaltothetotalofcumlllativeNetLossespreviouslyallocatedtotbeMemhers.
4.1.1.2 Sectmd,an amountofN etprofitsequaltotheaggregatepriority Retm n
which ilasnotbeen previolksly allocated to the ClassA M embersentitled to a Priority Retum

pursu'
m ttethisSrction4,1.1,2shallbeallocatei prorata,totheClassA Membersin accordaace
witlltheirrvspectivcPercentagoInterests.
4.1.1.3 'Ihird,aa am ountofNetProtitsequaltothe aggregatePriorityRettun
which has notbcen previotlsly allocated to the Class B M em bers entitled to a Priority Return
pursu'
m tto thisSeotion 4.l.1.3 shallbeallocated,proratartothc ClassB M em bersin accordance
'
with theirresm otivePtroentagehtcrests.

4.1.1.4'rherm lter,NetProfts shallbe allooated among the M embers in

accordance with theirrespecve Percentage Interests.

4.1.
2 NetLesses.Exceptasotherwiseprovided inthtsArticle4,NetLossesshall
beallocatedamongtheM embersa$fotlows:
4.1.2.1First,Net Losses shallbe allocate,d among the M embers itlthe
proportioninwhichtlw M emberssharedintlzeNetProtitsuntilanamotmtofcmnulativeNctlwosses
hasbeen allocate,d equaltothetotalcum ulativeN ttProftsprcviously allocated to the M embers.
4.1.2.2 Secomlypro ratav to FCP/LP and FREM ON T TRU ST,as Class A
M emben,inproportiontotheirpositivebalanoes,ifany,intimhresm cttveCapitalAcacotmts,un'tit
FCP/LP'SandFREM ON T'IRUST'SCeapitalAccouatbdancesarereduce,d to zero.

4.1.2.3Third!to M ONTOOM ERY TRUST,as a Cla,

;s A M ember, in
propore ntotllepositivebalance,lfmm inhisCapitalAccolmt,1111t11M ONTOOM BRY TRUST,S

CapitalAccoutltbatanc,eisreducedtozero.

4.1.2.4Follrth,NetLosses silnllbe allocated to tho Clmss B M embers in

propcd ontotllem sitiv:balances,ifaay,intheM tmbeD'respectiveCapitalAccolmts,utltilsuch

balancesare reducod to a ro.

4.1.2.5Thereattcr,NctEossesshallboallooatedtotheM emV rsinproportion

titlmposxvebalances,ifany,hlthM mbc 'resm otiveCapitajAccotmts,lmtilsuchbalancesare
reduced to zero.

'
I'
heM embersintrndtitattheallocae nsprovide,d forin thisSection4.1shallresultinthepare s
.. .

obtninlngdistzibutiolksoverteltfeftheLLC(mcludinguponliquitlation)whichwillbeidentical
totlmseprovidd forinSsctipn 5.2hereofiandwillalw rcstlltintheparties'adjpgcp Cypj!!l
.

m m mqh*e R'z'f

OPERATmGAGREEMENT.Pa> 13
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= '

..w e

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Account balances upon liquidatign bcing i.

:l proportion to those rtccessmy to achieve sucll
distributionsweretheLLC to makefm alliquidatingdistributionstothcM em bersiaaccordanoewith

theizrelativeadjustedpositiveCapitaiAccotmtbaiauces.Accordingiy,totheexlem necessaryto
ensure thatthe allocations provided fo:in tllisAtticle 4 resultin distributionsoverthe Iife ofthe
LLC which areidenticaltothoseprovidedforinSeotion 5.2hereof,theM anagershallmakesuch

adjustmentstotheallocaon.
spfvidedfcrinArticle4asarereasonablynecessa!y toachievethe

'

foregoing result.
4.2 ResidualAllocadlns.Excepta.
sotherwiseprovidedin thisAgreement,a1litemsof
LLC ineome,gain,loss,deduction,andany Qtlteratlocationsnototherwiseprovided forshallbe
divided between theM embersinthesamepropo onsastheyshnreNetProfitsorNetLosses,as
thecase m ay be,forthe FiscalYear.

4.3 Oaalified IncomeOffset.IfanyMemberunexpectediyrectivesanyadjtlstments,

allocatioas or distributions described in clattses (4), (5) or (6) of Regulations Sfmtion
l.704-1@)(2)(iiXd),itemsofLLCincomeshallbespeciallyallocatedtosuchMemberina!zmnount
and manner suflkientto eliminate the Adjustcd CapitalAGoeurttDefidtcroated t?y w ch
adjustmeats,allocatioasordistributionsasquicklyaspossible.TtdsSecton 4.3 jsintendedto
constittzte a ''pualified incom r offset' Mithin tlle meaning of Regulatior.s Section

1.704-1m)(2)(ii)(d)(3).
'

4.4 M himum Gs'

mC-barzeha
-ck.IftherelsanetdecreaseinlicM inim tunfiaindming
aFiscalYear,eachM mberw'
ttlbeatlocated,beforeanyotherallocationunderthisArtolo4,items

ofiacomeaudgainforsuchFiscalYeartaadifnecessary,subsequentyears)inproporliontoand
totheextrntofanamountequaltosuchMember'
sshareofthenetdecreaseirlLLC M inimum Ciain

'

determlneditlacoordanc.eO t.
IIRegulatioasSectionl.704-2(g)(2).ThisSection4.4isinteadedto
comply with,andshallbeinterpreted consistentlywith,the'9
m'
m'
m)um gain chazzeback''provisions

ofReguladonsSoction1.704-2(1).
4.5 M tmberNanrec:urseDebtM inhuum Gain Charzeback Netwithstu
anding any
otherprovision ofthis Article4,butexceptSection 4.4,ifthere isa netdecrease in M ember
NonreoourseDebtM inirntmzGain attzibutabltto aM emborNom'
ecourseDebtduring azky Fiscal
YearofteLLP,eachM embcrwhohasasham oftheM emberNonrecolux DrbtM inirntlm oain

aM buhbletsuchM a berNort r eDebtdg/e nz z aco rdu c u i T

Rtgulations

Soction1.704-2(i)(5),shallbesmciallyallooatvditemsofLLCincomeandgainforsuohyeartand,
ifnecessary,subsequentyearslin pzlamountm ualsuchMemberdsshareofthtnetdecreasein
MemberNonrecourse DebtM inimum Cxaktattributable to such M ember Nonreoourse Debt,

determiledin accordancmw1t1:Regulae nsSection 1.704Q(i)(4). Allocationspttrsuanttothe

previousseatenceshallbomadeinproportiontotlzerespxtiveanwuatsrequb.
e,dtobealiocatedto

eachM emberpursuantthereto.n eitemstobesoaltoatedsballbedetmnedinaccordancewith

RogulationsSectjon 1.704-2(i)(4).ThisSectitm 4.5i:intenddtocomplywitlzamT

'nl
'm= gain

chargebackrequirementoftbatSedionoftheRegulae asatldshallbeinterpreted(
%
7.nsistcntly
therewith.

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4.6

'$.- w

M em berNonrec
-p-qrseDeductiens. Any M em berNonrecourseD eductiousforany

FiscalYearorotherperiod shallbespeciallyallocatedtotheM emberwhobears(orisdeemedto .

bear)theeconomicriskoflosswitlzrespecttotheMemberl
kburecottrseDebttowhichsuchMember
NonrecourseDeduotionsareattributableinaccordanceu4thRegtllatiensSection I.704-2(i)(2).
4.7 SpecialA llocations. Any specialallocationsOfitemsofNetProfitspmsuantto
Sectiorts4.4,4.5 and4.6 shallbetaken into accountincomputing subsequentallocaonsofNet
Prostspursuantto Section 4.1,so thatthe netamountofany item sso allocated and the gain,loss
andallyotheritem allocatedtoeachM emberpurslmnttoSection 4.1shall,totheextentpossible,
1>e equalttlthe netamounttlm!would have bean ilocated $o each such M emberplusuantto the
provisionsofthisArticle4 ifsuhspecialallocatiorushadnotoccurred.
.

4.2 Ftt!tflM tmbersorAfliliptts.Notwithstandingtlw provisionsofSrdion4.1,inthe

eventthatanyfees,hterest,orotlmramotmt-spaidtoanyM emberoranyAfftliatethereefpttw 'nnt
to thisAgreemetltorany etlxragreementbetwcentheLLC and anyM emberorAfliliatethereof
pmviding forthepaymeatofsuch amotmt,anddeductedby theLLC inreliancc on Codesectin

'

'

707(a)and/orCodesection707(c),aredisallowedasdedutionstotheLLC onits'foderalincome
tax retum and are treated asLLC distzibutioas,tllen:

4.8.1 '
IheNetProtitsorNetLosses,mstheoasemaybe,fortheFiscalYeariawhich
suchfees,interestrorotlwramourltswerepaidshalibcfncreasodordecreascd,asfecasemay 1 ,
bytlm mountofsuch fees,interest,orotheramotmtsthataretreatedasLLC distributions;and

4.8.2 ThereshallbeallocatedtotheM embertowhich(ortowhoseAoliate)such

fees,interestorot:eramolmtswtrepaidvpriortotlw allocatiensputsuanttoSecion4.l,anamount
ofgrossincomefortheFiscalYearequaltothoaalolmtofsuchfees,interest,()rotheramountsthat
aretreated asLLC distributions.

4.9

Sech-lm 7o4.fclAllocatiom M yitem ofincome,gain,loss,anddeductjnnwithrespect

toanypropezty(otherthancash)thatimsbeenconeibutedbyaMtmbtrttlthecapitaloftlw LLC
aod which isrequired orpernzitled tobeallocatedtosuohM emberforincometaxpluposesunder

codesedion704(c)soastotakeinoaocounttlm variationbetweenthetaxbasisofsuchproperty
and itsGrossAssd Valueattlw timtofitscontritution shallbeallecatdtosulzM embTrsolely
forincometaxpupesesinthemannersorequh'
edorpennitted.InheeventtheOrossAssd valu.
e
'

ofanyoftlzeIaLC'SPropertyisadjustedinaccordancewithSectioa1.12.2,subsequen.
tallocations
ofincome,gain,loss and dtductinn w1t.
11respectto such Property shalltake into accountany

variationbem etntheadjustcdbasisofsuchPropertyforfcderalincomefaxpurposesand2f:Gross
M setValue itlthc same mannerasundersection 704(0)and the Regtllatiom promulgated
tlwmlmder. Any mledioasorotherdecisionsrtlating to sullallocationsshallbe madt in any
mannerthatre onablyreflectsl eputposeandinteationofthisAgreement Totlieextentpermitted

byRegulationsSectionl.704-1@ (4Xi),a11itemsofinooms,gain,lssanddeductionforfederaland
statetaxpurposesAbn11beallocatedinaccordanoewiththeconespondingbook itetns.

ior.zr ''**''''''-

OPERA'
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Y.- -

ARTICLE 5
DISTRIBW IONS OF AVM LABLE CASH FLOW

5.l

Distributinlu f)fAvag
'ableCashFlew. SubjtcttoSection5.3below,diszbutions

from theLLC totheM embersshalibemadefrom tzw totimetothecxtentofAvailableCashFlow

as detennined by the M anagem ent Comm ittee. Prior to the detcrm ination of tlw am ount of
distributioas,provigionsshallbe madefrallkrmwn remsonableobligationsarld liabilitiesoftllt

LLC,whetherornotsuchobtkatiol'isaadliabilitiesaredueorcone jentaexaptthatprovisionneed
notbemadeforanyportionofatlyLLC fmaccing,theaml
m tofwhchcanbereasonablyexpected
to besatisfed from theproceedsofthesaleofthethenremainingProperty oftheLLC.

5.2

Priorit'vaudM annerofDistributionstoM embers.SubjecttoSection5.3below,

alldistributicnsofAvailableCash Flow shallbemadetotheM em bersin thefollow na priority aad

rnr1nnef:

5.2.1 First,pro rata,to the ClassA M embers in accordance with theirrespecive

PercentageIntereststmtiltheyhavereceivedaaamountequaltotlleirtmdistributedPliorityRettml
accnledthrough the date ofs'uch dlstribution.

5.2.2 Sx ond,prerata,totheClassB M embexsin accordancew1t.

11tlteirrespective
PeroenhgcIntemstsuntiltlteyhavereceivedanamolmtequattotlleirtmdistributedPriorityRetum
acca edtbrough thedateofsuch distribution.
5.2.3 Third,prorat.w tothe ClassA M embersinaccordanceV t.
IItheirrespedive
Porcentage Interests until thcy have received au aggregate amouut equal to their Capital
Conttibutionsto theLLC.
5.2.4 Fourth,pro rata,to the Class3 M em bersin accordance wit.
lltbeirrespective
Pmcenuge Interests tmtil they have received an aggregatc amotmt equal to their Capital
Contributionsto tlle LLC.

5.2.5 n ereaftm',pro rata,to thc M embtrs in accordance with their respective

PerceatageInterests.

5.3

TaxDistn'butions.Excm tasothenvisemaybtprohibitedbyav agreementsbetweea

tbe LLC and itslenders,within ninety(90)daysaftertheconclusion ofmaoh FiscalYear,fhe

M anagmmmntCommitteeslualldetermintandprovidewrittennoc,
etotlleM embersoftheamouht

'

ltlleG'raxLiabilitvSbertfallAmeunt''),ifany,bywhich(a)theagrgrtratftd.
m'alandstatetax
liability(ifarlylinourre,dby tlm Membersm'tlzrespoctto1h>nd inoomeofteLLC forsuch
precedingFiscalYear(whichtax liabilityshallbedoterminedbyapplyingthehighesteFeotive
individuatt'tx ratestben in effec'
tfortheFiscalYearin queaion),excee,
ds@)teagpegate
distributionsofDistributableCmshmadebytheLLcwitijrespedtosuchFisc.
alYeartincluiagany
dtstrilmuoasmadetot:eMemberswitlzrespem tothefinslflscalquarterofsuchFiscalY= ).'
l'tr
M anagementCommlttee shalluse allreasonable esbrtsto causethe LLC to distributetle TM

LiabilityShortfallAmounttotim Membersinthetimeandmannerrequiredhereundr,ipltsgl
'g,
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x. .

w .

butn'otlimitedto,botrowiag onbehalfoftheLLC sufficientfl

m dstoeuabletlleLLC to (iistribute
such Tax Liability ShortfallAm ouat.Eachsuchdistribution shallbe m adeto tizeM embersassoon

aspracticabloaftersuchfundsazeavailable.Itistheobjeotiveoftlw MembersthatwhiletheTax
Liabllity ShortfaliAmolmtwilllx determinedattlleendofeachFiscalYear,totheextentpossthle

andsubjeottotlleforegoing,distributionswilll)emadeinrespectthereofon aquarterlybasisto
facilitatetkeM embers'abilitytomakequarterly estimated taxpaymentswithrespectto theirnet
income from the LLC. Distribue asm adepursuantto this Section 5.3 shallbe taken inte account
inconnection Brithany subsequentdistributionstmdersections5.1an.
d 5.2 abovcse that,totlw
extentpossible,tlleM embersshallobtain distributionsinthesameorderandpricdtytheywoltld
have obtained ifthis Section 5.3 were notin this Agreement.A ttlm end ofeach FiscalYzar ms

contemplatedabove,tinaladjustznentsshallbemadetoretlecttlleacmalresula ofsuchFiscalYear.
M W ICLE 6
M ANA GEM ENT O F TllE LLC

'

6.1 M anaeementoftheLLC. SubjecttotheprovisionsoftheNILS,theArticlesof

Organizationandtoalzylimitatiomssetfort.
hinthisAgrcemnt(asmaybamendedfrom timeto
time)relatingtoactiorisrequiredtobeapprovrdbytheMembers,theBusinessandafrairsofthe
LLC shallbe m anaged,and allCompany powersshallbeve-sted in the M anagem entCornm itteo.

Thedayte-dayopmationsoftheLLC shallbeimplrmentedbyone(9 M aaagerdesignatedor

appohtted ptlrsuantto Section 6.1.1below,who shallad asthePresidentoftheLLC and shil

conducttheBusinessiuaooordancowitb.andsubjed tothepolicies,procedures,decsionsand
diredivos oftheM anagem entComtaittee.

6.1.1 Desitttatilhq4f''M asaaer''-'rheM anageroftbeLt,C SV IbeDOUGLASJ.

1 FRYE,an individual,orhisstlccesgorasappointed by the M nnngementComm ittee purstmntto
Stction6.1.2below.
6.1.2 Electibn nfSueces
xsprM anae
-er.uponieM r age/sresignadonom o/ ce

otremovalfrom ofEcebytlleMatmgementCommittee,asuocessor
theM anagementCommlttee.

ershnlll)eappoimedby

6.1.3 SubordinateOfficen.'l'heM auagementCnmmitteem ay,initsdiscretiox

appoiatasecretam achiefGnancialofticer,aclziGfttolmology oK cer,and suchottwroK oersof

theLLC astheBusinessoftlleLLC may require,tach ofwlmm shallholdo ceforsuchperiod,
havesuchauthorityM dpe oa w chduirsa prodde forK sAgreementoru theM anagement
Commltte.
emaydetenninefrom timetotime.

The Committce M embers,as evidenced by theiracknowleedgment to this

AgreementmherebyappointDElqhrls M ONTGOM ERY to theoK oeofChiefTechnolor O cer
to hold om oe untilhisresignaoon,removalor otherdsqualifcaation from service,orundlhis
successor hnK been duly appointed by the M nnngcm ent Cornrnittee in accordanc w1t11 this
A pm ment.

jm yje
jr - -wAzc

opgjux gcAG

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6.l.4 M attaaemeutCommittee.TheMalmgementCommitteeshallconsistofthree

(3)CommitleeM embers.EacboftfleClassA Mcmbers,soIongastlzeyareM embers,shallappont

one(l)CoramitteeM embef. Each ClassA M embermay appointoneormorealternatesforGe
Comm itlee M em bers appointed by it An alternate shallhave allthe pow ers ofthe Conunitlee
M em berin hisabseace orinability to selve.EacltCnm mittee M em berm ay vote by delivering his
prc?xy tclanotherComntitteeM ember.Fxach Cl.
'
BsA M embershallhavethepowcrto removeany
CommittceM emberappohtedbyitbydeliveringwtittennoticeofsuchremovaltosuohCommittee
M emberandtotheotherCommitteeMembers.Vacmwiesonth=M anagementConunitteeshallbe
ftlled by the Class A M emberwho appointed the Cornmitlte M emberpreviotlsly holding the
posie nwhich isthenvacald.
TheClassA M embersexccutingthisA grecm eathem by appointthosepersons
setforthoppositetheirrespectivenamebelow astheirdesigtmtedCommitteeM emberto semeon
tlle M anagcm entCom m itlee ofthe Com pany,each ofwhom shallserve attht plcastlrt ofthe
respectiveappoiatiagM emberR dshallholdtheirrespecqvenffkesuattltheirresignaion,removal
orotlzo'
rdisqualilication from servie,orlmtiltheirrespectivesucmessorshavobeea duly appointed
inaccordancewiththisAgreementl

NameofAppointhlg
ClassA M ember
--

Appninted
ComtnitteeM ember

Frieadiy CapitalPartaers,L.P.

DouglasJ,Fv e

'
lnhcFremoutTrust
D enaisM oatgomery

W an'
eaTrepp
DenniKM onlgom ery

6.1.5 M anaeementcemmideechalrman.TlwM anagementcomrnitteeshallhave

achnirman ttbef'Chairman'') who shallbeoneoftheCmtnitteeMembersdesignatedby a

majerity ofthe CommitteeMembers. 'IheChairman iaYally slmllbeWARRIEN TREPP,ari
individual,orhis successormsappointed by the M anagem entCom m ittee in accordahce witilllis

Section6.1.5.TheChnirmanshall(i)presideatMatmgementCommitteemeetings;(ii)havethe
autlmritytocxecuteanddoltveronbehatfofandinthenameoftheELC mlyageements,oenfzaets,
notcs, m ortgages, ovideace of iadebtedness, certificatew slatem onts, conveyanoes or otller

insmzmentsinwritiag,andanyusignmentorendorsementtllereof;and(iii)exercisesuchrkhtsor
pedblm such dutiesasareotherwiseprovidedinthisAgt
w uhentorasmaybeapprvedfrom time
to time by the M anagementCommittee. 'Ilz Chnirmaa maycd y beremoved from oftke by a

majrityoftlteCommitteeMembem.InthttventtheChainnahresignsorisremovtd,amajorit)r
oftheCornmitteeM embersshallelectareplaccmentChalrman.
6.1.6 Deleeatioa nfPowers and Dutiea. 'Ilm M anagementConunittee lhay by
written resolufon fzom meto time delegate any ofitspowrsto tl:e M anager,the Chsirrnanv
om cers,employeesofaM tmbez,vztoanyotherPorson.Sucdelegation ofpowersxna'
yirmlude,
butnotbelhnitcdto,tlw atlthoritytoexeecuteanddeliveronbelmlfofandi!ltlw namooftheLLC
any agreements,contracts,noteszmortgages,evidence ofimdebtedness,certiscates,statemcnt
z,

convcyancesorothtrins% mentsinwriting,andanyaszigmnentorendcDementthereotl

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6.1.7 M anaflem entCom m itteeM eetines.

6.i.7.iThelvianagementCommitleesilailmeetatItmstoaceeachquazterin

InclineVillagc,Nevadw orsuchothertimesorplacesastheChairmanshalldetermiae(tmlesssuch

mectingshallbewaivedbyallCornmittreMembers)or(m tllecalloftheChairmanortheManager.
Suohmectingsshaltbecalteduponatleastten(10)dayspriorwrittennotice,exceptinthecaseof
an em ergency,in which eventsuch a meeting may be called upon prior noticc ms the Chairm an

deemsappropriate,butinnoeventlessthanforty-eight(42)hours.Anagendaforeaohmeding
shallbepreparedinadvmwebytheChairmanortheM anager,asthecasemaybe,andchvulatedto

theCommitteeM embers. ApprovaloftheManagementCommitteeshallrequireamajorityirl

numberoftheCommitteeMembers.TheManagementCommitteemayactwithoutameetingif(i)
theactiontakenisapprovedinwritingbythenumberofCornmitteeM embcrsnecessarytotakesuch

action,and(ii)writlennoticeofsuchactionisgiventotlw CommitteeMemberswhodidnotprovide
suchwrittcaconsent.W rittenmiautes()fallmeetingsshallbemaintainred.artdtheminutesforeach
mcetingshallbeapprovedatasubsequentmodingofthoM anagvmentCommittec.
6.1.7.2n eM u% ementc e ux > yadopte teverM csandprocedums
relatingtoitsactivitiesasitmaydeem appropriate,proddedfhatsuohm lesandproctduresshallnot
beinclmsistentw1f.
11orviolatetheprvksionsofthisAgreement,andprovidedthatsuch rulesand
repzlations shallperm itm eetings by telephone,vidoo conferencirtg orthe like,and shallpermlt

ConzmitteeMemberstoparticipateinmeetinggbytelephoneorvideo conferenceorthelikeorby
w rit
'tcn proxy,and such participation shalllye deem ed attehdancc for purposes of doterm ining
w hetlwra quorum ispresent.
6.1.8 LiabilitvforCertinActa.TheM snagerandtheComml
'tteeM emthersshall
perform theirm anagorialdutiesin good faitlz,in am azmertheyreasonably believeto beintbebe-st
interestsoftheLLC,andwith suchcm'easanordinarilyprudtntpersoninalikepositionwoulduse
lmdvrsimilarcircumstances. A ManagerotComm itteeM emberw'
ho so performsthe dutiesof
M anagerorCom mitteeM ember shallnothave any liability by remson ofbeing orhaving been a
M armgerorCornmittceM emberoftheLLC.A M mlagerorCmmitteeM embershaltnotbeliable
to theLLC orto any M emberforany lossordamagesueninedby tile Company orany Member,
tuuess the loss ordam age shallhave been the resultof fraud,dooeit p'
oss negligence,willftzl
miscondutzbreaoh ofa iduciary duts orawrngfttlfnta'rtg by the M anagerorthe respective
CommitteeM ember.Neithertlm M anngt'rnortheM auagementCommitteeshallbeliablrforany
lossordnrnagetotlloCompany cattsodbyskikes,hbortroubles,riot,flres,explosions,toraadoes,

floods,actqofapublicenemy,insurrectipns,actsofGod,failm etocarryouttheprovisionsherO f
dueto provisionsoflaw ormleserIcgulationspromulgatedby any goven= entalagency orany
otlwrdemand orrequisie n ofanygovmnment,orfrom any otheroausebeyondtheoontroloftll
M anagerortheM anagementCornml
ettee.
6.2 Powersv.Dutjes and Respom ibilities of jke M anagem ent Com m ittee. The
M anagemntCornmittoe sllallhav; all of tlw tights,dlzties and powers as spec ed in this

Agreement,incltldingwitlmutlirniue n,thegeneralm wet'sanddudesofmamqgementtypically

vestedintheboardofdircctot'
san.
dtheofliceofachiefexecutiveofficerofacorporation.M atters
mquiring th: approval ef the M anagement Cornmittef shall hclude, without limiutionvthe
followihg:

Z=

MC

opm '
f'
fh:GAGREEMENT.page19

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6.2.1 Nleauthozizatitm,negosaNon,executionanddcliveryonbehalfc'fthelzt.
c of
anyand allcontractsoragreements,verbalorNvritten,havingaoontrad valueofobligationamolmt

..

iu excessofFifty ThousandDoltazs($50,000.00),whichazonecessazy orappropriate rorthe

developmentorexpleitationofthe Tecbzmlogy ora.
0in farteranceoftheBtusinessoftlleLLC,

inciuding,butuotlimitedto,butexpfesstysubjecttotlw limitationsrequiliagMemberapproval
pursuatktto Seqtion6.4.4hereof,contractsoragreementsbetweentlleLLC and/oritsAffiliatmsor

any otkerPersoa teprovidcthe LLC with goedsorservicesofany kind in which theLLC orits
M anagermay havean actualorpoterttialcnflictofhlterest,and including any amendmontsor
moditicationsthereto,orrenewalsortennkmtionsthereof

6.2.
2 'Iheapproval,cxtoutiQnmdeliveryandperformanceonbehalfofOLLC ofthe
M ontgomeryTrustConttibuon Agmcmeut,andamenthnentsormoditkatioasthereto.

6.2.3 Tileapprovalofdetailediine-item budgetsfortheoperationofIeLLC andifs

Btlsiness nr fflr the developmentor exploitation of the Technotogy, and any amorjdments,

moditications,suppzementsormnewalsthereto.Each such budget(andanyamendmentsthereto

9om timetotime),alterapprovalbytheManagementCeomrnittee,shallberefenedtohereinasaa
''Approved Budget.''

6.
2.4 Subjod totlw ApprovedBudgeta
s,borrowingft
mdsfrom anyleadertooperate

QrmaimtainfhtBttsilmsscrftattyotherpurpostwhioh isinfurtheranceeftheBtksintssoftheLLC,
otherth% tradepayablesin theordiaat'
ycourseofblzsineos;tchissueevidermosofindobtednessin

connectioatherewitb;torefinance,increasetheamount()f)modify,amendorchaqgetlm termsot
orexteadthetimefortlTepaymeatotanyindebtednessorohtigatifm QftheLL.C,
'andtosecureany
ldebtednessorobligationoftlleLt,C bymodgage,pledge,grant'
tztgasecurity interestinorotlmr
lien on theLLC'Sassets.
6.2.5 'lheappointmtntmld tcnnination oo cers,ltiricg arld Iiring ofem ployees,
ortht tngagem ntofconadors,suboontraotors# onsult'
m ts; cxpcrtsarld otherPersonsneccasmy
orappropriatcto oar:youttheBtushwssoftheLLC,induding theseluctionandTngagementefan
iadepeadentcerv ed publicaccountlngftrm aadlegalocunselfortheLLC,andtoapprovetheterms
ofanysucltappointmen:employmentorengagemeatvincllldingapprovalofthetennsandpayment

ofcomy nsation6.2.6 TlwapptovalofthemuountandtimingofartyAdditionaltzapitalcontibutioc

requlredbyO LLC toconductitsBusiness,including,withoutlirnitation,aIlcapitalrequiredtobe
txpendedw1t.
1:respecttothtTeclmology.

6.
2.7 Subjod totheapprovalbytlm M emberspursllanttoSection6.4.2below,the

sale,Iioense,Iease,reafal,assknmen:transferorotherdispositionofalloranymsterialpartofthe
assetsoftheLLC,including theTm hnolegy and any patrntrightsthereto,whetherasasingle
kansaction orasetiesoftrausaotionsmspartofaplmu
''

6.2.8 Anymaferialdecisionsrelatingtothotestmarkcti
ng,manufacture,distribuienz
licenmlrtprxplgifation oftlleTeclmolpor.
-

im r,A'ee''kekt- -

OPRRA'
HNGAGRBBMENT-Page20

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''**-r

-eM ana
.Eer.TheM armgtrshallactasthe
6,
3 Powers.Dutiesa-nd Resppnsibilitiesofth
PresidentoftheLLC mld shalllyecharged with tlte rights,dutiesandpowersasspecifitd in this
.

Agrecmentasubjecttotheli
m itationssd forthinthisArticle6andelsewhereinthisAgrccment The
M anagershallhaveresponsibilityforconductingtheday-to-dayoperatioasoftheBusitmssartdtlz
LEC artdforimpiem eatingtlt
edecisionsanddirectivcsoftheM artagementCoaunitteeincoxmeotion

therewith,subjecttothesuperdsiow directionaadcoatrotoftheMaaagementCormnittee
TheM anagershallhavethogene:alpawe:sanddutiesofmanagementtypicallyvested

in theofficeofachiefQperattngoflicerofacorporasioru Subjecttotheprovisiortsand limitations

setfort
.
h in Sectioas6.2 and 6.4 itemof,tlw M anagershailhave responsibility forthe following

mattcrs(listedby wayofexampleandnotinlimittionthereog andshallhavetlw autllorityoll

bohalfofandinthenameoftheLLC todoorperfinn,orc-ausotobedeneorperformedysuchacts
or thiags and to negotiate, execute,acknowledge and deliver a1lagreem ents,docum ents and
instnmlentsin comwction therew ith:

'

6.3.1 PreparerexecuteandhleonbehalfoftheLLCallapplications(includingpatent
applicatbm),licem es,permits,mgistmtions,andconsents,andtootlmrwiseoommunicateanddreal
with anyand a11governrnentalagencieshavingjtuisdiction over,orin any way affecting,tlze
Technology,tlteBtlsiness()ranypartthereof.
6.3.
2 M akeordinav and necessary expendituresandincttrremsonableobligatioms

necessazyfortheconductoftheactivitie..
softheL1,C'SBusiness,a1Iinaccordanoewithalldsubject
to ApprovedBudgets.

6.3.3 Autlxrize,negotiate,executeaad deliveron bchalfoftheLLC any alzd all

con% ctsorap eements,verbalorm ltten,havingacontrattvalueorobligationamotmtoflossthan

Fiftyefi
lmusmldlE
lollrs($50,000.00),whiolltheManagrrdomnsarenecessaryorappropriateforie
developmentorexploitafonefthe-rochnology,orareinfurtberanceoftbeBtlsitless,including,but

notlimitedte,butexpressly subjectto thelimitationsrequiring Memberapprovalpursuantto

Secon 6,4.4 bdow,contractsoragreementsbetweentheLLC and/orilsAfliliatesQrany otlter
Persontoproddetl:eLLCV G soodsorserdcesofanyk'
ind,iawhichtheLLC oritsM anagormay

have an actualorpotentialcoM ictofintcrest,and including any amendm ent.sorm odiscations

therdo,orrenewatsor

' tionsthereof.

6.3.4 SubjccttotllepliorapprovalbytheMemberspursuauttoSection6.4.2belw
and theM anagementCornrnitteeptlrsuantto Secon 6.2.8 above,thesale,license,lease,rental,
csiglunentatranAfererotlv disw sition ofa1lorauy materialpartofthe assds of the LEC,

irtcl ' tlzeTechnolog,

yatzdanypattntrightsthemto,whetherasasingletrarssaction orasezies
ofrelatedtrnnqactionsa.
syartofaplan-

6.3.6 TocnfessajudgmentagaiasttheLEC,orapprovethefzlingoforstrttloment
ofany olaims,incltlrllna litigatioqmatters,fororagsingttheLLC.ofless thac Fitl,
y 'Ihmjqnt!d

Dllm's($50,
000.00).

W CK
Q *M OAAMM

OPEBAIINGAGREEMENT-Pa
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6.3.6 ExecuteanddcliverbondsandindemnitiesbyoronbehalfQftheLLC asmay

berequircdforthe(lm eryhipartd/t)rsalcofanyPreperty,asrxpresslydirectcd todosoonacasc
by cmse basisby the M auagemtmtComm ittee.
6.3.7 To ptlrchase liability arld otherinsurance to protectthe Teclmologyjthe
Property and BusinessoftbeLLC.

6.3.8 n e Mauager,subject to tlle reconable approval of the Managemtnt

Conunittee,shallselectteoimicalertgineers,prorammersacdothercomputerteclmioianstodevelop
orexploittl)eTeclmology.

6.3.9 From timetotimeyamendFXHIBITAtOtllisAgrccmcntterctkctanychatlgc

in the informaion containedtherei. artdpreparc,executcandfileaCertilkateofAmendmentor
Correction to the Articles ofOrganization to reflectan.
y change orcorrection in tlle LLC,its
M anager,M em bers,plincipaloftice,registorcd agent,orthe lates'tdateupon wlzich the I-EC m ay
be dissolved.

6.3.10 Prepm'
t,cxecuteand tileonbehalfoftlzeLLC theAnnualListofM anagers,
M embcrsand Agentwit.
htheSecrctaryofStteand topaya11filingfecstherefor.

6.3.11 Asdiyected fzom timeto timebytheM anagemeatCommittee,to investthe

'

fundsoftheLtf fnbankcerlifkcatexsofdeposit,short-torm governmentsecu> esorofhershort-term

secuzities,includingmoneymarketfunds,priortofheexpenditureofmtchcapitalinconnectiortwitlt
Businessoperations

6.3.12 IftheM anagerdeemsitnecessaa orappropriate,toadoptaCompany seal,

circularinform containingllmwords''INTREPID TECIINOLOGIES,LLCy''togotherwiththedate

offonnaionoftlleLLQ andsucbotherinfonnatincasshallbeappropliateforbankingandother
Businesspup oses.
6.3.13 M aintainaminutebooktoincludetlmArticlesofOrganizationofieLLc,tltis

Agjeemratandanyamendmentsrs'upplementsherett),andthemhmtesofmeetings(orconsnts
inllmzcfmetings)tftheManagementCommittee,writtenconstntsofth:Membc ,andotlwr
importmu docamentsofthe LLC.

6.4 Limit'
.a
ti
-o
-usont
-he
-M anaqem-entCom mltteeaRdM aapzer-NethertlkeM anagemetit
CommltteenortlleM snagershallhavetheauthorityto doany oftllefohlowirtgwithottttlleprior

VoteofaMajorityirlInteres'toftheMembers:
6.4.1 Exxptforthelimitodauthorityoftb.
eM anagertoam= dEX'
FITRIT A hereto
andtlm ArticlesofOrganization pursuantto Section6.3.9above,materiallyamendorrostatethis
AmeementortheM iclesofOrganization,inwholeorinpalt includingauyincmnqeiuthenumber
ofCommitteeM em bersoftheLLC pursuanttoSection 6.1above.

rrr@Jzl
eeXe- KkexWG

OPERATING AGREEMENT.Pag:22
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6.4.2 Sd l, lioease, lease, rent, transfef, assign or othenvise dispose of all or

substantially a11ofthe assetsoftheLLC,includingtheTechnology orany pattntrightsthereto,
whctherin a singletransaction ora seriesofrulated trartsactionsaspartofa plan.

6.4.3 ApprovetheTraasferofaMembcf'sIntcrtst(cxceptfortheTransferofupto
1f)% ofaM ember'sEconomicIaterestptzrsuanttoSecticn9.l.3hereof).
6.4.4 ApproveanytransactioninvolvingthepaymmltofcompensationbytheLLC
to a M emberoran Affiliate ofa M ember,unlcssothenvise expressly authorized and approved
pursu'
m tto thisAgzcem ent.

6.4.5 Any mefger,consnlidatin,divestitmeQrdissoltttifm and winding up ofthe

BusinessaadaffairsoftlleLf,C.
6.
4.6 Any materialchangcin t
lm characteroftlleBusinessofthcLLC.
6,4.7 Theadmissionofntw orsubstitt
zteM omlxrstotlm LLC.
6.4.8 Anyacti.
ncontcaventionofthisAgreomentoranyvalidauwndmentherdo,the
ArticlesofOrganizaauon oranyamondmentthereof
'

6.4.9 Knov nglym rform anyact(otherthanaztyad requiredbythisAmevmentos

bylaw oran'
aottakcningeodfaith)whichwouldaattlw timeofsuchact,subjectauyMemberof
theLLC toanypersonalliabilityinanyjurisdictin.
6.5 TimeDevoted toM anavenlert- Unlessotherwisedeterm inedbytheM anagement
Commiueetobein thebestinteres oftheLLC anditsM emberw theM aaagm''ssmvioesshallbe
normxolusiveto theLLC.Tb.
eM anagerneedstodew tentysuchti
m eand attentionlo tlzeBtlsiaess
and 4% 11> ofttte LLC as b.
e shalldeem necessary and appropriate,in the exercise of ls ow n

reasonablejudgment.Tim Managermayberequiredtotrvelfrom timetotimeinfurtiteranceof

his dutiesand responsibilitieshereunder.

Unltsswn altemative scheduleisdetermined from tlmeto limoby th.

eM anagement
Comnll
'tte,
e to be in tlle besthzterest% oftheLLC and its M emlv s,the serdces fDENM S

MONTOOM ERY,anindividual(sometkzmscolltdively,UMONTGOM ERV '),solongashois

ser$,3: asaCommitteeM emberaad/orChiefTeclmologyO crpursuanttothisAgreoment,shatl
bvexdusivttotlx LLC,pmdhesha.
!ldevotestlbstaatiallyallofhisG111timeaadattendonalzdefforts
tothenlzsinessandasa.
ilsoftheLLC duritlgreasonablebusinosshours.M ONTOOM ERY maybe
required to txvelfrom timeto time in furtheraace ofhisdutiesand resm msibilitiesherttmdtr.
M ONTIJOM ERY apees,asacktmwltdged byhissignattu'eto tilisAgrtement,shallprovidehis
servitesinamapntrconsistvntwiththepolioiesoftheLLC asmay beadopted from tlrnctotime
byteM atlagementCommittee.
.

6.5

Restrietiym Bn lndepelldentActivities'
.AgreementNotto Cam pete. S0 longas

M ONTGOM ERY is apm inted asa Conunittee M ember and/oras Cllief Teclmology Officer
,,xwu'sq

**'

OPERATING AGREEM ENT -Pap 23

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Awswr

pursuaatto thisAm eem enk M ONTGOM ERY andhisAfftliatesagreethat,during theterm ofthis

Agrrment,noneofthem shallcom pete* t1$theLLC,whetherfortheirown accolm taad/orfortlle

accourttofothers,individually,jointly withofhcrs,ormsapartefany other limited liability

company,limitedpmtnership,generatpartnershipzjoialvcnture,coporationorotherestity,by:(i)
developing,lioensirtgorexploithtg in anym anneranysoftwazeprogram sorotherteclmologywhich
iscompetitivcwiththe-reolmologyorthcBusinessoftheLLC,orprovidlg any servicesorsupplies

wbich are encompassed within the deflnition ofthe ''Blzsitless''t)fthe LLC as setfolth in this

Agreemvnt;(ii)purchasingt
arota
herwiseaq e a,owtting,lmlding,opelating,manxging,investing
irtoretlmrwiscdisposingofalikebtusinessofteLLC'SBlzsinessand intereststhereinofanykind

ornature;or(iii)otherwiseengaginginanyora11aspectsofall
'kebuszessoftlw LLC'SBusiness.
M olqR'cdlslEpvsr'sorhisAK liates'participationinanyoftheactivitiesrestrictedbytbispaagmph
shallbedecm ed a breaoh ofhis dutiesand obligationsasaCornrnittee M em berhereunder.
6.6

ty m pe
-nsatioa tq M attaeem ezlterM cm bers.

6.6.1 M axazer'sCfpmpensatiou.TheM mzagtrshallnotreccivecompensationfor

hisservicesherelmder,unlessotherwiseapprovodby theM aaagementCcmmittee.
6.6.2 Ofticers'Compensatiol.ExceptforM ycompensationtobepaidtotheChief
Techlmlggy Om cerassetforth belaw,ntlom ezroftheLLC shallreceivecompensatjon forhisor
herrservioesunlessotherwiseapproved by theM u agementCemrnittee. In oonsidolaticnforltis

full-ttme,excltusive servicesto t:e LLC,M ON TGOM ERY,asChiefTeclmology Officer,shall

receive,in addition to arky rtimbursementforcosta
s as provided for in Seotion 6.7 belom a

GuaraateedPayment(astlzatterm isdeliuodinszotion707(c)oftheCode)intheaggegatearnolmt

ofEleven'IhottsandFiveHlmdredDotlars($11,500.00)permont.
hpayableoathefttst(1st)dayof
each calendarm ontilcomm encing asofOctober1,1992,and tenninating on D ecem bcr31,2001.

n epam entartd amountefsuch Ouazanteed Pam entcrsuch olercompeo titm to bepaid to

MONTGOMERY asChiefTeclmology Oftioerforlzisserviccsmay be adjustedarenewed or

tcrminatedby thcM anagomentCommitteofrom timetofime.
6.6.3 M em ben 'Com pensation.Excoptm5expressly pernkitled by tbisA greem en.
t
orany otherwritten ar eemeatotheLLC shallpay nocompensadon to any M emberorany Pdncipal

ofanyM emberfortheirsenicesasaM anagtrtotlleLLC.

6.7 Expcast Reimbursem ents. -I12 LLC shall reimburse the u nnngv'r, o cers,
CommitteeM embers,M embersortheirAfsliatesforany expeasepaidbythem onbeb lfofthe
LLC,thatLstobeproporlybornebytllflLLC,aspmvidedforinanApprovedBudgetorasotherwise

ayptoved 1om timetotimebytheM anagementCommiuee.

6.2 Reztrictiensfm Distriblltinns,NodistributiontotheLLC'SM mmborsisvalidtmlesa
sucEdistributioahasbeenappmvodeitherimmediatelybeforeorimmediatelyafterapprovatbyth.
e
M auagtm entCom m ittez.
''

6.9 Ri htsoflns ection.TheM anagtrandComrnittccM tmbtrsshallhav:tlw absolute

rightatN yreasdmahletimetoiaqpectacdcppya11bvgks?lecortlsanddocumentsofeverykitldzN d

toinspecttsephysioalproporosoftheLf-canttatsootitssubsidiav limitedliabilityccmpatues,
ki
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7

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93

dom esticorforcign. Such inspection by the M auagerorafly ColAarnitteeM emberm ay be madein

person orby agentorattom cy artd inoludesthe rightto copy and obtain abshacts.
6.10 Furniahlue ELC Inform atl
'nn. The M anager may release such inform ation
concrrning theBusinessand QperationsofthtLLC to such solaccsmsiscustom my orrequired Ly
law erby ruleorregulation ororderofanyregulatog body.

6.1l AuthoritvtoSdtlewith1RS.Iftherearemorethanonehundred(100)Membersof
theLLC,the'CTU MattersManacer''(asapm intedinSetien10.
4below)shallhavctlleauthority
toenterintoasettlementwiththelnternalRevenueSerdceQnbehalf()fthoseM embershavingiess
.

than a0NE PERCENT (1%)interestirttheprotitsotlm LLC,exceptwhereaMembertilesa

statementwith theIRS,in accordancewith applicabltTreasuzy regulations,stating tbattheTax
M attersM anageribasnosuchautlloritytoactontlmtM ember'sbehalf.M yM emberfilingsttcha

statemrntv/ithtlm IRSshallnotifzthMp
magcrthereof:vithinthirty(30)daysofsuchfiling.
ARTICLB 7
DEFAULTS

7.1 Defaults.n efollowingshallconstituteaneventofdcfaulttmderthisAgrement(a

tm efaultn),and,whereapplicable,theMember(includingtheManageroraCommitteeM ember)
causing such a Defaultshallbe deemed theGDefaulting M vm bero and theM cmberorM embers
whohavenotothenvisedefaulted shallbedeemedtheG ondefaultinuM ember'':
7.1.1 Failqret4 PaY Oblieationsor AdditlonalCapitalContributions. Failure
byaayM emberinthepaymentefanyfnancialobligationorAddie nalCapitalContributiontothe

LLC whiohoontinuesfclfapeliodofseven(7)daysafterwrittennotioetosuohDofaultingMember,
orfailurc in th: perfermaace efacy ofthe othez agreements orobligations contairmd in tlzis

Ageementifsaidfailurecontinuesforaperiodofthirty(30)daysafternoticetosuchDefaulting
M embm';provided,howevmr,noDefaultshalltedeemedtohaveoccurredif(i)suohDtfaulting
Mombor'sfailtu'eQfperformatxeiscurablc,and(ii)ifsuohDofaulttobecurable,butafterthe
exerciseofreasonablediligermeitisfotmdsuchDefaultr-qnnotbecuredwititinthirty(30)daysatler
noticc,butthoallegedlyDefattltingM emberllascommeacedtocul.
om chDefaultwhbintte30-day

perbdand tllereeafterdiligentlyprooecdsto urepuohDehult.

'

7.1.2 T-rausferin V-inlatitm afAzreem e

-m.
t Anypurportedorattempte.dTransfet

(asdefmedinSedion9.1.2helow)byanyM emberinviolaionofArtiole9hereofatanytimeduring
theexisteaceoftheLLC.
7.2 RemediesfarDefault UpontlwoccurrelweefaDehulthereunder,tlzeNondcfaulting
M embersshnllhavtthefollowingchoiceofremedies,noneofwhich shallbeexdttsiverin atky
way limittheNondefaultingM tmbersfrom sm kingany therremedy theymay havein 1aw orin
equity:

IXXG
Z'
*Q'''''''I*''''G

OPEM TmGAOREEMENT.Page25
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7.2.1 Rem ediesforDefaultUnderSection7.1.1ofthisAtreement-Intheevent

- .

ofaDefaulsdescribedillSection7.l.labove,ttm NondefaulingMembershallhavetheright@ut
nottheobligation)to either:
7.2.1.1M akeanadditionalCapifzlConkibutiortts)totheLLC intheamotmt
oftheCapitalContributionoranyadditionalCapitalContributionApprovedby theM cmbersthat

shouldhavebeeacontributedl)ytbeDefaultirtgMemberts).AnyamolmtsocontributedtotheLLC
byaNondefaultingMembertlmtshouldhavebeencontributedbyaDefaultingMembershal!adjust
thePercentageInterestoftheNtmderaultingMcmbd s)andtheDefaultingMemberts)inthesame
prom rdon mstlleratio oftheirCapitalAccouatsinmw diately before theD efaultbearsto theratio

oftheirCapitatAccountsimmediatelyO ertheDefaulttthe''AdiustedPercentateInterest'').For
example,ifbeforea Defaultoccurstllet'
atio oftheCapitalA ccotmtsoftheN ondefaulting M em ber
and thcD efatzlting M em beris 85:15 artd theirPercentage lntercstsare50% artd451$,respectively,

andtlleratio oftheirCzapitalAccountsaftertheDefaultis95:15,then therespectiveAdjusted

Percentage lntmrstofthe Nondefaulting Memberwould be 55.8824% and forthe Defaultirtg
M em berwould be 39.1176% .

'

7.2.1.2 Lend to tlle LLC the amount of the Capital Contzibution or the

AdditionalCapitalContibutionthatshouldhavclxencontributedbytlm DefatlltingM omber.Any

suoh am ountso loaned shallaocm e interestftv d on tiw date oftlle loan ata peratm llm rate of

TW ELVE PERCENT (12:4,orthemaximtqn l'

ateofgateres'tpenuitted bylam whicheverisless,

whiohlterestshallaoomeandshallbeadjustedbasedupontlleforegoingrateatldbecompounded
oneachfkst(1st)dayofeacllmont.
hdtuiagtheterm oftheloan.M yamotmtssoloaned,togethcr
w ith interesttllereon as aforesaid,sllallbe irnm ediately due and payable from the Defatllting
M omberto the Nondefaulting M ember. Aslong asthe amotmtso loaned artd interestthereon
remainsuapaid,anydistributiontowhichtheDefaultingM embcrwouldothmwisebeentitledtmder
thisAgreemeatshalll>epaidtotheNondefaultingM emberandappliedinrcpam entoftheamounts
soloaned,withanysuchpam entappliedfirsttointeresttimnaccmedandthebalancetoprincipal.

7.2.2 Otherlkemediel-.
lntheeventofanyDefaulttmderthisAprementaincludng
aDefaulttmderSection7.l.l.above,andsolongaqsuclldefattltremaitusunourcd,theNondefattlting
M om berm ay,hutshallnotbe obligated 1 ,do any ora11ofthe fellewing:

7.2.2.1Useany LLC asstts,includzg,butnotlimitedt0,mnotmtsothem ise

distributable to the Dcfaulting M ember,to satisfy tlw Defatllting M ember'sfmancialorother
obligations,inorderthattheNondefaultingM emberneednotcond buteadditionalftmdstosatisfy
theworkl
'ng capitaland opemtilmalreqttirementsoftheLLC.
7.2.2.2 Pursue any and 21tightsto r- verdamagcs and a11otlzerrem erdies

availablinlaw andeqtlity,includingiajlmctivemlieft

''

7.2.2.3M armgeandconducttheBusintssandoperae nsQftheLLC,without

any participationvconsentorapprovalof the Defaulting M ember or itsreptesentaoa on the
ementCommitteewhich would otllcrwisebeNquired purmlnnttotllisAp eement.

llo ly,
s,w9

'&'C

OPEPATm G AGREEG NT-Pase75

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.-

M W ICLE 8
M EM BERS'M EETIFGSN
'ACTIONS W ITHOUT M EETINGS

s.1 M ettinzs.'
lhcM embersslmllnotberequiredto holdanyregular,almualorspecial
m eetings in orderto approve any actioa ofthe LLC asfequired by thisAgreem entorthe NRS.

'

s.2

AetiousW ithouta M eetlng.

8.2.1 AnyactionrequiringapprovaloftheM emberspursuanttothisAgreem entmay

beapproved withoutthocouduotofameetingandwithoutpriornoticeifawrittenconsentasetting
.

fprtlltheaotioneractionssotaken,issigm dbyMembersholding,intheaggregate,aMajrityin
lnterestormoreoftheMembers,unlessagreaterVoteisrequiredunder,oralesservotcisprovided
for1,thisAgreementortlteNRS.
2.
2.2 UnlessthcunanimottswlittencoasentoftheM embtrshasbeengivcn,notioe
ofany suoh actionapprevedby lessth= a11oftheM cmlxrsshallbegiventothoseM emberswho

didEtotpartioipatrinerappreveofsuchactionwithinttn(10)daysfollowingtheapprovaltherenf.
8.2.3 AnyM em6ergivingawrideaoonsentmayrevtlketheconsentl)ygivingwdtten
nodcetotheLLC priortothetimethatwrittencom entsoftheM embersholding,itttheaggregate,
the'Volerequiredtoauthorizetlteproposedactionhavebeenfiledwith theELC.Suchrevocation
istffective only um n itsreceiptby the LLC.
8.3 ExclusioaofVetm If,purspanttotheNlls rthetermsoftisAgreementaM ember
isnotentitled toVote on a spooitio matter,theltsuch M emher'
snumberofVotesshatlnotbe
consideredforpulw sesefdetermiuingwhetherapprfwalbyVoteoftheM embersl:asbeenobtained
inrespectofsuc: specitk matter.
ARTICLE9
RESTRICT IONS ON TRANSFER OF M EM BERSHIP INTERFSTS'
,
ADM ISSION M D SUBSTITW ION OFNEW M EM BFRS
9.l

TrpnsferprAssieamentefM ember's-lmte
.rest.TheInterestofeachM emberM d

tlleEconolnic lnterestofaPersoawho isn0taM emterconstitutesthcpersonalprom rty ofthe

M emberorEconomich teresthcldet.NoM mberorEcxmornicInterestholderhasanyitiserex
stin
thoProperty oftheLLC.

9.1.1 A M ember'sInterestoran Economic htere.

stmay only be traasfetred ot
assignedittstrictaccordancewiththisAgreemem.

9.1.2 Nosale,transfer,hypotllecatiol encumbranceorassignment(a''TraRsft-r''l

ofaM ember'sInterestintheLLC V IIbevalidtmlessapprovedbyaMajorityinInterestofth
M embers,othertllantheMemberproposingtodisposeofitslntertst.lflrsstha1aM ajorityin
InterrltoftlmM emlxa othcrthauthehlcmbcrpropesedtedisposcofitllutercstdocsnotapprove

rzrrr -

u? .

OPEJIATJNGAGREEMBNT-pag:27
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:.

. .,

tlm Transfer,thc earisfcree ofthe M em brr'sInteres'tshallnothaveany rightto participate in the

managrmentoftheBusinessand affairsoftheLLC ortobtcomeaM emlxroftheLLC.

9.l.3 One ofmoreTransfcrsofup to an aggregate oftea percent(10:$)ofa

M cmbcr'.
sEconomicInterestmay badozm vvithouttheconscntoftheotllerM embers,thtM anage.
f
ortheM anagementCofnmjttee,provided thatthetramsferring M embernotiiiesthe M artagerin

m itingatleastten(10)dayslnadvanceofhisintenttoTransfera.
nEcoriomicInterest.Suchaotice
shallcfmtaittthedateandamluntofthctralzsfcrredEconomicInterest,andthcname,address,
facsimile numberand > payeridentication rmmberof the trm sferee. The eansferee of an
EconomicIntereststtatlnotlmveanyrighttVote,palticipateinQm managemtntQfthtBtlsiness
atld affairsoflheLLC,orto becomea Member. NorigshtsastheholderofallEcoriomicIntert'st
shallbeconferredupontl)etransfereeumtilthetransfereeagreestobebotmdbya11ofhetennsand
provisionsoftikisApeemeat.Notwithstandingtheforegoing,aayTratlsfcrby a M emberofan
Econom iclnterestin excessofattaggregateof10% shallbe deem ed a Trausferofsuoh M em ber's

'

InterestandshallbesubjecttoSection9.1.2above.
9.1.4 Exoeptf0rany TransferofaClassA M ember'sIntercsttoanotherexisting

ClassA M emberofthtLLC,upontheTransferofany ClassA Mernber'slnterest@utlzetaa

FconornicImerest),thctransfertcshallautomaticallybecomcaClmssB M cmberandtlw ClmssA
UnltssotransferredshallautomattcallybeconvertcdtoaClassB Units.
9.2 Void Trau,fers.AayTrarlsfcrofanInterestwbiohdoesnotsatis.
fythexequirements
of Sectioa 9.1.2 above shailbe uulland void,shallnotcenferany tight.
supon tile p:oposed
transferee,and the tzansferring M embershallcoltinue to be a M embe: oftl)e LLC and to be
obligated tm dermach andcvery provisilm oftltisApvrm ent.
9.3

AdmissionofNew M em bers.A new Membermayboadmitted intotheLLC oaly

uponapprovalbyaMajorityinInterestoftheMembers.
9.3.1 n eamolmtofCapihlContzibution which mustbemadeby anew M ember
shallbe deerm ined by the M anagementCommittee.

9.3.2 A new M embersbnllnotbedttme.d aIIIIittGIinto Qm LLC untilQm Capital

Contribudonrequtred ofsuchPersonsbsllhavebeenmadeandsv hPorsnhasbezomeapartyto
this Ag eementby executm'g and deliveting to the LLC a countcrpartsignaturc page to this

A8reeelmentackltoo d ghgMsacceptanceofiandagrteingtobebundby,theterms= 11oonditions

ofthisA greement.

9.4

Substitutien ofM cmberz.upenthedeatofaM emberoruponthevalidr

frmxsfrof

a M ember'sInterestin accordanocwit.
h Soce c9.1.2 above,aPerson may bo substimttd asa
M emberand admittedtotheLLC,succeedingtoa11oftilezightsofariy M ember.n estlbstitute,d

Membershalihavea11therightsaadpowersandshllbtsubjecttoalltherestziofiousartdliabilifies
ofthetraasfeningM embrr,exceptthatthesubstihltionofthetlansferetM emberskallnotreloase

'

thetransferriagM emberfrom liabilitytotir LLC ptlrsuanttoNRSSediotl86.351.N0substitutcd

M embershallbcdeemedadmittedintotheLLC uulilsmhsubstimtedMemberhasIyecprpqApt y

tIQ Q/
ZQY*?R*A'AEe.R

OPEP.AROU AGRXEMENT.PageZ:

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Jlh.2Case
7. 2003:06-cv-00056-PMP-VPC
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1 89
?.of7893
Document
Page
= ..

* '

> .'.

to tlzis Agreem erlt by executing and delivering to the M anagem cnt Comm itteo a cotmterpart
signature page to thisAgrccm cnt,aclcnowledging hisacceptaaceof,and agreeing to bebolmd by,
thetennsaadconditiotksofotisAgreement.

ARTICLE 10
ADM INISTRATION AND ACCOUNTING M ATTERS

10,1 M aintenanceofBooltsandRecords.n eLLC slmllcausebooksandrecordsofthe

LLC tobemaintained in accordance'witllgcnerally acccptcdaccotmtingprinciples,and shallgive
reports to te M embers in accordance with pmdent bmsiness praotioes and the NRS.'lxe

determinationoftlw ManagementCommlttoeastoadjtustmentstothefmancialreportsybooks,
recordsand retum softhe LLC,ia theabsenceoffraud grgrossneglignoe,shallbe fmalaad
bindingupontheLLC and ai1ofthtM embers.Tltereshallbekeptatthepriucipalblzshm soffice

oftlm LLC,mswcllmsattheregisteredoflioooftheLLCspeci;edinSectkon2.5(ifdiFerent),any
informafion required to bemaintained by the LLC pursuanttoNRS Sectioq 86.241,asamended
hom timeto time.

10.2 AnnualAccountlne.W ithinonehundredtsventy(120)daysafterthecloseofach

FiscalYearoftlze LLC,theLLC shallprovide to theM embersa11iaform ation neoessmy forthem
tocompietefoderalandsutetax returrts.

10.3 lnspectlonandAuditltights.EachM embm;atitsownexpensT,hastheright,upon

reasonablerequestandforpurposesreasonablyrelatedtotheInttrestofthatM ember,toinspectand
copydtuingnormnlbusincsshoursanyoftheLlu0 booltsandreoordsroquiredtobemaintained in
accordancewithsection 10.1abovc.SuchrightsmaybeexercisedbytheM emberorthatM ember's
agentorattom ey.

'

10.4 TaxM attersHandledbvM anazer.ThcM aaagementComrnitteeshalldesiN atea

PersontobeteLLC'S'T axMatten M anaeer''(defmedas''TaxMattersT-a> er''iltcodesection

6231)torepresenttlleLLC (attheLLC'Sexw ruse)inoomledionwithallexamiaatiom ofttteLLC'S
afairsbytaxauthoriies,hwludingrosuitingjudicialandadministrativeprooeedings,andtoexpend
LLC ftmdsforprofessionalsenriocsandc'oitsmssociate,dlerewith.Initscapacityas''TV M atters
Nfzlnagcr,''tllrdesignated Porson shalloverseetheLLC taxafairoin tlzeovem llbcstinterestsofthe
LLC.

10.5 Establishment of Baak Accounts: Autholized Sielmtoria.The M nnngemeat

Czornmltte.
cshallaulhorizethestablishmentofoneormoredem sitory accountsinNevadaaad
elsewberefortheRndsofthoLLC.A.
IIdisbursemeatsfronltheLI.C'sbank accotmtsshallboin
accordancew1t11thisAgreemeat.Anychecks,drafts,andotherinstnlzneataobligatizlg theLLC to

?aymonoyuptoamaxtmum amotmtofTwenty-Five'IllotlsandDollars($25,000.00),kxluding
mstrumentspayabletotljeManagerorotherPersonsauthorizedtosignlem,maybesigledontlw
Ltf 'sbehalfbytlzeM anager,actingalone.Anysuchcheclcs,draftsoroieriastrlrnentaobligating
''

tlleLtC topay moneylnexcessof$15,000.00,whetherasasinglecheckoraseriesofclmcks,shall

'''' m

rrx''
=''- m -

llzzx e

OPERATING AGREBMENT.Pag:29
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3. 2003:06-cv-00056-PMP-VPC
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s, FS9. 644-11 Filed 05/28/0880.Page
7214 90p.of31
93
.

w e

rcquizethejointsignaturesoftheMaqagtaud aPersondesignatcd from Emeto time by the

M anagementCom m ittee.

Cash balancrs(m handmaybeinvesled by theManagementComnitteeon behalfof

theLLC asprovidrd forintllisAgrrement.LLC ftmdsshallnotbecornmingledwith thefundsof
tkeM anager,anyComm itteeM ember,M ember,o cetoranyotlmrPersonorused ascom pemsating
balancesforany otherobligatioasoftheM aaager,any CommitteeM ember,any M cmber,officer
orany otllerPerstm .
10.6 FederallncomvTaxElettions.TheM anagementCormnitteeonbehalfoftheLLC
maymak:a11eleotionsforRdmralincemetaxpurposes,includingbutnotlimitedto,thefollowing:
10.6.1 Entiw c lassificationElectiou.A sadom estioeligibleentity,theM artagem cnt
CornmitteeshallcausetheLLC toelecttobeclassifiedmqapartzrrship forfedelaltax purm sr.
sby
IilingForm 8232,EntityClassiscadon Elecuon,w1t11theIntemalRevenueServioeinthetimeaad
manrmr prescribcd by the applioablc regtllations.The clecqon for such clmssiEcafion shatlbe
cfrectivemsoftlm tfrectivedateoftbjsA/eement.

10.6.2 Use efAcceerated Depretlation M ethods. To tlle extentpermitted by

applicablelaw andregulations,tlleLLC mayelecttotlseanaccelerateddm reciationmethodonany

depreciable unitofthe assea oftheLLC.
'''

10.6.3 AccountiaeM ethod.Forfnanialrepcrtingptlrposesytlw tooksandrecords

()ftheLLc shallbe kepton lhe CASH M ETHOD OF ACCOUN'ITNG applied in a consisteat
mannermzdshallretloctalltraasactionsoftlx LLC andboappropriateattdadequateforthepurposes
oftheLLC.

10.6.4 Obli atlonsofM emberstoRe 0rtAllocatiotu.TheM embersareawareof

thehcometax consequencesoftlm allocationsmade by thisAgreementand hereby agreeto be
boundbytlleprovisignsofthisSectitm 10.6 in repcrting theirsharesofteLLC income'
and loss
forincom etax purposes.

10.6.5 Tax Yegr. The M acagementCommittee willcause tlle LLC to adopttlm

CALENDAR YEAR a il taxableyear.
10.6.6 OtherElece ls.TheM amagementCommitteeshallhavetherightinitssole
discretionwtany thztt;makeornttclmnt'
asuchotllerelectionsasartauthorizqdorpetmittedby

anylaw 0:regulationforincometaxputw ses(including,butntlimitedto,atty electiontmder

sedions734,743and754oftheCodetoadjttstthebasisofthePropertyoftheLLc intheeventof
aTmnKferofallorpartoftheIntere.stofanyMember).Notwithstandingtlw aboveanoMemher,nor
tlztLLC,shallmakeanelece n tobeexcluded from tlleapplicationfSubchaptc K oftlw Code
iraay similarprovisionsofstatelaw.

Ilors
Tm
'
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OPERATINGAGRE'
EMENT-Page70

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M W ICLE 11
TERM INA.T.
lON AND DISSOLU H ON

11.1 Dlssolutlon. PursuanttoNR.

S Section86.491,theLLc shallbedissolvedupen tlze
ocourrtnce ofany ofthefollow ing eveni:

11.1.1 The unanimou:m itlenconsentofalltheM embers;or

11.1.2 n eVotebyaM ajorityinInterestoftheMembers;or

11.1.3 '
l'lm salr.liccnso,lease,rental, aosignment or other disposition of al1or
substmztially a11ofthe assets oftlw LLC,noluding the Teclmology orany pateutrights tlmreto,
whtherocourringinasingltransactionoraseliesofrlatedttansactionsaspartofaplan.
11.2 C oatilm ati4n and Clm duttnfBtlsm
- es.
sl fterDissolution.Upon theoccurrenceof

anydissolutioneventspecifledln sectionl1.labove,theLLC shallceasetocarryonitsBushless,

exceptinsofarasmaybenecessazyfortewindingugofitsBtlsness.n eLLC shallcontinueas

aompany forthepurposeofprosecutingaaddefendmg suits,actions,proceedingsand clnimnof

any kind ornatureby oragakustitwnd oftnablingitgraduallytosettleaad closeitsBtusiness,to
collectaud discharge itsobligations,todisposeofandconvey itspropertyandtodisbibuteitsassets
and Property,butnotforcoutinuingtheBtksinessforwhich itwasestablished.
.

11.3 Lim itation oxlActionsbv orAeainstD issolved L LC-.ThedissolutionoftheLLC

--

shallnofimpairanyremedyorc'attseofactionavailabletooragainstitoritsM anager,Committev

MembersorM cmbersarisirtgh foreitsdissolutiottandcommenoedwithtwo(2)yearsafterthedate

ofthe dissolution.
11.4 Dietrihution ofNetProceedsUpon Lipuidation. Tho M embersshallcontinueto
dvideNetProfitsandNetLossesand AvailableCashFiow duringthewinding-up period inthe
samemamerandthesameprioritiesasprovidedforinArdcles4and 5hereof.Theproceeisfrom
tlze llquidation ofProperty shallboapplied te liabititiesofthe LLC in tliefollowing order:

11.4.1 FirsjtnQm paymentofcfeditors,intheoderofpriorityasprovidedl)ylaw,

excepttoM emberson aocountoftheirctmtribue ns;

11.4.2 Sem nd,tolepaymentofloanAoradvancesthatmayhaveheenmadebyany

ef'
thcM embmsrtlleirPrincipalsforworldngcapitalorotherrequitementsoftheLLC;

11.4.3 'I'
KA proratw toFCP/LPandFM MONT TRUST,asCla A M embers,in
aooordancewitlldzeirpositiveCapillAocom tbalancaes;
11.4.4 FeurthatoM ONTCZOG RY TRUST,asaclassA M emberzinacoordancewith
lkism sidveCapifalAccolmtbalance;

11.4.5 FlflhztotlleClassB Membersinaccordu = W i ieposidvtcm id A= o= t

balanoes;and

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l1.4.6 Thereaftet,pro rataato lhe Membels in accordatlce with theirrespective

PercentageInterestqatthetimeofsuchdistribution.

..

Wherethedistributi/npursuantto thi,section l1.4ccmsisf.sbothofcash(orcash

eqttivaleats)andnon-cash assets,thecash (orcash equivalents)shatlflrstbedistributed,in a
descendingordcr,tofullysatisfyeachcategorystmlingwiththemostpreferredcategoryabove.I11
thecase ofnoncash assct'
s,thedistributionvaluesaretobebased onthefairmarketvaluethcreof
asdderm incd in good fait.
h by the liquidator,and the shortestmatmity portion ofsuch notscash

assets(c.g ,notesorotherindebtedness)shall,totheextentsueh non-cash assetsarereadily

divisible,bedisttibutedvinadescendingordet,tofullysatisfyeachcategoryabove,startingwitlztht
mostgreferred category.
ARTICLE 12
ISSUAN CF O F LLc CERTIFICATES

12.1 Issuaacm efLLC Certm cate!. n e Ults ofeach M emberin the LLC may be
represented by an LLC certiticate designating the classesofmembqrsbip alzd Uaits. Upon the
executionoftbisAgrcementandthepaymentoftheC'apitz ContributionsbytheM emberspursuant
So Article3hereof,theManagermaycausetheLLC toissueoneormorecertiticatesinthenameof
eachMemberoertt
'fylngthattheM embernamedthereiriistherecordholderoftlteUnitsofInterexs

setforththerein.ForgurposesofthisAgreoment,thetetmtreco.r
-dholder''shaltmearttheMmnber
whosenameappearsm Section 3.1astheM mnbcrown.
iagtheUrdtsatjsskle.

12.2 Transfer ofLLC Certm catts. A M embership lnterestwhich is tzarksferred in

accordanc'ewiththttirzcsofA'
rticle9 oftitisAgreementshallbetzansfgrableouth*book.
sQfthe
LLC byfherecordholderthereofinpersolorbysuchrecordholder'sdulyauthorizedattonwy,but,
exceptasprovided itlSrction 12.3below wjf.
hresped to lost,stslen ordestzoye.d cerv cates,ro
atsferofUnitsofM embershipInterestshallbeentereduntilthepreviotlslyissuedlalac certificate
representingsuchunitsshallhavebeensurrendefedtQ*eLI,C audcanceledandarp laoementLlf

ertitkateissue.dtcthetrD sfereeofsuchM embershipIntertstiuacoordancew1t11s'uchpmcedures

astheM embersmayfrom timetotimeeshblish.TheM emberssisallcauscthoM anagertoissueto
tlm tramsferiing M em besanew LLC certificateroprosmltingtlw UrlitoofM embersbip Jnterestsnot

lleiaz tmnsferredbytheM tmbtr,intheevontsuoh M emberonlytrnm fm'rod some,butnotall,of

tlleUnit.
smjresentedbyteoriginalLLCcertificate.Excrptasotherwiserequiredbylaw,tlteIIC
shallbeentitltdtotreattherecordhlder()fK LLC certiticateonitsbooksastheowaertheleoffQr
a1lpuposesrogmdlessofanynotice()rkmowledgetotllrlmttazy.
12.3 LostqStoleaorDesta ved Certiticates.TheLLC shatlissueanew LLC cerifcate
inplaccofanyLLC Certiticatepreviously issuediftherecordholderoftheLLC Certifcate:
12-3.1 M akesproofbyaflidavitvinfo= K dse se c ndsfactol toieM apreviously issued LLC colfcatehmsbeenlostadestroyedorstolen;
. .

ero t

12.3.2 Rm utst.
sthtisslunoeofantw LLC certifcatebeffgetheLIac hu noticetlut
theLLC certifcateIlasiheenacquired by apmohaserforvalucingoed faitllalld withoutnoticr ef

anadversbdalm;

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Tzuz- xexeAzc

OPERATINGAGU EME'
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12.3.3 Ifrequested by tlleremaizlitlgM cmbers,deliverstq tlkeLLC abcmdain form

and substmwe rtasorlably satisfactmy to tlzc remainingM em bers,with such surety orsureties and
with fixedoropea penalty astlm temaiaiagM mnbersmay directpin tlwirreasonable disoretion,to
hldernnify the I-LC agaiastarly claim thatm ay be madeon accountofthe alleged loss,des% ction
f)rthe oftheLLC R rtificate'
,and

12.3.4 Satisticsany othm'reasonablerequirem entsimpojed by the M em bers orthe

M artagemetttCommittee.

lfaM emberfailsto notify theLLC withinareasonabletim eafterithasnoticeofthe

loss,destruction ortheftofanLLC cerlifcate,andah'ansferoftlleUaitsofM embership lnterest
representedbythetalr certificateisregisteredbeforereceivingsuchnotification,thebl.c shalthave
lloliabililywithrespecttoanyclaim agaizzsttlzeLLC forsuohtransferorforanew LLC certificate.

A RTICLE 13
INDEM NIFICATION.

13.1 Indemnilicatien eftheM em bersandTheixT-rinc.

-ipats.TheLEC shallindtmnify
andhold hnmmlesseachoftheM em bers,theM anaser,tlw Comm itteeM embets,theirA ffiliatesand
emch oftheirfespecdvt officers,directors,maaagersytmstees,membm's,shareholders,partatrs,

''

emplpyees,agentsandPzincipals(individually,an''Indempitee'f)from aqdagainstanyand21
losses,daims,demands,costs,damages,Eabilitks,jointand several,txw nsesofaay nature
(includingrrasonabltattomeys'feesanddisbtlrsemtnts),judgments,Enes,settlementsaadotkr
. 9u111 arising from any nnfla11claims,demands,aouons,suitsorproc-eM inas,whettzrcivil,
miminnl,administraiveorinvestigative,inwhichtbtIndcmniteeisinvolvedasapartyarlsingout
oftlAe Business of tbe LLC,exqluding liabilities to aay Member,rcgardcss of whctlmrthe
h demnitee ontinuo.
sto be aM emlher,an Affiliate,oran offoer,director,employee,agentor

'

PrincipaloftheM emberatthetimeanysuch liabilitymrexpenseispaidorincurred,to thefullest

ex'
ttntpenuittedbythe'
NRsandallotherapplicableLswsnprovided thatleM emberorsucNpcrson
acted in good fait.
hxnitbin wbatisreasonably believtdto bethescppeofitsatttbority and fQra
purpose whic;
h itreasonably believedtobe inthcbestinterestsoftheLLc = 4 tlw M mnberqor

otllerwiscincompliu cewithteprovisiom oftikisApecmtnt'

,provided,however(i)thattlw LLC
sballnotbcrtquire.dtoindemnifyanyIndemnltee,andanysuchIndem niteeshallbeliable,forany

loss,expeuserdamagewlchtheLLC maysuffermsaresultof(A)suchhdmnnitee'swillfd
misconduct,grossneglkenceorbadfaithinfailingtoperform ftsdutieshereunder,(B)aotionstaken
bysqzch Iademnite,
einviolationothisAgrccmrnta(C)tlzereoeiptby suohIndra niteeofany
fmancialbenefitstowhiohhisnotentledplvsuaattothisApeementvor(D)thevotebysuch
IademniteeforadistribuonoffkmdsoftheLLC inviolationofthisAgroementortlteAct;(i)the
LLC shallnotbe requirod to inde ' any Indemnl
'te.
eforany breach ofthepro< siozssofthis
Agretmeqt orforanylorxs,expenseordamagtwhiohitmaysufferas&resultoftim breach oftitis

AvoementbyttwMembertowhihtheIndemniteeisrelatezd'
,and@ )anyliabilityhereundorshall
helimitedsnlelytotheassrtsandpropertieseftl)eLLC,andnoMember(oranyAc liateofany
M mber)sllallbaveanyliabilityorobligationbyreasonQftlteseindemnificauonprovisions.

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'

'I'heforegoingprevisiqnsofthisArticie13shallsurviveforaperiodoffour(4)years

ffom thcdateofdissolution oftlm LLC;provided,ifattheendofsuchpcriod,thcrrareany actions,

proceedino t)rinveotigatiozl
.
sthenpcnding,thcM anagershlsonotifytheM embersatsuchtime

(whichnoticeshaltiacludeabriefdescriptionofeachsuchactiou,prch
ceedingorhwestigatioaaad
oftkeliabilitiesassertedtherein),afldtheforegoingprovisionsofthisAdicle13shallsurvivewit.
h
respecttoeaohsuohaction,proceedlngorinvestigatioasetfoe insuchnotice(oranyrelatedaction,
proceedingorinvestigationbasedupoatlmsameorsimilarlaims)untilsuchdateassuchaclion,

proceediagoriavestigatioaisultmatelyresolved.
TheLLC shallnotincurtllecostofthe portion ofany insurance,othtrth% public
liability irlslzranoe,which insw'
estlm M am gerorCormnittooM embersagaim taqy liabtlity asto
wllich tlzeM anagerorCornmitteeM embersarehereinprohibitedfrom being indenmified.
13.
2

Expeases. Expeusesinourred by arlIndenmitco in defeudie any claim,demando

actien,suitorpmczecditlgsnbjed toSctien13.1abovcmay,Fom timetotime,beadvancedbytlx

LLC ptiortotheiinaldispositionofsuohclaim,drmand,action,suitorproce ' uptm v eiptby
theLLC ofan kmdertaking byoren behalfoftlw Indeumiteeto repay such amotmtifitshallbe
determinedthatsuh Personisnotentitledtobeindemtkised asauthotizedi:tSection 13.1.

13.3 Tadcmn
- tatilm Riehtq Non-Exclusivm The itidemnification pievided by
Section 13.1 shallbtin additbnto any otkerrigiktsttlwhich tlmstindemnified may b:entitle
'

tmderany agreementaVoteoftl)eM embers,asamatterof1aw orcqttityorotilerwisq both asto

adionirttheIndemnitee'scapadtyasaM ember,asatlAffiliateorasanogiccr,director,ernpleyeo,
agentorPrincipalofaM embe.
rartdastoanyadion inanotizercapacity,andshallcontinueastoan
Indemniteewho hws ceased to serve in such capacity atld shallinureto tlw bermstoffhelwirs,
successors,mssigasand
' 'stratoo oftheIndemnitce.
13.4 Errorsand Om issioasIasltra-,
-tc
-e. TheLt,C m aypurclmseand m aintain irlstvance,

attlm tLC'sexpense,tm behalfoftheM embersand such otllerPersonsasthe M emben shall

detennine,againstany liabitity+atmaybeassertedagainst,erany expomsetimtmay heincurred
by,suchPvrson inoonnectionwiththeaotivitiesoftheLLC mld/ortheM embers'actsoromissions
astlleM rmbersoftl)eLLC regardlessofwimthertheI-LC woulclhavethepowertoindemnifysucik

Personagaiu,
stsuch liability undertheprovisionsofthisApeemeat.
ARTICLE 14

14.1 Am eld-mentor-M od
.IficatioltoftlleAereemext Exoeptfortiz auloritygante,dto
theM mlagerheretmderto amend EXNTBIT A to thisAgreementfrom timeto timewithoutth.
e
nv ssil ofafo- nlnmpndmenttoe sAgreomont,thetormsandprovisionsofthisAv eementmay
notbeadogted,akered,a onded,orrepealedaad anew opetatmg
' areementadopte,dwitlllmttle

theapprtwaibya> jorityinlntorestoftheMembers,
14.2 AmesdmextterM vdl
-fleaty
-f)ttofArticle,ofOrgangzatiom.Exoeptfortheautllority

ganted to tie V anager heretmdv'r to ameut or oorreottke Xrde,s of Organizwatlon,211

km m rv*e- eszxuc

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notwithstandittg auy other provision to the coatraz'y in the Articles of Organization or tllis
A greement,in no eventshaltthe ArticlosofOrgaaization be amended w ithoutthe approvalby a

MajorityinInterestoftleMembers.
ART ICLE 15
N O34CES:W AIVER O F NOTIC'E

15.1 M ethpd ofNotice.M ynoticeorcmmtmicationrequiredorpermittedtobe given

lleretmdershallbeinwritingandmaybeeither(i)personallydelivered,wbichshallbedeemd
receivedatthethnefacttalreceiptthereof;or(ki)sentbyregisteredorcertifiedmail,withpostage
andchargesprepaid,whichshatlbedeemeddeliveedsventy-two(72)hotu'
safterdepositinthe
Unite,dStatesmail;o(iii)deliveredbyfacsimiletransmissiow whichslmtlbedeemedreeeivedon
tlle date at:d attile time ofelectronic conlirmation fstlch tmnqmission,provided an originnl

mechaaicisignedcoyyofsuchnoticeorothercommunicationisalsoimmediatelydepositedinthe
UnitedStatesmail-t.
11first-classqostageandcbargtsprepaid;or(iv)deliverdbymtsseqgor,
FedExorothertcackablecouriersem ce,whichshallbedoemeddelivtredontlw datcandatthetkne
a.
strackedaadoordirmedby suchcouticrscrvice;artd irtcachcase,addzessed ordelivered to the
party towhom thesameLsdirectedalsuohpartysaddressaud/ofacsimilenumbesetforthbelow,
oratsuchotlxraddressand/orfacsimilenumberasthatpartymayspecifyby writtennoticegivea
totlleotlterpartiesinacoordancc< th thispmagraplu
IfttjtlzeLLC-:

INTREPID TECHNOLOGIES,LLC
.
Attn:W arrenTrepp,11 M anagemrntCommitteeChairman
590LakeshoreBoulevazd
Ineline Village,Nevada 39451
M ailinaAddrerss:
P.O.Box4964
InclineVillage,Nevada 894,
%
.

Facsimile:(775):31-4395
W ith aCourfesv Cqlw t():

Frye& Hsiok LLP

Attn:DouglasJ.Fryc,Esq.
24955Paoifk ComstHighway,SuiteM 01
M alibuaCalifonlia 90265-4747

Facsimte:(310)456-0202

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Case 3:06-cv-00056-PMP-VPC Document 644-12 Filed 05/28/08 Page 3 of 110

N .-

t'-

lfto theM embers:

To tke addmss ofoaoh M embormsset

forthOnEM IIBIT A attachedheretoand
made a partof lhis Agreemeat,which
exhibitmay be amended from time to
timeasappmpriate.
W herecourtesy copiesareprovided for,thtservicrefarlysuchcourtesy copyshallnotconstitute
hoticetothepartyhereunder.IftheUnitedStatesPostalServiceretamstotlleLLC ortheregistezed
agentanynotioeastmdelivetable,allfuttlrtnotioestothatM embqrshallbedeemedduly given if

koptavailableforthatM emberattheLLC'Sprinoipalpiac,eof6tksinessforole(l)year.
15.
2 W aw
-erofNotice.Notwithstandingtheforegoing,wllea,undertlltprovisionsofthe
NRS orlmde:tileprovisionsoftheM iclesofOrganiyntion orthisAgrreemeat,noticeisrequimd
tobegiventoaM emberortotheM anageroftheLtC,awaiverinwritingsigaed bythePvrsonor
Persocseatitledtotl)enotice,whetherbeforeorafter1hetimestatedinit,isequivalenttothegiving
ofnotioe.
ARTICLE 1d

M ISCELLANEOUS PROW SIONS

16.1 Counterparts. ThisAgreementmay be txeouted itkseveralcounterparts'
,and all
colmtem arts so executod shallcmnstit
vte one Agmement,binding on a11ofthe parties hereto,
notwitilstandingtbatallofttm partiesarencptsigaatorytotlleoriginalortlw sameoountrrpart.

'

16.2 Snmrivalpfltights.n isAgreementshallbebindingupon,and,astopermittedor

accegtedsuccessol'
s,transforresandassigns,inuretothebenefitoftlleM embersandtheLLC aad

tl frrespectiveheirs,legatces,legalrepresentatives,successors,kansfereesaudassigns,inallcases
whetherbytlzlawsofdescentanddistrihuticc,merpecreversemerger,consolidation,saleofassds,
ol ersale,operatiou ofIaw orofherwise.
16.3 Sevem bih-tv.Intheeventany sectiow subscotifm orany sentencewifhinarlysection

orsubsmfonhereunderisdeclvedbyacouztofcompotmntjurisdictiontobevoidorunenforco ble,
suoh seotion,subsectionorsenteaceshallbedeemedsqvere,dfrom theremainderoftidsApe ment

andthebalanoeoftbisAreementshallremain infullforceandeffect
16.4 CetBtrlzction. 'l'he language in atlparls QfthisAgreementshallbe in al1cases
cortstrur,dsimglyaccord'
lngto itsfairmeaningandnotstrictlyfororagainstanyoftheM embers.

16.5 Secfion Headqqs. ThecaytioasoftlzrArticleo,Secticmsorsubsectionsinthis

Apeementareforconvtnienceonlymldm no m ydefine,liakit extend ordesctibetltescol)eor

intontofanyoftheprovisionshercofzshallnotIx demuedpartofthisAgreementand shallnotbe

usedin construingorinterpre gthisAgm cmtnt.

1lzzweaz-

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OPEM TING AGREEM ENT.PRO 36 .

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16,6 Gpverql
'z.
lz Law. ThisAgreemcntand any amendmgutsozexhibitsereto,andthe

rightsandoblkationsofthepartiesheretmder,isexecutedunderandiaconformitywiththelaws
oitheStateofNEVADA relatingtoltmited-liabilitytompaaiesmldistobeconstrued,enforcedaad
govemediu accordaace ttmrewitllwitboutgiving efreotto any ooaflictofkaw provision.

16.7 Additiqualllocuments.G chM ember,upontherequestt)faaotherM ember,agrees

to pedbrm a11furtheractsand executezacknowledge atld deliveralidockunentswhich may be
reasonably necessam apprtlpriate or desirable to can'y outthe provisions ofthis Agreementa
iacludina butnotlimited t.
o acknowledging before a notazy public any signamre heretofore or
hereaermadebyaMembtr.

16.8 PronounsandPlurals.W henoverthecontcxtmayrequire,aaypronounusediathis

Ap etmentshallincludethecorrespondingmasculine,ftmiuineandneuterform s,andthesingular
fonn ofnouns,pronounsaud verbsshallinoludethepluralaad viceversa.
16.9 TimeoftheEsseacm Exceptasotherwiseprovidederein,tizneisotheessenc,
ein
cenrlectie!zw1t11eachandvvezypzovisionofthisAgreement

16.10 FurtherAcfmns.Each oftl)eM embersagreesteexooute,achowledgeanddeliver

suoh additionaldoctunents,andtakesuchftlt:heractions,msmayromsonably berequiredfro:n time
totimetooan'
y Qufeach oftlw provisions,andtlzeintertt,eftllisAgreementaandeveyagreement
ordocum entrelati
.
ng hereto,orentered iIIIO in connection herew ith.

16.11 ARBITM TIONOFDISPUTES.ANYMEO ERHBRETOM AYREQUIRETI!E

ARBFIXATION OF ANY DISPUTE ARISING UNDER OR m CONNECU ON W ITH THIS
AGREEM ENT OR ANY RELATED AGREEM ENT.SUCH M EM BER M AY IM TIATE AND

REQLRRE ARBITM TION BY GlVm o NOTICB TO IME OTHBR PARTIES SPECIFYING

THEM ATTER TO BBARK TRATED.IFLEGM ACTION ISM READY PENDING ON ANY
M ATTER CONCERNm G W HICH THENOTICE IS OIVEN,THE NOTICB SHALLNOT BB
EFFECTIVEUNLESS GIVEN BY THEDEFENDAN FN REW AND OIVY BEFORE THE

BXPIM TION OFTW ENW (20)DAYSAFIER SERW CEOFPROCESS0N Tlo PERSON

OIVINO Tlv NOH CE. EXCEPT AS PROVIDED TO THE CONTRM W IN THESE

PROW SIONSONW ITM NON,W Y D

N ONSG LBEm COW OM W G

AND SUBJECT TO APPU CABLE RULES AND PROCEDIJRES OF THB AM ERICAN

ARBITRATION M SOCIATION (OR ANY SUCCESSOR THERETOI.IFH IE AMERICAN

ARBIRX ATION ASSOCIATION IS NOT TIW N IN EM STENCE AND 'IH FRE IS NO

SUCCESSOK ORIFFORANYREASON TIIEAM ERICANARBITRATION M SOCIATION

FM LS OR M FUSES TO ACT,T11E ARBITPATION SHALL BE IN CONFORM ITY W ll'il

AND SUBJECT TO Tl'

IEPROVISIONSOFAPPLICABLENEVADA STATUTES(1F ANYI
RELATING TO ARBITRATION AT THE TIM B 0F THE NOTICE. THE ARBITBATORS
SHM A BE BOUND BY THIS AGREEMENT ANTD ALL RELATED AGREEM EN TS.
PLEADINGS IN ANY ACTION PR O FNG ON TIIE SAM E M ATTBR SHALL, IF

M BITRATION ISRBQUIRED ASAFORESM D,BE DEEMED AMENDED TO LM T 111E

'

ISSUES T0 THOSE CONW M PLATED BY TI!E RW ES PRBSCRIBED ABOVE.EACH

C C ER SH LPAYX COSTSOFAM IM M ON,W CLUDW G G D TOR'SK ES,

ky
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AS AWARDED BY TiIE ARBITRATORIS). THE NUMBER AND SELECTION OF

ARBITRATORIS)SHALLBEINACCORDANCENW THTHERULESPM SCRIBEDABOVE,

EXCEPTN TIiIEACHAM IN TORSFLECTEDSG LBENEUTW ANDFO

W ITH TH E PRINCIPAL SUBJECT M ATTER OF THE ISSUES TO BE ARBITRATED,SUCH

ASUBY W AY OFEXAM PLEONLY,W CM OLOGY AX SOO G DEVELOPM G TIOR

SUCH OTHER SUBJECT MATTER AS M AY BE AT ISSUE,(ii)THE TESTIMONY OF

WITNESSES SHALL BE OIVEN UNDER OATH,AND (iii)DEPOSITIONS AND OTHER
DISCOVERY MAY BE ORDERED BY THEARBITIG TORIS).
I71E PROVISIONSOFTHISSECTION SHALL IN NO W AY LM TTHERIGHT
GF THE LLC ORANY M EM BER TO OBTAIN PROVISIONALOR ANCILLARY REM EDIES
FROM A COIJRT OF COM PETENT JURISDICRRON BEFORE,AFTERIOR DURING THE
PENDENCY OFAN YARBITM TION PROCEEDING.THEBXERCISE OF SUCH REM EDY
SHALL NOT W AIVE THE RIGHT OF THE ANY OF THE LLC 0R ANY M EM BER TO
'

A RBITRATE.

NOTICE:BY EXECUTW O 'ITHS AOREBM ENTUYOU ARE AGREEING TO

HAVE AlA DISPUTE ARISIO OUT OF '1R!E M AW ERS INCLIJDED m THE
MAM IM X ONOFDISPO S'tPROW SION DECX EDBYX G
G ITRAN ON M D
YOU ARB OIVm G W ANY RIGIITS YOU MIGHT POSSESS TO HAVE THB DISPI.
FTE
LITIOATED m A COURT OR JURY TRIAL.BY INITIALING IN THB SPACBBELOW YOU

AREGIVING UPYOURJUDICIALRIGHTSTODISCOVERY AND APPEAL IJNLE858UCH

RIGI'ITS ARE SPFCJFICAELY INCLLJDED IN T1115 ARBIREATION OF DISPU IES'
PROVISION.W YOU M FUSETOSV O TOY ITM X ON H W RAGM Em GTO M S
PROW SION YOU M AY BE COM PEELED TO ARBITRATE UNDER THE AUTHOIUTY OF
THE APPH CABLE STATE STATUTE. YOUR AOREEM BNT TO THB ARBITRATION
PROVISION ISVOLUNTARY.NO'IR1lNO CONTAJNED HEREIN SIW ,L PREVEN FANY

M EMBER FROM SEEKJNG EQUITABVEREW DIESFROM A COURT OF COM PETENT

JURISDICTION .
O

16.12 W M VEA O# JURY TRIAL W ITH RESPECT TO ANY DISPUTE ARISING

ERORm CO> ECN ON M O TY SAGM EG
ORN M LAW DAGM EM ENT,

AS TO W HICH NO G M BER INVOKES '1RV RIOHT TO ARBITPATION lv llEm

PROVIDED, OR AS TO W HICH LEOM ACTION NBVERTHEEESS OCCURS,EACH
O M BER IV REBY IRREVOCABLY W AIVESALLRIGIW SIT M AY HAVETO DEM AND

A JURY TRIAL.X SW G ER ISO OO OLY,N

IONM LY.O VOLO TO Y
O EBY H > r EM R EACH > C ERACU ONW EDOESTM TNOX OFX
OTIIER M EM BERS NOR ANY PERSON ACRRNO ON BEHALF OF THE OTHER PAR'IIES
HASO E N M PY N AH ON OFPACTTOD UCETY SW U ER OFM
BY
JIJRY OR m ANY W AY TO M ODIFY ORNULLIFY ITS EFFECT.TI.IE M EM BERS EACH

FURTHER ACKNOW LEDGE THAT IT 11A8 BEEN M PRESBNTED (OR I'JAS HAD Ti1B
OPPORM TYTOBEM PM SEO IW TA SIGY OOFM SAOREEMENTAND IN
'

TIIE M AKm G OF THIS W AIVRR BY INDEPENDENT LEGAL COIJNSEL,SFLECTED OF

1% 0* 1FRBEW ILL,Abm THAT ITHASHAD TIIE OPPORTUNITY TO DISCUSS THIS
W AIVER W ITH COUNSEL. TIE M EM BERSEACH FURTHER ACU OW LRDGES THAT

IK ;7ZX
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OPERATmGAGREEMENT-P4ge38
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IT HAS IIEA D AN il UNDERSTAN D THE M EAN ING AND RAM IFICATION S OF THIS
W AIV ER PROVISION .

16.13 Thlrd PartyBeneliciaries.ThereazenothirdpartybeneficiariesofthisAgreement

ovrpt(i)A liatesmldPliacipalsoftheMembersand(ii)anyotherPersonsasmaybeeatitledto
th<belwfitsofArticle13.1hereof.
16.14 No Partition.'f'
heM embcrsagreethatthePropertythattheLLC mayownorhave

aninterestinisnotsuihbleforjartition.EachoftheMembershcrebyirrevocablywaivesanyand
alirightsthatitmayhavcte mamtainmv action forpartitionofanyPropcrty tllcLf,C mayatany
time have an interestku

16,15 EntireAereem ent.ThisAgreement,togeterwitltallexlbitsheretorandtheAtticles

ofOranizu
aonconstitutetheentireagreementoftheM emberswithrespectto,andsupeoedesa11

prirwrittenandoralagreoments,lmderstandingsaadnegotiatioaswithrespectto,thesubjectmatt
sr
hereof.
16.16 W aiver.N ofailurebyanyparty toinsistttponthestrictperfonnanceofanyoovenaut

duty,ap eemeqtorconditionoftbisAgreementortoexerciseanyrightorremu ycomsequentupon

abreaohtltereofshallclmstitutea.waivcrofatlysuchbreachoranyothercovcnantaduty,agreement
oroondition.
16.17 Attornevs'Fees.Intheeven:ofarlylitigationyarbitratignorotherdisputearisitlgas
aresultoforbyroasonQfthisAgretment,tlleprcvailingparty inany suohlitigation,mbifratitm or
otherdisputeshallbeentitled1,hiadditiontoanyotherdamagesassessed,ktareaslmableattnmeys'
fees,anda1lotherc,0:*tsandtxmqksesincurredillconneouonw1t11settlingorrestllvingsucdispute.
n eattom eys'fenswbichtheprevailingpartyisentitledtorecovershallindudefetsforproseouting

ordefeadinganyapgealaxtdshallbeawardedforanysupplementatprocetdingsuntilthefulal
judgmentissatisfiedm full.lnadditiontothtforegoingawardofattorneys'feestotheprevailing
party,iegrgviM gp> l=llax uitgrarbctaonppcdreonthisAgreemcn!s'
ilallbeentitled

'

toitareasonableattorneys'feesmourredinanypostjudgmeatproceedingstocollectorcztforoethe

judgment.Thisattorneysfftesprevisjonisseparateandseveralandshatlsuwivcthemergcroftlkis
Agreementiutoartyjudgmtqlt.
16.18 Aqtlaritl,.Each signatorytothisApeementrepresentsandwa:4.at% thatl!eorsite

possessesallnec.
essyyc,apadtyandauloHl toactfor,sign,alldbindtlmrespectiveentityoawhose
brhatfheorsheisslgning.

(Remainderofthispageinten:onallyle9blank.
ThisAgreementconthmedandsipledonthefollowingpages,)

1+@:3

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SIG NATURES O F TH E PARTIES

- -

- -

IN NWFITNESS W'
TIEREOF,thcpartiesheretohaveexecutedand delivered,orcausedto be
executed and delivered by adtIly autllorized represenltive,thisAMLNDED AND RESTATED
OPERA'HNG AOREEM ENT ofINTREPID TECO OLOGIES,LLC asoftlzedayand yearfirst
abovewritlen.
Further,theuadersigaed,msM embersoftheLLC,acknowledgethey haveread aqd
tllderstand tlle foregnjng Am ended and Restated Operatiag Agreem ent for INTRE'ID

TECH NCILO GIES,LLG iqcludiagspecifkally,butnettimited to,Sectiau.

s16.11aud 16,12,
''Arbitratien ofDisputes,''and ''W aiver t)fJury Trial,''respectively,ahd,asevidenced by
tbetr signatures belowy1heundersigned hereby acknowledgeand agreeto tlzeprovisioRs
contained herejn.
Pm TECIG OLOGIES,LLC
A Nevada Lim ited-Liability Com pauy
By It# M em ber,

CLASS A M EM BERS:

FRV NDLY CAPITAL PARTNERS,L,P.

A CalifomiaLimitedPartnership
By:17'endlyCapital,lnc.,A NevadaCorperation
lts eaeralPartnrr

By:

N TREPP,11 President

TI-1E F
ONT TRUST,DAR'ED M AY l6,1994
A Ncv aRevocabie rust
By:
TREPP,1t.
sTrustfm

M ONT MERY
LY TRUST
A CaliforniaRe c#b
! lcTM
?

By:

GOX RY,1% CO.TIMSA

y;

///
' '

K.MONT

yltsCo-Truste

#/ (Sipmturescontinuedonthtfoliowingpagt)
IX>lw1'M**t<*RAATf

OPERATINGAG

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Case 3:06-cv-00056-PMP-VPC Document 644-12 Filed 05/28/08 Page 8 of 110

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(Sigaaturescontinuedfrom tltepreviouspage)
'

SIG NAT.URES OF TI'

IE PARTI.
ES (Cnntinuedl
1N W ITNESSW HEREl:FythepaztiesherdoNaveexecutedmldddivered,orcauscdtobe
cxccuted and delivercd by aduly auiorized Kpresentative,thisAM ENDBD A'
N'
D RESTA'IYD
OPERATING AGREEM ENT ofINW EPID TECHNOLOGIES,LLC msoftheday and yearftrst

RbOVeWKQCR.
C'LASS B M EM BERS:
(R6FER 10 COONTERPART CLASS B MEMBER
A INVESTMBNT CERTIPICAT.ION AND SIGNATURE

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///

/// tszplatuzeescontinuedh'
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SIGNATIJRES 0
.F
-THE PARTIES fcontinued-)

IN W ITF ESS W HEREOF,thepartiesheretohaveexeoutezlatld delivered,orqause,d tobe,

executed and delivm'
ed by aduly authorizedrepresetttativv,this
ED Al'
flRESTAU D
OPERARRNG AGREBM ENT ofINTREPID TBCITNOLOOIES,LLC asoftllodayaudyearfirst
abovewritten.

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ACCEPTANCE OF APPOINTM ENT

O1?THE M ANAG ER.CO
EE M EM BERS
AN'
D CRIEF TECH NOLO GY O FPICER

Eaoh oftlle lmdersigned hereby (i)acceptsttisrespective appointmentas a Maaager,

CommittceM embcrorofficeroff
lze LLC fortheterm stated in thisOpemtirtg Agrcem entora.
s

othenvsesetbytheManagementConunittee;(ii)acknowledgeshehasroad andunderstandsthe
foregoing Operating Agreementofthe LI-C,particularly tilerestzidionscontained in Articlc 6
tllereoflandagreestobcbotmdbythcterms,provisiom ,covenantsand restzictiorkssetforthinsaid

OperatiagAgreement asamended from timeto time;and(iii)hereby agreestoundertakethe

performanceofhisduties.resporlsibilitiesandobligationsofeachrespectiveoftioein accordance
withtennsofthisOpemtingAgreement,theArticlesofOrganizationandtheapplicableprovisions
ofNevadalaw,msariyand allmaybcmntadtdfrom timetot'

DOUGLAS 1.FRYE,astohisappointmentas
M anagerandCommitteeM ember

TREP
Committe

D
hief cc

tobisappoine entas
m ber -.

Y,asto ikisapm intmenyms

gy Oflicer and Committee

M em b

liTzjl:e- AA'fpm

OPERATINGAGREEMENTe'
-P
ag
43d 0101
fr
e:
ppi
.

- 1.*01

' :k

ri nuk,tlxpn

1 ;-

f-

1''Li'''D dtJ if!tl'''t.&-G e-%3W *UU

R 9 l/

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Jq,2Case
3:06-cv-00056-PMP-VPC
gkl ,.
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lS J'1-fDocument
(), LStl' 644-12 Filed 05/28/08
'
flf
)'Page
1L''
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110
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..

FHB T AM INDM ENT TO AM ENDED AND RESTATED

OPERATG G AGFEEM ENT
OF

e'rmppidTee-p
h eloeio.XLI,C

FM T1< hYm > (the''Ame.u'menl'i)TO*

EbM DO

OFERA'IING AGKEEM EN'T ofG repptd T-hoqlogio Lm

A>

a Nevz a IY G liabnity

companyttiko*compano thtmlalzeope lo- 1,lggg@ cNox '

,
tl
YzAtreemezrlkdnkM
andadopted onA qzY % 2e afysmxeztdjntoamongtbemkersignedCtmxsA MemlrrsofO
Com- y. ExcegtasethezwisedclneZ herem,
' an capitanzedlarznsshdl1%v0tlw meate
ax dbed tothem ia dw

' Agra ment

STA TIM
. ENTS O F FAG :
A.

'f'
htuldersu
'gnmiam allofbpclaisA M = e ofthecom palm = donlythClass

A Mezne bm *0rk:ttoVotm
B.

lhzrm antto Se ons6.4.1ard :4.1 oftho O- ating Agreemcnt,any .

meeZn!

amondmentto111.
' Apv tntrequireathe priorA/o*.eofaM ajorityiahterestoft:e
Mome lntitle,dtoVg*,=dtim Memlm bythekwrittaaconsem dntM mvendateH witb.

Ilm duty haploved tldsAmendm entto lheOpea ting Apermmztlad tNe M em % tarexx zdon of
tlltQnmn.

NO W ,'I-ITFA XFO RFO111, Clao A M em bgo hereby Rgrv'eaxfpllmu ;

1.

1Yedesnjdonof*Uni1(s.
1-setforth illSecdon 1.42of(hoOlm tz
'ngAgtvxzrw tis

heteby atnetxled h itsoatiretyteread asfollows:

eta.
12 *11.,+
' w'meansa unitofM mmW ship latemstaa a

01**qAMee orasaClm%BMemierinO LLCreyjeseqtinga

CapitalCzxkl
'buioltetheLLC inthefnm
''2

jm gmouat

ofTwA -SK lM11% ($M .00)NrUnit 1lz mrUnit

pric,e xnay lx adjusted from timeto time by ie Managzem-

Comgm'- hv.ed ulmn IH valuaEen oftheCcmm ny,intte zole

zlistvetian.'llp Czmm nysIhp.1IbeautlmrW to'= '

.Rthlfozowing
tktm tlvrand olasresofUnitm
.

..-.= ..

(;jmuqop
sv
guw
ka

Auiodvz
u uuw

CI- A Units
a arhsB Unif,

Bt10,(Y
2+ ,* *
Amepa eat$eopezxuxg

Id -page 1

evreppjd 0.ztu
- 1e 1

J Case 3:06-cv-00056-PMP-VPC
-6:l88kW=M#Dr'@lR J. Fr?',
Es, 644-12 Filed 05/28/08hC'Page
i@11 12F'of$6110
Document
hh.27. 2006
.
.
)
k >

Y w

2.
Exoeptaavxpressly am endedandm odifiedherobyythe
raltbaaEtxte:dhlanyoth> m = u aad slmnreanal
'n in fullfitcearld e-

' Agrccmo tshv

mqodginallyoxem ted.

3. Faoh of the Class A M emh rs zepreseal aad warrants that the oftlcmts or
rqxv'sentauvese.
xeoaltingtlzisA8reementazrdutyautio- to entlrinloexecuteanddelivertlzks
4,

ForcenwanitmctythisA meadmvntm ay bo<xecutolin mulEple cotuzterparts,eacb

ofwhichsiuallh deeanea4u op>' a ne eaqadv ofe cKs< x=do oaoAm-e =t

tobeolocuvea.oftcdalrand in thom %nnerprovidd Noreia

IN A ITN>

W M REOF,tlitpartiea hetetobm exxutod and d verd Y sFIRST

G
G
TO G
ED O X AW D OPO D O AGG G
OFON PD
TECO OLOOIES,LLC andie um-shag b:adopted asortbedayandyeazftrstaboqze vdttem
cTlvw idTeclmologies,LLC
A NevadaLimltcd Liabity Compaqy
By 11 ClassA M emicrs

THE

OICr

ST,DATQ
..D M AY IG 1994

By:

W 4 A N TF-EPP,!tsTrustee

FRIENDLY CAPIT

PARINEX S,L.P.

By:Frioa C+ ' ,lnc.y11CzeneralPaztv

By:
W

IREPPVIU Pm sident

G0

RY I?AM R,Y TRUST

By:
.

: 0

GOM ERY,11 Tte tee

By

3% - A M ONT

.0 ,.- .-

RY,ItsT

Ameztdme.tu Operx-' Ag- - ltvpxN ;

e'
rreppid 0103
> 1e $

Jiq.2).
299
6 5;19?M ..Rn -$93 J. Fr?Document
?, gs, 644-12 Filed 05/28/08
hg,Page
?21l 13?.of17
Case
3:06-cv-00056-PMP-VPC
110
*<.

.-.

x*K*m- '

..sp.=w.

ORIGINAL
SECOND AAR NDM ENT TO AM ENDED AND RESTATED
OPEIIA TING A GREEM ENT
OF
e'rreppid TecbnoloeiesaLLC-

THIS SECOND AM ENDM ENT (tlzc GAmendmeatM) TO AM ENDED AN1)

RESTATED OPEXATING AGREEM EM ofe'
l-reppidTechuologies,LLC,a'
Nevadalimited

liability oompany (tiw ''Comnanv'l datr,d and adopted January 1,1999,asamended by Fkst

Auwrlclmetd(Iatedandadopted7u1y7,2000(thct'W cratin/Aqrmmrat''lisdatedandadoptedon
M AY 25,:001,and isentered into amongtheundersia ed ClassA M embersoftheCompaay.
Exceptmsotherwised:fttledherein,ai1capitalizedtennsshallhavetllemeauingsascribedtothem in
tlw Oprrating Agrecm ent.
STATEM ENTS OF FAG :

A. '
f'
tm lmdenigne,darea1)oftheClassA M embcrsoftheCompany,andonlytheClass
A M embershavetherighttoVote.
B.

Pursuantto Sections 6.4.1 and 14.1 oft11* Operating Agreeznent,any mattrial

amondmenttotheOperatingAgreementrequitcstlleptiorVoteofaMajorityinInterestofthe
M cmbers(entitiedteVote),andtheMembors,bytheirwritleaconsentdaledevendatehere%ith,
havodulyapprovedtllisAmendmcnttotlwOperatingw+ eementaudtlxMembers'oxecutionQfthe
sm e.

NO W ,THEREFORE,theClassA M embershereby agrce qs follcws:

1.
The dcfuzitifm of x'
Prierity Reltmf'setfortllin Sedion 1.37 of ihe Cj
perating
AFeementisherebyamendodinit,
sentiretytoreadmsfollows:
'

'f137 priarftvRetura'meanstlm priozityrottuntoeachof

the Clmss A M embers and the Class B M embets of an aocm ed
cumuladve rett
m l on each of their resyc tive Net Capital

Contributiortyhlaaarrlourlte'qualtOFIFTEBNPERCENT(15%)per
nnnum,acore g ctunulatively from thedateofoontribuion oftlle
LLC,butnotcompotmded,proratedforauyperiodwhich isape al
year. Notwithstmlding theferegoing,aPriolit)rRettmzon in-kind
CapitwlCoatributionsshallb:oaloulatodandafa eixtaa amountne
gmatert%sntheaggregatePriorityRetttm accruinatoatlcashCapitat
Contributionste theLLC.''

t'rm ppidTecbnnlogies,LLC

Seccad Amtatlm entto Operatilg Agreem ent-pa> !

e'
Treppid 0104
* to $

Jiq,22.
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6:1@pk ,Dq'',J1s J. FryDocument
, (. 644-12 Filed 05/28/08/19.Page
2211 14?.of18
Case
3:06-cv-00056-PMP-VPC
110
.'

..

2.
Bxooptasexw osslyanendedandmodifiedhereby,tlm OperatingAgroouwntshalttmt
beajrected in any otherm anneracd shallrem ain in fttllforce and effod asoriginally execated,

3. Each of the Class A M embezs r/preseats aad warrants timt the oflicms or
reprcsentativesexecutingthisAgretmentaredulyauthorizedtoenterinto,executeanddeliverthis
Amendmenton bohalfoftherespecfiveM elnbe.
rexecuting thesame.
4. Forconvenience,thsximtlldmetltmaybeexgcutediam ultipleccunterpalts,eact)f
whichsllatlbedecmcdanorigillalo lwndmertt,andaltofwhichshallconsdtuteonoAmendmerltto
bteftctiveasofthedateaud inthemannerprovidedllereim

IN W ITNESS W HEREOF,thepartiesheretohaveexecuted anddelivorodthisSECO'

ND
M ENTTO AM ENDBD AND RESTATED OPERATW G AGREEM ENTOFeTREPPID
TECIINOLOCV S.LLC andthesameshallbeadoptedmsofth:dayandyoarftrstabovem itten.
o'lkoppidTechnologies,LLC
A Nevada Lim ited Liability Com pD y
ByItsClassA M embers

TI.
IE

01A T

ST,DATED M AY 16,1994

By:

rjlspp,Iisgrtustx

..

FRIENDLY CAPITAL PARTNEKS,L.P.

By;Fricn yCapita c.,1t.
sCzenerlPatttmr
By:

PP.1t5President
T E M NT

RY FAME Y TRUST

By:

> RY,RsTm stee

z)yi/
i RENDA

e'rreppid-reobm logies,LLC

RY tsTrustet

SecoRdAmeltdmenttoOperptle Agrqvmeut-pagez
e'rreppid 0195
- 1* 1

Case 3:06-cv-00056-PMP-VPC Document 644-12 Filed 05/28/08 Page 15 of 110

w

No.CV06-00114

ETREPPID TECHNO LOG IES,INC .

VS.

DENNIS M O NTGO M ERY,ETAL.

A
Ed
X.
m/
ltted:February 7,2006
RO NAL
By

O NGT , .,CLERK
,Deputy

''

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11'lJ' 3:06-cv-00056-PMP-VPC
LU'
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AM ENDED Ae RFZTATED OPEZATING AGREEM ENT

OF
'

e'lw ppid 'reclluous'es-l-t,c

A Ntvada Llmited-tzlnll*
llity Company
Ilat.ed attdAdopted
ElfectiveasofNovem ber1,2001
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Case 3:06-cv-00056-PMP-VPC Document

110
v, csy.644-12 Filed 05/28/08 Page
00.11117
1 of?'
2/57
.:

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-.

AMENDED ANl
;RESTATED OPEIG TING AGREEM ENT'

'

O1?
e'rrtppidTechqolozims,LLC
-

THIS
t EI)/ND IULSTA'I'ED OlE IIA'I'ING AGREEM ENT ismadeandeaterctl
into and cffectiveasofNOVEM BER ly 2001,by altd among t
ilosc Mkm bers(delincd bdow)
e
xc
cu
t
i
n
g
t
hi
s
Ag
r
c
cmc
r
t
t
e
Tr
c
ppi
d
Tc
c
h
a
o
l
o
gi
e
s
.
Z'C
, LLC,aNevadal
imited-liabilitycompany(the
.

ompafw''or''
Jz1f ''),andanyotborpeaons(detbtdbetow)wboshallillthofuturcbecomebound

by tl)o tcrmshercof.

ThisAgregzmentismadcwitllrcferenccto (hoCollowingfaca:

STATEM ENTS OFFACr:

A.
c'rregpid Teclm otogies, LI-C wasformGlbythefdingot-theArticlcsofOrganization
witb tlt
c Nevada Socretary of Statc on Septembof 28. 1998,fotthe focm ation pursuant* the

appliablpprovisionsofthoNRS(asdofinedhercin)
.

B.
Efroctivc Scptcmber 28, 1998,the Company and ifadopted theOperating Agresmentofc-f
sM cm borscntered into aad
rcppidTecimologios
.

aj

Technologiea.11C'')ttheuol
'icinalAareement'A).

LLC (fonncrlyknownas'lntrepid

C.
EffeotivoJaauary 1, 1999.tl
zoCompanyauditsM cmber8adoptr,d t
RcgtatedOp
ltcAmende,dand
e
r
a
t
i
ng
Am
cm
o
nt
o
f
e
'
r
r
o
p
pi
d
Toc
h
no
l
ogi
e
s
,
Ag
LLC toamendandrastatotlleOri#nal

v mentinitsontirdyttheultostatcdAareemout'')

'

2000

D.
'l''
hqRu tuted AgreemoatwasamendtdbyFirstAm
ntlmentdatodcffectivcJuty7,
= 4bySecoad Ameuthuclltdatodeffectiveht
fay25,

2001(tl40V macdexlAr= mBct''l.

B.
'Ilw M aaagemontCom lnidec aad itaM em brswho
thatitisi
areontitled (()Ve havode mcd
h tlm boatinzrest,softbCumgany and a1
1ofit,M cmW sSo amend afttlmstatetIZ
Amtrtdr,d Agrcxtmeatin itsontlrd'
yassetfofth hea in.

NOW ZTIIE'
REIX RIS iflcolulderation oftht f:tbgolng prentissand tl

ctvetlalltgand ctmditi
lt mutual
onsCIPntaIII:IIllereln,and wlth tht inttution ofbdug Itgally boqnd
llertby,tlltpartleshrttilagreea:fellows:
'

)
.

o.a

.
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-w - lrv - -

- u'rwf
-

atlut
yvtu gro #- Aeve e: opendngxgtvtxet4 - 1
e'rreppid 0a02
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%JuCase
11' Ixz' 3:06-cv-00056-PMP-VPC
r.0 U U

r
I'
fI
J' 1
:t;kl. 644-12 Filed 05/28/08 r1Page
0'/1E1118 of
IJ.110
7/b8
Document

ARTICLE 1
DEFINITIONS
-.

Bxceptasothcfw iscseparatolytiefined elsewhcrein thigAgrccment,fotlowing al'

thelerms
and mcaningsasusod tluoughoutthisAgreem:nt:

1.1. 'AddltionalU nlts''silallhavethemeauingsotforth ittScct.ioa 3-8.

1.2. 'W diustd CapitalAccountDeficlt''mcans,withcsy cttoanyM embcr,tltcdoficit

balance,ifany,in such M sm bezr'nCapitalAfxountasofilm cnd ofthcm lcvantFiscalYeAr,aftcr

givingoffkcttotlzofolluwingudjustmcnts;

'

I.2.1. Inclrase such Cagital Accountby any alutxunf.

s which such M cm& r is

obligatcd to contributc to thc I.

1r (ptlrstlanttothetermsoftiiisAgrecmcntorothotYise)oris

tloemredtobeobligatedtoconttibutctotlml.
1r1pursuanttoRcglllatiorlsSocdons1.704-2(.gXl)and
1.704-2(i)(5');and
1.2.2. Reducc such CapitalAccetlnt by tlle am outlt of lhe iterlu dasclibed ia

RgtllationsScctions1.704-1(b)(2)(ii)(d)(4),(5)and(6).
1.3. ''Ail%liate''lneans,whonusedwlthrcfcreacetoaspecified Persons(i)thepjincipalof

.l

tbePemon,(ii)aayPcrsofldirectlyorindirxtlycontroDingacontrolld byorundorcommlmcontrol
withsuchPerson,liiilanyPrzsonowningorcontrollipgTEN PBRCENT (10*)ormorcoftho
outstandingvotingintorostsofsuchPcrson,aftd(iv)allymlativtorspousofsuohPeofm.
'Aereem ent,'. eansthisAmendodandilcstatcdoparatingAgrconwntoftheII.tn.
14. '
.

as oziglnallycxcute,
d :m4 agam onded from tim etotimchereafter,asthecontoxtm quirea. w txds
suclzasGherein'''ttheroinafterr'*'xheroto.''''hcrcby''and ftll:totm dor#''whca used with r'
oferenceto
thi: Agretmont,rrferto thisAgrcementasawhelo,unlcssthc contextothonvise rq uiros.

1.5. lArtlcle-sofOrmnlz-atlorp'moats,collodivdy,theAzticlesofOrganizationfiled
with tlm Semtar,y of Stato (heainafar det
ined) oa SEFIEM BER 28, 1998,Filirtg No.
11C-5563-98forthopurposooffonningthcIJq gsamoadodbyCottitkateofAmendmentfild
w ith theSOCIrCIU'.yofStat
oonApril19.?,
(K

,tochiuyothenamoofthoI.1.C.and:nysubsoqurm

ceuilkatesand rostatemcatsto tlw AltilsofOrganlzmtiondulyadoptedin accorllaicrwithtllis

cntandpmm rly filed aadendonedbytheSectetayofState.

1.6. 'AvallableCasllFlow''mtans,withree&pem toaayFiscalYearorotherm riod,th

sum of4llcashrecciptsofth:LIX from anyanda11soumos,lossalloashdisbursemoats(mduding

loanap ymonts,capitalimpmvomonts&ndreplnrzbmeats)and:masonableallowm forReaerva,
contingenc'ieesacdanticipated obllgationsasdetrrmiaedbytlloM anagem ontCaommlte .

1.7. ttBx kDtnredatien''moimsforoachFiscalY= orpthe,

rm riod,im gmoqutequalto

theDoptexiatlon,oxceptthatifthcGrossAssctvaleeofD yassctdiffersfmm itsadjuste,d:agisf0r

fedemlincomeuxpurpoaeesattheG ginningofsuchp arorothcrperiod.Gbtxlkxqx:c,cituou''uith

tospecttosuchassd shall,txcq)ta&othrwistrequirr,dbyRcgulationssection 1.704-3(d),bean

' )

.
ovxkx- - s..

s.i
hwv..xvr.. .

xfv bsa

ytnh dau - --eaope- bnAgs qm<u -l

e'rreppid 0003
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Case
3:06-cv-00056-PMP-VPC
Document
Page
of l
110
UO I' JUFM . D6IIS 1' hf''
/lSi198.
/5S
UJ1l
.I7' ZU
tl' 644-12 Filed 05/28/08 d.
w-

Anw pnt-whichbearsthesanleratiotosuchbcginningGrossAssd ValueastheIjepfodationwith

respccltosuch assd forTuchyearorothcrpl odbearstosucbbegilming adjustodtaxbasis-

Howevcr,ifthefcderalifl
cometaxDegrcciatioawithaspecttosuchmssctforsuchyearis''zcrov''
bookdcprx iationshallbcdctcrruincdwithrefcrencetosuchbgi
nrting(JtossM sctvalueusingany
rcasouablemethodscloctedby theLLC.
1.8. StBusiness''orfdlluslltessortllelatf''meanstbebusincssofOICLLC asdGftnodin
Srotion 2.6 horeof.

1.9. GcxpitalA ccount'AofaM emborataaygiveadMoshallhavctbcmcanitkgsettbfthirt

Srection3.4.3hcreof'andshatlbodctmrmincd inaccordancew1t.11Sx tion3.5hcreeft
-.

i.l0, GcanltalContrlbutiollf'shallhavethomeaaiugsetforth irtSectiott3.6.1hceeof.

l.l1. GCla::A M embedsr meansthoseMomb= v civi
ngaPtiorityRotum (dosned
below)andhavingptiorityovertheClasB MembersindisdbutionsffollttlleLI.?C and in voting
rights.
- --

l.12. 'tCl% s B M em bertm mm'm s thosc M embm'

s r= iving a Plority Rdurn alld

receiviltgsulmrdinateddistributions&om theI,
1T!untilth:ClassA M emllersandclassC M embcl'
s
havercceivodthoirPfiotityRdum andaretum octhoiraggrvgateCapitalcontributfonstotlw LLC.
M w ClassB M emberasimllhavenovotmg
' rigllts.
1.13. GCIa C M embvrtsl''meansthoscM embcrsrc ivingapriorityltctttm anlhae g
priorityovortheCI- B M embttsindistdbutionshom titoLLC. V eclarxsC M emberssballhave
no voting rights.
-

. )
.

41

##
:

pm vlsion orprovisionsofarty succeedingIaw .

P0

t.l5. X ommltlteMembtrfsl''me-qnsanyof111oftitethroet3)Pmsom appblfe bythv

Ciass A M embors to so'fv cn tlm M acagtma!tComrnitt puzmutltto Sm tion 6.1.4 oftbis
eqt. 'I'he Comrnf
'qeo M ombers sbaltata11timesae.
l collx tively ast1w M Y gtmleat
Commtttoo,whioltslu1lboclkargd V tIAtimsopowirs, dutio and rtxptmsibititi% mqsd forth in
.

M ide6andolsewhc inthigASrGtIOL
'

1.16. O epreclation*m s,fofoachlqlcalYearnrotllerferiod.Rnamountequyltotiz

deprociatlotkamodia h'on Qrtlkcrcostrccovely reductilm allowablew1t1.r- ptto alassd for
such FilcalYeeatorothc perie

1.17. O lssolve a'meqnq(i)whenusedwithrefex noto4*IJq theeltrlicrof(a)the

date upon wllicb the LLC k torvnin&td purw alltto tlli:

Gzt, tllv NRS,orany simila

lpovisioleaactd inliout11:1.
00:or(b)thodateuponwllichtlw LLC raqr.- tobeagoingconcorn,
nnd(ii)whenutz'
z!withrefmrencfteanyMember,theoarlierof(a)tll:datculxm whichthettisa

Dia lutionoftlzeLLC or@)thodatehw nw'lliohsuchM= bvi'ge l'o1f1-

int1 T,I.t7is

tx inatr,dbynxansofadisqibutionoraezie.sgfdigtribu6ensl)y thoIT.t?tosuchM A bc.

.

- -- .->-

- - x- - - > -

(1:.Avq> ->dH w> R- -/-2OJw-Gz& >- eaf>3

eYreppid 0004
- v4Kp$

Case
uul
1.lJ' 3:06-cv-00056-PMP-VPC
LVUV /'JUC
J.

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w, '

Document 644-12 Filed 05/28/08 Page 20 of 110

- '('
.

1.18. tTzcoltomil'
ntercst''mcansaPcrson'srighttoshateintheNetProtita,N'
e,tI*ssms '

'

orslmilaritcmspursuanttoSectioIts4.1.1.4and4.l.2.5hcKof,andtoroccivcdisttibutionsfmmthe
IJ..C puouanttoScctions5.25 aud 10.4.5hcreof,whichtheassiglmrofsuchoconomicinterost
would othcrwiseboeutitled,butdocapp.lincludoanyothcrrigiltsofa M em berincludlng,without
lim itation,thotightto Votc.to participkttointhom anagcmcatoftheBusinoss and tfle affai:softhe
LLC;farany rightto igform ation concerning theBusinesstlctheI.LC.
..

l.i9. f'FiscalYe-ar'' means tho fiscalyear otthe LLC,t'

unning for the Ixdod of
IANUARY 1to Imd including DBCEM BER 31ofeach calcndaryear.
I.N . 'ffllxkqs Asset Valuc''m cans,with rcspoctto any assetofthc I.1f1 the assot's

adjuste.dbasisfoffederalincometaxpuqxlses,exceptasfollows:

'

1.20,1.The initialGrossAssctVf
tltleofany Assd contributcd by a M efntxrto tho
I.
JX sllallbe the gross fair markrt value ofsucN assct,as agroed betw ozn the LLC and thc
contributing M em lxr.

1.20.2.'l'llo GrossAssctValuc ofal1LLC assotsahalllyo adjustcd to oqualtheir

reespoctivogrossfairmarketvalucs,asmutuallyapm.
dbotwooatllc1J.r andthoaffectedM ombeds)
upon(heoccuntnceof(ho followingcvents:
1.20.2.1.n eacqtlisitionofanadditionallntcrestin tlw Llr by anyncw or

cxistingMomllerinexchangeformorcth= a#.
<m
.frlf
.mf4'CapitalCtmtribution;
'

1.20.2,2.. YheJistributionbythoLIX toaMezubcrofmorefbaaak

'

'

n'
nimis amountofcasb urproperty asconsideratlon forShe K quisitioa ofa1loraportilm ofsuch

Member'sInteteftintlle1.
1f-!iftltcI.
1f7reasonzblydetcrmine.sthatsllchadjugtm&tisnece-ssaryor
appropriato tom flccetthcrclative rftmolnicinterostsofthcM embersirttho LLC;und
1.20.2.3.The liquidatiolloftllo 1f!within the m eaning ofRegulations

Sectitm 1-704-1(b)(2)(ii)(g);
1.20.3.'Ilo Grou ArwsotValuc ofany I.1T!aasctdistributod to anyM em bershallbe.

0* grssfairmnrt-etvalqtofsucllrsetasmutuallyAgme bythet,tf andtheaf.

foctodNemborfs)
ecthedateofdlsttibtlunn.

1.20.4.'l'heGroasAssctW tueoftllel-lf asstsshallbeincroascd(ordezcmzserd)to

mflectatlyadjustlnentstotheadjuste basisofsuchassotspurmunt* Codesectiou1M (6)orozvla
sectlon74309,lmtonlytoth:oxtenttlmtsuch2
'justmontsam takmlintoaccotmtinX tcrmining
G pitalAccountsptltxuantRtgulationsSodion I,7A .1(b)(2)fvXm)and Soctiort4.9 hereof;
pmvidc hnwevor,tllatGror.qAssc,t'Vltk sha.
llnotbeadjustedpumttanttothisSection120.4to
th4Txkntth:f.1r!detfrmlncstlwtanadjustmentplrsuatlt* Se/
ctiort1.20.2aboveisneceauaryor
appropriateiqconnoctionwi< dlctr,nsactioathtwouldoth= isoresultinanadjllsunentuador

thi:seotiolt1.20.4.

'

j
;

oux --- aewu- --zexkevuvxwyt,,..-

- &f-Lt..A

e#<d# R*-nea 0pern''nnV emtnt-4

e'rreppid 0005
2e 1e t

UCase
ult'lJ.3:06-cv-00056-PMP-VPC
LUU() l'2Ut'f
l U0t!61t
lS 2' 1
'f1?' t1' 644-12 Filed 05/28/08 8Page
9./18121 ?.
/b8
Document
of 110
x

'

'
-'

'

<

Ifth4GrtlsFAsrtValueofapassethasbcende rmine,doradjustzd'
pt
ifsuant
-''ttiSiktioijf'l8-1 i'Ib)o'rl'l84abovo suchGrossM sctValueshallthomaftcr1* adjustedbythc
.

llookDeprociation taken iqtoaccountwith tm pectto such assctforpuqyoscsofcomputiilg plmfits

and losscs.

1.20.5-lfthe LLC aad anyalfocted M emk rpursuantto Scctions 1. 18.1,1.13.2 or

1.18.3 above are unablc to agrco on the Gross AssetValt,e of any assr.t forpurposees ofthis
Agrczmerlt,amutuallyaccepfablcappraiscrshallk sclectedbythem forthispurposc, afldthovaluc
establislle.
d by suoh appraisalsballbcbinding upoa tlm LL,C arid thcaffectedM imber.

1.21. 'r uarantec.d Paynleut''has tlle:mcaning sGt fortll in Secrif)n 6.7.2 of this
A pm ment,
.

1.22. '4LLP''or'tcompany''mcanse'lkcppidTechnologies. LLC,theNcvadalimited-

lizbility com pany fofm cd pursuantlo tho ArticloaofOrganization,

1.2. 'TLC Ieaafu''shalllrfe,

rto any Ioatu, lines of cmditoradvanccs m ado by any
M em trrto thc LLC . Faxceptllsotherwis:spccificdinthisAgmomeat, such LLC Loallsahall.bcar
ifltcrcstatthc f'
atcagrcod to bctwemn thcM om borand tlm M aaagememtCornmittef.
1.24. %T LC M lnim um Galn''m can6thcamouatdotcrm iacd bycomputiagwithlm lwcetto
cach nonrccoursoliabilityoftheLLC . thcamountofgain(ofwhatevorcharactcr),ifany,tha would
.

. ''.' j
l

bomalizcd bythef.lr ifitdisposed(inatu abletransactioll)oftheProportysubjtcttosuch

IiRbilityn fullsutisfactioathcr- g, andforaootherconsidcrat
iolkandsubjocttoth:othorlulc.seet

fortllia RegulationsSem ion 1.

704-2, and bytllcn aggregatingtlm amouat.sso comptlted a,qsd ftlrtN
i

nRcgulationsSection l.704-2(d).

1.25. ''M alorltyIu Illterest''or*'M aioritv IuIfitqrestoftbeM em bersc mealju, unle'ss

olonviseplnvide,dintllcAgrecmonq(IAtPCtXXmtM GIrttor>tsofthcctassAM tmh= , wltich,takea
.

togotber,excocdFIFI'Y IY RCF.NT(50*)orthoaggtq atoof:llPrceatugeIntorvstsheldbya11

ClassA M emborseatitledtoVoteorpwttconstmtwithr- txctto thm m attcriaqw tioa.
.

1.26. q'M aRaee.m e.tztliomtnlttv ''memu,collecfvely,tlAetiv1mh13)CommtteoM omboru

-

apgointetlbytbeClassA MembcrstomanagotikoTJr puruantSoSetion6.lofthi:

motkt

actmgtogethertomanagetlteLLC iaacotdanca withtlm tra lsaqdoaditionsofthl:A

Ot
TheM anRgemctCflmmitteesilallbechargedwiththosepowers,dutiesuadmslxasibilitiosasKt
forth iftAttid:6 m14 olsewllott iu thisAgr moat.

'

l27 GM anaeer''moan:tllePeersonappoint/ undorSection6.1.1oftbisAgroemo tto

m
a
na
g
ot
hol-tf .TheM mugershallbocllvgedwitllthospm ers,dudees.adrralxmsibilitiesassd
f
ofthin Attide6a 4 elswbereintidsAgrezment.
1.23. 'M ember''Iw IZSapersonwho:

r
. '
)
-

e z- a---n'w -- - yf,- s-

w -xtluaviG - ao JlG kez/r'- OperatingAgreetnent- 5

'

e'Treppid 0906
29*317*21

''

qr

U dCase
1.1J'3:06-cv-00056-PMP-VPC
LtlUD l''
J1r'1
1
i?UUt)'d5 0' f
u le' L9. 644-12 Filed 05/28/08 R'@1bl
F'110
1/77
Document
Page 22 of
'
,

1.28.1.H> beeqAdmittr.dtotheUT asaClassA M cmber,aClassB M embrrora '

d assc k'
embcrinaccordancewqththisAgrccmcntandwhohasbecom ea M em bcrptlmnant(fa
,

secuoa8.3 hcreos.
1-28.2.Hmsrtotrcstgned,Fidldrawnorbo aexpellM asaM om bcroc,ifotlvx tk4n an
individual.hasbccn dissolved
.

1.28.3.llas paid ltisCapitalContribution to the LLC in cxchange (orUrlit.sin the

LLE ,or,in thccaseofatransfcreeM om l
x r, ha.
succeetled to thcCapitalAucotm tofthe transfcror
M em txr,aud who ha: bccomc a pady to tt'
kis Ayoomo:ttby executing and subm itting to the
M arzugeracouqlerpaftsignaturepagcto thisAgreem cntaccepting tbeterm sand condittonsof, and
ageeingto be bound by.thisAgrecment.
Rcforoncc to a uM em ixr''shalll
x ,to any oncof1ho ClassA M ombets. tllcClassB
M emlxr:ottheClasi C MomfxtsofthoLLC ideatifted ia Sm tioa 3.1 below ortts otllerwist
supplmontedandidontificdonEXHIBIT A attachedtoaqdmadeapad ortlgsAgm ementv which
cxhibitmay be amnded orm odificd fm m tirne to timewitlloutthe conontoftllc M etlibers,
1.29. GM km ller Ntm recoulv Debt''hasthe moaning ctfodh in Rogulation: Seztion

1.704-2@)44)forE'partrtornotlrocourscdebt.''
1..30. fdM embcrNonrecourR lebtM inimum Galn''meansatktenouatx with respoctto
(NK IIM cmbcrNonrocourseDobt,e4ualtotheLlf Minimum GainthatwouldlrsultirsuchM embcr
N onrecour,
!o Debtwem tremtedmsanomrcourseIiabilityoftllotlr ,dotcrm ine.din accurdanccwith

''

RegulationsSedlonsl.704-2(i)(2)and(3).
1.31. f'M ember Nonrecour:t Deductioss''h;t
s tbe meaning setfollh in Rcgulatilms

Sm tion i.74-2(i)(2)for'Tpartpetnenrx otlrscdeducticns.'''

IXOanw untofM embr.rN oam coursc

D eductioftswitltrespoctto & M cm br,rNoqrccourseDcbtforaFiscalYearofthe,LLC equalstllo

exoeess(ifaaylofthone(lncreaso(ifauy)intllcamountofMcrnborNonrocoursoDobtMittinxm
Oain attributable to such M imlxrNortfecourseDGbtduring thatPisculYearoyertho aggmgate

Ilmountcfanydhtributionsduringth1FiscalYeartothcMmberthatbearg(ori:deeme,dtoholtr)
tboectmonziclorwqforsuch M emborNonmcourseDebttctheextcntsucb distributionsarof'
rom thc
procoods of 4uch M em bcr Nortrx oursc Dobt and arr allx ablo to aa increaso in M ema r

NonreroufloDebtM inimum Czai.

nattributabletllsuchM omberNomrcourse DobtdetcrminM in
accord.
ancow1t11RguhtionaSection l.704-2.(i)(2).
1.32, RM tmbersllip lnteresp'orlntercst''Inransan ownirship intrrcstin th:I1f1.
whichlndudesaM emlxr'sFxonomiclatcmsktllorighttovo orparticipateinthemanageme,ntof
-

tlwTlf!clsrdtltod#tttoinfotm4tioconcemicgthtitffa'
trqudBluinessoftlw (.
f7Asprovidodin
thisAgre= rfttandc dertlzcNM .n MkmllershipInt6r%tofaM omlxrlincldld'
lngthoBrelmoznic

Intomstlcmutptee-qdzoporsonalpxpcftyoftIIGMeIrIIrT.NoMcmboqb'yvidueofhisown= ltipof
uM emlo hipJnt:re-skhasorowns,orisdoomr.dt:have,orll$% aaintnfm tina1loranypartcfthe

Iz,
t7.:pmm rty,

ova......,.....a.
u= ,vcv..4w;
wk
vv..wj:--

. wjtutyvtu md/lAdlr,dR<&# e.4Op<m&*ngV re4#afv.-6

e'rreppid 0007
- 1.1* 1

JtCase
h.$U. 3:06-cv-00056-PMP-VPC
JCVC ECJ6UR Uqu4li: J. Lt
yis LSl. 644-12 Filed 05/28/08 d6'
@l5123F'
/5S
Document
Page
of i
110

1.-37. 'tNetCapitalc otttritlutiz 'mcanstM ertttm-r'sCapltalContribution,asofauydate,,

RED UCED BY alIpriogdistlibutif-msofaM embcr'sC'apitulpuluanttt
.
lAzticlc5aud/orlztide10
hsreot.
.

-. -

'

I.34. <sNetPrvtittsl''attd'tNetImfiskstesl''mean.fofoachlRiscalYcaro:otherm litu1,an

-

am ountr-qual(o the 1.ffr'staxableincomoorlossff)fsuch yeart)rpcriod,detorm ined inaccordance

witttCodesectioq707(a)(forthispurpose,allitomsofincome,gain,lossordreductionlr.equilrztbc

statedscparatelypurstunttoCodescction703(a)(1)shallbeincludcdintatableinconx orloss),
wit.llthofollowiugqdjustmeqts:

I.34.2.Any itkcom e oftlm I.

fE tllatis txem ptfrom Ftderalincome tax lmd not
othcrwise takon into accountin computing NctProfitsorNeztLm sesshallbe addcd to suh taxable
iucom orloss;

'

134.2.Aay exponditures of thc LIf delcribeflin Ceo& aectit

m 705(bX2)(B)or
treated Jts Codc soction 705(b)(2)(B) txm aditures pursuant trg Rcgulations Scctllm
l.704-l(b)(2)(iv)(i)andnototbem isctakenintoaccountincomputingNotProfitsorNetIossr.s

sha
'llbc subtractrd from such taxableincomcorIoss;

1.34.3.Gaioorlossmsaltingfrom anydispositiont)fPropcrtywithrrespoctto.
whkh
gainorlos:srccognizG forfeederalincometaxpurposesshallbrcomputedbyrefcrencctothcfair
m
P arkctvalue ofthe Property dispused of, rlotwrithstandiug thatteadjustod tax bwsisofstmh
repM ytliffersfrom itsfairm atketvalue;
'

)
'

l34.
4.la Iicu ofdepreciatlon,amodization,andothercostrecovov dtductitmstakem
into account in computing such taxablt income or loss, thore shall be tuk'
nn into account
D opm cialioa forsuc,
llFisct
tl Yeavor othc,rpe,
liod.computod in accordanco with the subscction
heroofontitled :t
D epmdatione':and

1-34.5.Notwithstandinganyotherprovisionofthissubsoction,anyitmsofincomo.
gain.Iossordeghctie!lthztavespecificAllyallocatc,d sl1:llnotbotakoninto acoouatinoomputlng
NN W ofitsorNotLosses,
'

l.35. t6NRS/ v ans Chaptor 86, Sectioas 86.011 to 86.590,of the Nkvada RoYised
Statutees,&%amGrtded,oraayceorrotptmtW gprovisim orpmviiiolu ofany:t!
'npltm .

1.36. fflYrcklltaeelnteresttsv'ineealu afractlon. expmssedasa

go,AQntlmeralor
ofwhkhisthelttlmlrrofUrti? ownedoffecordllyaM emberandthedrnominatorofwhichisthe
atm gatenum* ofaliissuedand(mtstandinglhitsoftheM embersatth;timeofthecalculatial
n ePelcclltageIazr-stgofthoM Gmbersshallbcra forthonEXH IBIT A dtacltedI'
lomztoa dmldr.
h
hpmlofthi:Agreemem , which exhibitmay1>amondr,d andmoditbd from timetntimebytht
M o agerwithoutQz conscntofthcM emu ,
137. GPelw ll''mcansaninclividtul,partnership' Iimited partlwrship.cofm ration,trck
estate,asociation,limitod-liabilitycompany, crcthoremuts whotu rdolnustlcorfotrign.
!

l
1

ouu,-a- .-ds- woqsvlwx-a- qreaqxw- wt- :

.

'AxrmatjqtsviotAzxeadefflpul#e#tc/xl; opqrne'-ggtwement- 1
eerreppid fe ep
> 1.- 1

'

'

'

Document
Page
of 0
110
J8Case
p.I8.3:06-cv-00056-PMP-VPC
8dpL /:7IFlp DqLllz J' FC
'' ESC' 644-12 Filed 05/28/08 80.
718124 2.
/bS
,

w .

* 1,

l.38. 'tprincipal''mcan:tho Pcrson thatisin uitim at

econtrolf)fa M cmber.
l.39. 'ipriority Return''m eansthc ptiorityreturn to cach ofthe Class A M cmbers
,
Class 11 M cm l
x gs aud thc Cla
,t
he
s
s
C
M
c
mt
mr
s
of
a
n
accrued cumulative rrt
'urn on cack oftheir
respectivcNd CapitalCo
ntribtltionsiaartamountequaltllF'PTEEN PERCENT(i5%)pt:falmun't,
acfenling cumulaivelyfrom thedateofcontributionoftl
w LIE .butuotcompouftded. prcratedfor
any priod which isa paztialyear.

l.40. 'tpropflr

/'(twans411oranyperstmalprogcrtyand othcrasxt
tanybl,
'
zandintangble,it
sof(hcLLQ btlth
n
cluding,butnotliraitzd to,ieTeM ol
thereof
ogytdcnrde lewl,oranym dion
-

1.41. e'Regulationsl'or4qXreasurvRezulytions''
ptom ulgatodbytheTroasuryDepartmcnlutldcrthecod meansthefodcralincom cti
u rcglllationd
tlmet
o,assuchregulationsrnaybeamcndedfmrn
o tim e.Allrofercmcoshore'
iuto a upecifi soctionoftboReg
ulationsshallbedeeeqxd alsoto
m ferto any cotx spondtugprtAvisiotw ofsucooeding Re

gulatitms.

1.
42. 'X evaluatlanEvcllt''moansatlyofthefollowingo

oftushorodlerproperty(oth
ccuramces:(1)tl
zectmtribtltitm
orthan ade p'
lfaffrlflamotjqt)by anew orcxiating M emberto tht3
capitaloftheCompanyas11cunsidtrationfortheissuanc,
ofcashorPmm rty(othcrtllanldrmnimisalnount)toaoMof
AdditionalUaits;or(2)thodiseibutioll
cmborinexchan

Compaa
go foraaInte,restin tho
y;pm-vided thatstlch cvontshallnotconititute aRovaluatiou E
Committooaas
vcntiftheM anagemont
onablydotozrninesthatitisnotflccessarytoJldjustthcbookbasisoProm lty ordm
M embcrs'CapitalAcoouIttlinonnectionwifhtheoccurrelweofallysuchcvont
pm visitm istoco
. Axci
qtcnttAttlli:
mpty witlltIITprovisiot
u ofRcgulutionsSocton k.704-l(b)(2)(iv)(9 andgh4llbo
iaterpretcdcousisteat!ythercwith
.

. 1
.
.'

l.43. f
Kceuly> ''meluufundssetiksidcrrom CapitalGmtribue nsortovon

ue,sasrea k-vcaq.
Such Rtscrvessllallbemtdntainedinamount
s
r
c
ao
na
bl
y
d
x
me
d
s
uf
f
i
ci
e
nt
by
t
h
e
Mxqflageme'llt
Colnmittcm for working capill and the pa
yment
of
t
l
t
xcs
.
i
ns
ur
a
nc
o
mplaccmeat
dobt sorvico,mpe .
sreuowals.orothGrcaqtg ore&pensesincidentto (lw Busine,
alternativ
ssold)eLLC,orin tho
r,tM Dissolutilm oftlw U .C.

1.44. V twcretarvofState''meangthosec

ofStatzofthcStat
eofNcvada.

1.45. 'Alnittsl''meansaunitpfM emlxx&hip InterostasaCjassA M ombcr,aClassB

M embqroraClas:C M omborin tlw I

f7.

1.46. *4uitOotiljh Plah'.shallhuvethemoaningsetf

orth ln Seciion3.8.
1,47. uun1tYalue''shalllt4vothomcaningse,tforthiq Sedifm 3
-

11.

1.48. ''Vltte''means,exczptwher:suy rtezledbyanotberscctletloftlki,Agfezmect

may bem quircdllndortheApplicabl:proviaioosoftl
vora:
th
leNRS.tI:T Co& orpplicableRogulatiocs
croundec tlz voteaoftheC'lassA Mem/ s , wfmtherbybdl
' otwrittinconsectorayoicovote
whcrciceachClassA Mombtrshallhavandcastanuml rofvnt,
,
e
s
GI
U
a
I
t
ot
ha
t
cl
a
s
g
A
Me
mbe
r
'
s
PrrcemtageInteresL

'!

o'-

-..- swh -

- <-

qfafz:dyviaw/illdrf
gfetfe M f4#g#Oprrkh'
-ggrenmnnt.- 2
e'
Treppid 00*

'

Document
Page
of 110
J2Case
p.l8.3:06-cv-00056-PMP-VPC
2ddb /:31?k D9dS18s J. Ff
o' Esq' 644-12 Filed 05/28/08 89.
113125 F'
1@/bC
v

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, % w.

N 3'

ARTICLE 2

INTRODUCTORY MAW ERY

2.1. W rm atin oftlltLLC;Adoptitm ofAzreement. TbeI,LC wa.
slegally farganized
p
t
t
r
s
u
a
nt
to Scctiofts86.15land86.201.1oftheNRS byexocuting, acknowlodgiagtmdtilingthe
Attfclcsof
O rganizatitm andtllccoditicateotaccogtartcooftftzm sidemtagcntwiththe Secrotafyof
S
Ptatc,andpayingthc rcquiredfiliqgfee..qthercfor.'I'
heM eluk rsexccuting tltisAgrc m cttta,dany
er
s
on
s
who
I
c
t
t
he
g
u
t
u
r
e
b
ec
o
mc
b
t
l
un
d
by
t
h
i
s
g
rtcmenthrreby adoptthisAgreemeata$tlle
O
ptxating Agrccmutoftho LLC.
-

..

2.2. Namm ThenamcoftbeLLC isZieTreppld Tech

nologles,LLC.'' n oM cmbets
undetsuchnameoru&osucbotlleroradflitionalIlamesasttle
M om bctx Inayda m (tczcossae orte,Cimb
lovprovidu allsucb nameornam esshallV incompliancc
wifh tlic NRS and otherapplicablo laws.

slta!loperato theBusinessofttm LI
.

2.
3. PrincipalBugiusO fscm n eLILC shallmaintain itsprincipalbusints:oflicoat
S9DLAI
QP
.SI
4OIG BObO AO , INCLINEVILLAGB IVADA 89451,withamzilingaddmss
ofP.O .BOX 4964, INCLINE VILLAGE NEVADA 89,4NI
50.orany otherIocation asdcterm incd
,
from timo to tim eby tlho M anagem ontCom
mittee
.

2.4. ReldentAzenl;Reo tered Om cew ThetlttmeandaddressoftheLix 'sm

agentupon whom pro
es
idont
cex
ssmay I)csen'cd,orauoticcordemaudauthpfizcdbylzw tobeservedupon
th:I.If7maybeservcd,iGKLRF/
SIDEIN
PINAGENI'
/FAWGS,m c..aNevadacolm ration
streotaddmss in Nevada is 1100 EAST W ILIJAM S'Io
, whos
IIEET,SUI'
I
'
B
2
0
7,
CARSON
CI
TY
,
NIW ADA 89701, and whthsemailing addrcssisP.
O.bOX 3679,CARSON CCI'
Y, NEVADA
*9702. 'f'
i:orogislredofgoeofthel-lf!inNeva% shalbthoaddressoftllollr 'sresidentagont
.
el'ltel ationoftheLtf 'smgistotedofficoorthenameand adO ssofitsrees.i
dentageak orboth
ma
m
ay onlybcchaagedbyfiling aocrtificutcofchacs;withthe,SecretaryofSwtein thtform mld,
nnorroqairr,dbysuclloffke.

2.5. PerptulExisteace.

Assctfotth in theArticles ofOrganization oftho f

T
J
rs
b
a
t
l
h
a
v
o
mt
r,
t
u
a
l
o
x
i
s
t
o
n
c
z
lr.
tho
un
tiltholJrli:tr.rrnlnnfedordinsolvediqa= mhrlceowi
,
A
i tlzis
-

S
.

grm met.'
I1z exlatw l;oofthrI.
1r shdlcommencz a$oftheeffxtived
BBR 72
atcofthisAgmeemenk
1
998.
,

2.6, 1N: ealtd IlusitksloftlteLLC.Theputposoaqdbusinexsof0 1

dervelop.patcnqdirspos
.,1
.
E sikalllxto
tributrv litm scandoxploltinanymanno'
rand oa&worldwidtbavigtl
stlhwarecoalplrisioute
vatcee :t
-

chnologyownodbydloIJ,
t7(thoq'echlwlfy#')andlllfinAllf;eaayandall
of
t
h:
f
ogoi
ng
a
c
t
i
v
i
t
i
e
l
(
c
ol
l
e
cdv
o
l
y
,
otherla
the:*1
3tlsllleas'll.'
IlrLIX mayoonductorrngaqoinany
K B wfulactiyitythatthcLtf deeznsianecessary, incidcntaltoordosirablillconnttlon*1t11
usinossofthel.
lr ,

3.7. N:h *%iuaIAvtitodtv

.ofaMe v qr(11- 1* M ember.NoMema ror
-

Cxmmlttx M eml r,tlctin:&loaeowitht1+ M anq et

anyothorCommluecM cmbet cffice.

ror

r '
)

c- - u - -

- - e-

- - -

nfL-timtA n a y Rat- dop-h*-g r,4a!:,f

Yreppzxw9 .j
,
> 1.(m 1

Document
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of 110
J2Case
..1S,3:06-cv-00056-PMP-VPC
206 ?:318k t .1Sl8T J. Fr
rs.8Si. 644-12 Filed 05/28/08 d
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otllernon--mauagc,rM brnber.llallhave the autllority to actforf or to undortakr orassume,any

obligation.debt,dutyorrcsponsibiiity onbehalfofthc LLC .

2.8. TifletoPropertyfn the NameoftlleLLC.AbtPropejlyownetlbytheL.

LC shallbc
hcld and owned arld cofkvcyancc m ade ia thc name of thc 1.LC. AlIagreemects,dcvumonts,
cortificatesand otheriastrtlmoaf
.spr
ovidiagt()fthc.zcqttisitkouorothtxllisposititm ofPropertyoftho
LLC shaflbe valid ald binding upon it, exozpt(ksutllenviso ptovidcd hcreinvifapgrovcd by tho
M anagemcntComm ittc,
e and executcd bythPresidtmtt)fthc LLC asprovidcd forIwrcia.
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--

2.9. M alutenanceofConlpanyM lnuteBook. Recor

d KeepinzD uties.'I'hc M anager
.

(ortheSecretary,ifonejsappointedbythoManagmentConzmittec)shallkeepalldmaintainor
causctobekeptandmaintaillcdacalrupanyminutebooktoincludethcArticlosofOrganzationottlloLl.
,C andthisAgrccmcnt,Jm dallyamcndtfieutstflcrct,andIninutesofallmei
ctings(orcortse'nts
l
l
l
i
eu
of
mc
e
dng
s
)
ot
(
hc
M
a
na
g
eme
nl
Co
n
uni
t
t
e
o,
wr
i
t
t
r
n
c
on
s
e
t
l
t
s
of
t
h
e
M
em% rs, andother
i

rnportantdocumentsofthc LLC.

'

ARTICLE 3
MEM BERS,C U ITAL CONIX IBUT IONS
AND VAPITAL ACCO UG S
- -

3.1. NamesvAddressesand Classez ortheM embtrg. Thccom plotenamcs,addmsscd

andolassisofth:Memlxrsoff
lleLLC arege(fortlloaEXHIBITA attachcdherdoantlmadoa#lt
ofthisAgmcm euk which eAhibitm ayboimzcndedormtxlifiedfroln tim cto tim cwithouttim cav

octheMcmbers.

nt

3.2. M embtrCapitalContributiolts.A11CapitalContfihzdonsoftheMeml rsshv l)o

sd fo% onFJX HMXT xrtnnhr,dbea to aztdm adoapartofthisAgrcemcnt,whicbeb ibitmzybe
I
Clrnendodnrmodifid from timctotimewithottttlwconsontofthoM omlm . TheM tm lm 'Capltal
otltribvtiolusslullboiaoxchaogoforUnitsiothol,tr assotforthonEYHTHIT A Mf'
artbedhcrezo.
.

3.3. AdditiqltalClmttalColtriblttiotu RndLLC tmans. Inthc,tveltG M.

anAgement
Commite dotermincs thataddiuonalfunds atv mquirod for tilc oN ration oftht Compally
(including capitalexm nditums and dobtsorvicol. tlm M anll& m ontCom m iff- may callfor
additiocalG pitlContdbldionsfzom theMtmllcrs(thd'iAddidonalCapitalContribution/). Auy
callforAddidoalCapititlContrflmtionssllall% bywritttnnoecotothcM emboraxttingforththe

amouctofAddittcnalContribudonsncede,dandthcdatebtwhicllthMemborslallcontribute

which datoghAllnotbesooner(IIJUIton(10)tlay:ofmcclptorsuch notice AdditionalCapital,

.

Contribuqomqahallbe pro rat: busr.d on 11): M cmbM 'rezpectivo Pottontago Infef- tg. Iunh
M
cmbershallhavetlleIight,butntthobligation,tomakran AddiuenalCapid Centributienat
t:itetimespezified intlloM anagementCornmitteee'snoticc. Ifany M em berdfx snotrfuat'othofull
nmountfamqw tedAdditicmalCapitalQmtribution,tl)eManagemeqtCommlttx mayleotK y
one.oranyombinalilm of,thfollowingoptions;

3.3.1. 'lheotiierMomlxrsshalihay:th:Ikhttomakrthecontribte nreql= tod

from thenon-conttibutiu MembtronaprQrm basistbasc,
d(m tlzecontributingMcmMrs'rtlatlv:
'

cm

..g '

w- v- -

aslLwzsyvA

eA dq# R<da# Oi- fizzgdpvezfze?zf- 10

e'freppld 0011
m 1.* :

Document
Page
of l
110
J)Case
,.lS.3:06-cv-00056-PMP-VPC
2005 7:7221
IIIS J. Ff
?9, Esq. 644-12 Filed 05/28/08 F9'
'10l27?.
2/bS
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* :

PerccntagcInterests)orasthcyotherwiScagrcc.IfAdditionalCapitalCoatributionsafematloby

'

som e. btlt rtot a1l M cm bca, no distzibution of Distribfltable Cash or any retum of Ceapital
Contributionsshallbem adetoaaynon-contributingM rm bcruntilanamouatoqualtoonefb nclmd

FiftyPcrcent(150%)ofsuchAdditionalCapltalCtmtributionsarercturucdtothoseMembefswho
l'
nadesuch AdditionalCapitalContributiops.
3.3.2. The Class A H embersshallhavo the figl!tto m akc the AdditionalCapital

Contljbution requcstezlfrom thonon-contritmting Membefon apro ratabasis (basl on tlho

conttibutingClassA M cmbm'
s'rclalivePorcentagelntcrcsts)orastlioyothefwiscagree;or
3.3.3. If no other Class A M em tvrm akrs thc AdditioqalCwapialCzontfibution
requestcd from theuon-conttbtiting M embcr,thenthoClassB M embersshallhavethcrighttomakc

theAdditionalCapitalContributionrcquostcdfrom thenun-celltributirtgMcmlxronaprora/ hagis

(base,d on thecoatributlng ClassflM'

embers'rclativePorccntagc lflteresi)orasthcyother
twise
agroe.

In the caqc ofcitherScctiou3.3.2 or3.3.3 abovi,tlm Com pany shallissuo to re h

contributingM cmlxrtlteaumborofUnitsdctermincdbydividillg(i)theamcuntofcashorthc
GrossAssctValucofotherPropezlycontribuled by such conttibuting M omberby (ii)tttc Unit
Valuo. as dctctm ine.d by thc M anagement Com m lttrm in connectioa with such rcqueat, for
AdctitionalCagio lCoatributions.
IftlteM anagomcntcofnm ittoocktemzinr.
s(.
11111theCom panyneodsadditionalfunl ,
butd'
etecttirteesnottorcque:tAdflitiouzlcapitalContributionsthomfor, tllrM anagemmktcommittco
'

m:ycatlsetheCompaRytoselladditionalUnit,
spursuanttoSection3.8belf)w orboKowsuchfunds
from any Person, including any M mbetorM em bors,uponGuch torvnKand conditiongAsm ay be
agreed toattho timc.No such loatitotlzcCom pany from &M imbershallbo deem ed * coastim tea

CapitAlCoatributjonand shalluothlcrcasctheCapitalAccountts)oftheM emberlp)makinzth

lolm .

Noneofthetorms,covonacts,obligationsorriltsoontainedinthisscction3.31dor .

shi
ttibodcemodto12 forthebcnctitfmlyPorson,othtrthantheM om bczsand tlm Company,aud

nosuch third Porson shallunderanj ci

zctmutanceshave mty rightto oompolartyactionsor

paym ents by the M aaagem entCom mltteoand/ertlm M eml rs.

3.4. RlzhtsW lth Respec'tto Capid.

3.4.1. ELC Capitat NeMtmk rshllIovetLeIighttowitizdcaw nrmcivoany

mtum ofitsCapitalCtmtlibuuoa,and no CapitalCm tributilm may i. rdurfled ia thoform of
Propertyotherthancash,exccptasspecitkallypm videdhotcin.

3.
4.2. NolnterestonCanltalContrlbutlens.Exce'
ptasoxprasslyprovie ftx in
thlsAgrrecment.coCapltalContributioaofanyMembc shallbearanyintcreatorotherwiseentitle
thecontributiagM embortoaaycompnsationfortuooftllecontribete,dgqpital.
'
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pe l-aaxumu,mx.zw-

'w v

Avw tlt
pqlpvew t- azfed ana #e#z,god Op.'.%.il-gztgreeord - l1
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Document
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of I110
JhpCase
IS. 23:06-cv-00056-PMP-VPC
006 7:72/4
!18s J. Ff
ki, ES9. 644-12 Filed 05/28/08F'.
7lSl 28F'
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3 4 3 EstablislunentofCanit'
alAccunts. A scparate CapitalAccountshallbo
eqtablishcd and rnaintained forcachM ember-Forrecord koepingpurposes,oach M emlvtr':C-apital
'

'

Accountwilll)escparated itito acontribution accountand aq iacomc tloss)act

x uatarld will6c
maiataincd according to gcneraply acccptcd accoucting principlcs. Sections 3.5 and 3.6 lx low
doscribethe apgroprialz acceunting (reatmmltfor(ax purposesoftlle CapitalAccounts.
3.4.4. No Paym entofSalariesorDraws.N()M embershallreeceivcorbccatitleed
torwxivcany paymentofsalariesordrawswith rtxpef;tto it CapitalContributionorthebalancein
it.
sCapitalAccountorforservice.
srendtvetlf
)nbehalfofthe LI.C ocotttel-wiseia i(scapacity p.
sa
M cmberofdlc IJr,cxccptascxprtsslyprovide.d fbrinthisAgrccment.
-

'

3.5. CxeneralRulesforbeteratiniu:CapitalXtcounts.The CapitalAccountofeach

.

--

M embcrshallbedeterminedasfgllows:
3.5.1. Iltcreascs. TheCapitalAccountofa M cmbershallbe incrcased by:
3.5.1.1. n eamouatofm oney contributodbysucllM ombortothecmpany;

3.5.1.2. TllcGrossAssetValucofpl'
opcrtyconttibutodbysuchM elnlxr(Re.t
ofliabilities secured by sach contributcd propcrty tlmttho LIX is considomd to assum c ortake

subjccttounderCodesection752);
3.5.1.3. Alltiabilitioqortl
w l.tr assumcdbysuchM em ixm excludingthox
provide.d foria Sezction 3.5.2.2 below;

'
.

k/

'

3.5.1.4. AtlNd ProfitsorthoLLC allx ate,

d to such M cmberpulsuantto
Articlc4 orothoritemsin tho natureofincom oorgain specially allocatod bemundor,and in each

ciuc,appfopriatclyadjustedtotaktintoaccountbookandtaxdiffemnoes;and
3.5.1,5. Any incmase lm ulting fm m aRovaltlation Bvent

3.5.2. Dcrease-s.'l''
tz CapitalAccountofaM cmbcrshallbedec
3.5.2.1. Theamountofcms distributred to such M em bec

by:
.

3.5.2.2. 'l'hc(kossAssetW luo ofalIKtualand deemrd distributiofl:of

propetly made tosuch Mcmbe,

rpuzsuantto thisAgtecmcnt(netofliabilitieessccutedbysuch
dlrzributcdpromrty(11111theMcmlxriscnsldorodtoassumeortakrsubjocttoundorctxl:sectiott
ep52);
3.5.2.3. A1lliabilitisofthcMemberassumr,dbythetzlx ,oxcludingtlt:e
provided f0rin Section3.5.1.2 abovc; '

3.5.2.4. AllNcttm s> oftim I.LC allv teddto such Memlvrptuxuantto

Artlclo4orotheritentsitltilonatureQflossordeductiocspeciallyallx atcdhemundtr.andineach

case,aggropriatelyadjtutedtotak;iutoacountbookM dtaxdifferenoos:and

)
qxhq.xw-.adx.'

e ire-x- la.-

&tx kvie

e 44W Restneu op- hn

'gdgretrzzzezM- 12
e'freppid 0013
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1S. 23:06-cv-00056-PMP-VPC
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slq -1. 0t
??, Es9. 644-12 Filed 05/28/08FPage
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1.5.2.5. Ariy dccrcasc gcsulting from aRevalul on Rte-tlt.

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3.6. SpeclltlRulesW itllRu fht'

ctto CapitalAccoylllt
-s.
3.6.1. Tim eofAdltlstznemtrercapitalContributions.lAlrpurplxsl:sofcom guo g
the balant:o in aM cmber'sCapitalAccount,no cfcditshallbo givon forany C-apitalContfibution.
tl
zat such M em ber is to makc untjlsuch contribution is actually m adc. l7or purposes of this
Agrccmeut,theterm 'tcmplfalContrlbutlon''meansthetotalamountofcash and/orthcGrossAsset
..

Value(notofIiabilitios)ofproN rtyinitiallycontributcdorobligatedtf
ylx contdbute,
dtothLlr by
thatM ombot artd any subseqtlegtcontributioasofcaslland/orthc Gross AssotValuo (nctof
ributed to theII C
liabilities)ofanyotherpropertysubscquentlycontributedorobligatedtobccont
e

by tlzatM ernber,including AddititmalCapitalContfibntiolls.

3.6.2. IntenttoCom nlyW ithTreaguryRea latlons.'

1xoforegoingprovisionsof
Secticms 3.4 and 3.5 and tho othrrprovisiona octhis Agrceementrelating to the maintcnanco of

CapitalAccountgarointetlded to comply with RcgulationsSoction 1.-704-141$,and shallbe

irtterpretcd and applied in am annerconsisteatwithsuch RegulationsSoction.To tho extsntsuoh
pt'ovisionsaro inconsistentwith such RegulationsSectionoraro incom plcte with respectthercto.
CapitalAccount.
ssNallbe m aintained in accordanc:with such Regulations Section.
-

3.7. Traasferee's CapitalAccouat. ln the evonta M embor tzansfershisUnitsin

accordance with thctcrmsofthisAgreemont,the eausferrec M em bcrshallsuccood to tilc Capital
AccotmtofdtotransferorM om berto thoextorttitrelatrsto tllotransferred Urtitsin accortltmcow 1t14

'

Rogulations Scction 1.704-l(b)(a)(iv)- In theovntofa trarlsforofan Bconomic Intermst,tho

tra
-nsforoe shallnotsuccccd to Itgy potlionofthcCeapitalAccountofthe transferor.
3.8- AdditionalUnits. By apgrovalofthe M anagementCom m iuee,the Compaay is
autbotized to raise additionalcapitalforaay pulposc by offering and selling Unit:to any Pcrson

uaderthotennsaqdcenditionsandatsuchUnitValteappttlvedbytheM anagementCommite ttho

'ZdditionalUnits'').IfappfovodbythcManagcmem Commlttrr,theCompunymayalsaofftr
AfldidonalUnits to :m ployecs,to any classofM m bers,Economic Intem stholdcrs,M anagtrsk

officcn,consdtam ,andadvisorspursuaattoanyUntteptinpl= (or.cyUnitoptionagrxmcnt

ouaidoofaplan)orre-strlotiveunitpumhueagreamentoranyotherequityiacentiveplanadopted
bythoM anage= ntCornrnittce(attunitOntionPlan'').
3.9. Prer-nm tive m zhts.
-

3.9.1. RiahtqfFirstRvhlqal.'Ilr Ceompanyhere'

bygr'
ulltstoeacllM emtk,rtlw

rightoftirstrefn topumhasohi:proro share(asdetertrtinodbyrdativopemzmtAgoInttroatslof

alInrR ypartofanyAdditionalUnitawhichtho
anynmyfrom timetotiznepro& seloRllor
iuor,otherthaathtinidalisstkaqcofClau C OnitdandalyAdditionalUnik whicha:esctasidc,
x0ldorissuedtm& ranyunitOptionPlaaadoptodb/tlleM anagemectcommittr,
eandwhichdnot

exccodte,aptcent(10*)cftlw issucdandoutstandizs Uniti.

3.9.2. NoKct.Intlrovem lle floznpanypropases(oglldottak.
raqissuanc.
eofUnits'

itshall#vocachMemborwrittcnnoticocgitsintcation.desoribhlgthtypofUnitsaadtIZ prict
andtcrmsupoflwhkhtlm Companyproy sestoissuctb:sitme.F.achM omV rsh<lhavrftftr,
ea
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0-

'.ds.evx
q- lklc.rxqiv- v r
ezl' 'aeu xxttmiktRtlllnlsvime/smd/lfedlllttReTW ed OI?ee-//
'#I&d> @?perlf- 13
e'rreppid 0014
- $.(K%1

J'Case
,.l8.3:06-cv-00056-PMP-VPC
2896 ?:222k
llls J. Fr
'' Esg. 644-12 Filed 05/28/08 F'.
?'Sl30 ?.
lb/b8
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(15)t.
taysfrom tbedatc oftrccigtofany such Iloticcto agrec to pumkaso up (o the Mom/ r's
respectiveproratashare(asdetcrminodbymlativcPerccntzgolnterests)ofsucbUait.sfortheprice
and upollthc tetm ss- ifie.d i1Itho notice by giving writta noticc to the Com pany and stating
thercin tbe,quantityofUnitsto be pqrchasexl
.

3.9.3. Assizn
' m tm tofllif:I!&qtlrFlrstRefusal;Lltlgtatlon.Tlw rightof(irstrcfusal
setforth in thisSection 3.9isnotansignablc. No M etntxrshallhave afly rights underthisScctitm
3.9 forany issuanceolunit,
sorlk ouomicIntcrestsby theCompanyuudortl!eOriginalAgrecmcnt,
the Rcstated A grccm entorthc Afftcrkded Agreemcntpliorto tllodate heroof.
3.10. Llrl1i(atIonsonIpiabllityandOlllicationst)fttkeM embe.zxand M unzeo .Faxcopt
- . - .- - - -

foraMcmbor'sIiabilitytfatho1.
1r ptzrsutmttoNRSSection86.391,artddm tightsofjudgnxnt
croditorstoyhargo&Member'sIkonomicIntcrestforccrtaiqunsatistiodjtldgment:ofa.Member
pursuantto'hm .
s Sedion 86.40t,and uoloss othcrwise providod forin an agrcelne'nt:iplr,
d by a
M em bcq tho M anagerp(Cormnittcm M cmbe.
rto lx chargod.no M om bcr,M anagororCommitto'e

McmbershallbcindividuallyIiableunderajudgment,dcoreeororderofcourqorinaayotlle.
r
m anner,forany debq obligation orliability ofthc1.1r whetherornotthatliability orobligation
arise.sin contractortort. N()M cmbershall l
x rcquired to loan any funds to tlte LIf ,cxccptas
providcd forin thisAgreoment.No M embcrshallberequilr,d tom akr any contributiontothe LLC
by reason ofany ncgative balanc.c in his Capi!A ccount,Ilor shallany Ilogativc bala cc it
la
M em bcr'sCapitalAccm ntcmato any llability on the pmtoftheM emborto any third party.
3.11. UlljtValue.Upoa tlle occurronco ofany Revaluation Evemt.tllo valuc ofthcUllits

t0m 'funltValue''lshallbethevalueofa1IissuedandoatstandingUnits(withoutgivingoffocttoli)
.

anyoptionstoacjuim Uaitsthatmayb:outstandingfsom timetotimoor(ii)anydistributionsor

ctmtzibutionsgivmgrisetotlzeRcvalttatitm Event)dlvidcdbythonumberofUnit:thenissucdxld
outstandiqg(withoutgiyingcffectto any Unitsiouredorto beirhsuedinconsidemtioat)fAlty
contributiomsgivingris:totheRevhluationEvont).Aftorth:UnitValuchasbecnsoddt,
rminvd,

emchMcmber'sCeapitalAccountshallbeadjustedinaccol'dartccwithSection3.5,baxdonsuch
UnitValue.n rM nnagvmcntCom lnittoeshallux c'ornmerciallyreasmablecffott,
sto cstablishtho
fairvalue oftheUniu in accordancq with thissoction 3.1t.
ARTICV 4

ALLOCATION OF NET PROFIRY ANI)NET LOSSFA

--

4.1. Allem tion pfNetProlltslud NetIao>u . Excoptagothem iso pm vilkedia this

M iole4,NetPmfi aadNetIxoosofthe I.
1f?incachH scalYearshallbeallocatrdamfmgth:
M ombea 1lssetforthinSc tloms4.1.1= 44.1.2k low.
--

4.1.1. NetPrtm tg.NotPm tityshallbeallocatcd 1- 11:tlze M embersaafolltm s:

4.1.1.1. Hrst,Nd Pm fiu ghallbc allx ated a ong the M mbe.m in the
prolloltioninwhichtheMem- rssharedintlleNotLosse,stmtilaaamoantofel'mlxlativoNdproits
hasbeenallocatodm ualtothototalofO mule veNd M sa pxviouslyallx ae tothtldomb= .
1
.

Lw wz- .e

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Document
Page
of 110
:qCase
,.l8, 3:06-cv-00056-PMP-VPC
2206 7:3704
tlli J. Ft
kf' ESC. 644-12 Filed 05/28/08 hC'
?lS131 ?'
l67b0

''

4.1.1.2. Sracorld,an anlountofNctProhtsetlualto tlle aggm gat; Ptiority

Rotum ,which ha$ uotbeen previously allocated to thc ClassA M om bcfs and Class C M embor.i
cntitlcd to aPfiority Rctuf'
n pulsuact(othisSection4.1.1.2 shallbe allocuted.pro rata,to tbeClass
A M em bersand theClassC M embersinaccordancewiththcirfcspcctivcNd CapltalContzibuioas.

4.1.1.3. Third,an amount0rNetProlia equalto thc aggregate Priurity

llettlm ,wllich has notbccn previously allkxtatcd to thc Class B M em bel's,entitlcd ((I:
,Pliorty
llctum pursuantto this Section 4.1.1.3 shallbe alfacated,pro rata,to thc Class B M oml*rsin
accordanccwith theirree
spectivePcrceatftgc Intcrests.
4.l.1.4. Thorcafteq NetProfits shallbc allocatcd among the M em bol? in
accordanee with tllcirtespectivcPercoatagc hltcrtzsts.
4-1.2. NetLosses.F-xccpta.
sothem iscprovidediathisArticlc4,NotLossresshall
le allocategla
emong tlle M enzlx t'
sasfollews:
4.1.2.1. Fifst,NetLosses shallbe allocatcd amtm g tlto M mbers in tlm
proportioninwhichtheM embet'
sshatodinthcNetPrtlfitsuatilanamountofcumulauveNetLpssos
haslxtm all ated oqtutlto thc tctalcumulativo NetProfitgproviously allocated to tho M cmtvrs.
4.t.2.2. Scoond, pm rata.t() FRIENDLY CAPITAL PARTN ERS.L.
P.

(4'FCP'')andW ARRENYREPP.ASTRQJSTEEOFTIIEFREMONTTRUST CFMFM ON'

r I,as
Class A M embcts,in proportiorlto their positivo batances-,ifany,in thoirm spectiv: Capital
Accouuts.untilthoirrespcctive CapitalAccauntbalancrl art;mductd ta z-ero.

'

4.t.2.3. '
rhird, to DLNNLS M ONTGOM ERY and BRENDA K.

M0
M'HRY,asTrustecgof(V MONI'GOMSIW FAMIY-IXUSTItheUMONTGOMERY
'FRU5T''),asaclassAM ember.iupropoftiontoitsm sitivobalancc,ifany,ittitsCapitalAccount.
ut
ltilitaCapitalAccountbalancc isreduce,d to zcro.

4.1.2.
4. Foulth.Ne'
tI-osse,
sshallboallocatodtothoClassH M '
emlvrsand
Clas.C M cmbon in propotlionto thcpuitivebalaacees,ifany,in theM om bers're&poctiveCm /tal
Accounts.uat'
ilsucilbalaaceesarc retluoe.
d to zm o.

4.1.2.5. Themafttt,NetIxsses shall b llocAtred to the M omtm ill

pmportloa tothcN sitivebalances,ifany,in0):Mem% rs'rcspet:tivcCapitalAccounts,untilsuch
bdancresarrM uced t:zzrl).
n cMomboo intendthattheallogationspyidedforintitissoctitm 4.1shall
'

msultillthopadie,
sobtainingdistributionsoyrrtholifofthe1.
1r!(includingupoaIiquidatioa)
wlticllwilllx ideaticalt:thoseprovidodforinSedilm 5.2hercof,M dwillalaoresultinthipartloa'

aljuste capitalAccountbalancasuponliquidnsoabeinginptw ortiontotbosenocorxqarytoacllicve

nlch distributious were th: IJr!to make fmalliquidadng distributions to the M emberg in

acordanceV ,.
IItheirmlativcadjmtodpositivecapitalAccountbalalcea.A

'gly,totltext/nt

necessarytoensuroth, thoallmationspm vidodforiadlisAlticlc4mesultindivlribtltlortsovertbe

lif;oftheLLC which areidenticaltothosoprovie f:rhlSection5.2hemof.theM anagerdhall
;

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.
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2z.l8.3:06-cv-00056-PMP-VPC
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0qEt'2 J.Document
Ff' E:2.644-12 Filed 05/28/08 d'
7lSl
F.110
l7/5S
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makcstyr;hCjdigMtmenB tothttallocationsgrovidcklgori:iAdicle4asaro rcagonablync'

ccssarjto
.

achievo thc fortgoing rr-sult.

4.2. ResidualAllocatiolu . Exceptasothot

-wise pcovide,di:lthisAgrcem rm ,altitmnsof
L
L,
C incomc,gain,loss, deduction.and any othcrallocatiklrtsnotothcrwisc provided forghallbc
dividedtzetweenthcM ombersinthcsameproportionsasthe.yshareNetprofitsorNctlaosscs.astbe
caso m ay 6e,f0rtllc FiscalYcar.

4.3. gmqlifie.d IacomeOffe .IfanyM cmbtrullexpcctcdlyteceivesanyadjustmetlts,

a
l
l
o
c
a
l
i
pns cr disttibution! t
'
loscfibcd in clauses (4), (5) or (6) or Rogulations Section
1
704-I.(b)(2)(ii)(d).itemsofLLC incomoshalltye,spociallyallocatodtosuchMcmberilzauamount
and mannerstlfficigntto cllminate tllo AdjuqtrtlQtpitalAccountDcficitcreatsd l)y &uch
adjustmcnts,allocationsordistributioftsaGquicklyasgossiblc X'hisSection4.3igintouded to
.

ctm stitutc a 'kualified incom e offset'' w ithin tllo mcanittg of kcttllatiofts Sectiq
l.704-1(b)(2)(ii)(d)(3).
q

4.4, M inim um GalIlCharzeback. Ifthcteisanctdecreasein LLC Minimum GAin

duringaFiscalYear, each M cmberwillbeallocatod.befom anyotherallocationunderthixArticled.
-.

itcmsofincomoandgail)forsuchFiscalYeartimdifnocossary.subscqucntyearslinproportionto,
and tothocxtentofan amountoqualtosuch M embor'sstlaa oftltenetdecroascinLIE M iltilnqm
G
aia dctorm il!od i:lacctlrtlaac.
o with RogulatlonsStction l.704-2(g)(2J.'1Yi3Section4.4isintenfled
.

to com piy withx and shatl bc intcrprote.

d consiszatly with, tho 'frninilnum eain oharzeback'*

provisionsofRogulatioftsScction1.
704-2(9.

'

'

'' '' '

f )
M

4.5. Memb
.erNourccnurseDelltMlnlmlt- GainCharzvbaelo Notwitlwtaadlngany
otkerprevision ofthis Article4, butxceptSectioa4.4,iftltete is a ttotdecrease in Mtlrtxr
Nonr
Y ocoutseDcbtM inimum Gain attributableto :M emlv!rNonmcoume Dobtduring any H scal
exqrofttlo!.
1F%oacttMombovwhohasashareofthcMembrrNonrecaurseDebtM ittimum Gaiq
attdbutabletosuchM c,nlllrrlfoarocoufrzDebt,dcterfniltcdiftacczxdaqcowithrl-lxrttsurylkrguliioc

Sxt
704-2(i)(5),shallB speciallyallocatedittuwofIfflincomeandgainforsuchyeartant,
if ion1.
ncceasary,subsezquvatycafs)in alzamountcqtlalxuch Mimlvr'sshare ofthGn:tdecreascin
.

'

M mbor Nonrocourso IleebtM inimum Gairtattributablo to such M cmlx,r Nonrecoursc Debt,

4
e.
,
tr.11:11t1e41illacoordance with Rogulauons Scctllm l.7M -2(i)(4). Atlocationspursuanttothe
pm viou:R ntence shallbem ado inproportion to tlm rezm ctlv:amountam quim d toboall ateedt
e
' odshallberlafenninodillKcoftlanc.with
RachW zn/ rpursuanttttoreto.'l'hoitemstelx soalllxat

egtlladonsSe on 1.7A 2(i)(4).n isXectttm #5isintendd tooornplywith:minimtl

m gain
.

chargoback roquimmentoftbatSccqt)n ofthc Regnlationsand shallbe lntemmtd cm sie ntl

therewitlu
y
4.6. M emberNonrecourseDeductionm AnyM :ml rNonv ouae> ud oc foran/
Pi
s
c
a
l
Yo
arnrothor(erlud,halltz s- iallyallx ateedtothoMcmborwlloix,arv(txix(kfmM to
l

xarltheecoaomicrisk oflos:withrespoctto tlloMrmW NonlrcourxeDobtto whlch such

M tmtrr Nona oourso Dtdtw4ions aro attzibutable in Accodance with Repllatlo:ts Sodiot
1.70G2(i)(2).
k

... :

- -.
- - - K = ur- - v-

r-

o-

A(I:eyve

<* dY R@J'- -#O#ev>'gA&< 46<ttt- $6

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Frrg. Esk.644-12 Filed 05/28/08 Page
Case
3:06-cv-00056-PMP-VPC
33 of?.110
h.?ISl
18/08

4.
7. SpttiillAIlfKations. Aay spcclalallocations f?fitotns ofNctProlitspursuantto
Sections4.4, 4.5 and 4.6 shallbe takcn illto accouutin computing subsequentallocations ofNct
Profitspursuantlo scction 4 1,$o thatt
llc nctam ountofany itcmsso allocated and thegait) loss
and aflyofheritem alltx atredtocachM emk rpursuanttodectiop 4.lshall,tothcntclltpossib,le,bc
equalto thc notam ounttIM would havc becn allocatred to cach such M cdnbcrpursuant(()tlw
provistonsofthisAtticle 4 ifsuch spocia!allocationshad14otoccurrcd.
-

..

-- -

4.8. Feegto M embem orAm liate-s.Nf

ltwitllstlmdiugthcpm visionsofSection 4.1,inthc
cvcnttlkatany foes,igterosqorotheramountspaidto anyM cmbororanyA fliliat thereofpursuant
to thisAgrecmcntorany othcragrezmtmtbetweenthcLIX andunyM emberorAftiliatethcrceof
providing fortlw paymentQfsuch amount, and deductc,
d by tho LLC in roliance on Codo secticm
707(a)and/orctxlosection70?(c),tlrediaallowcdasdcductionstothe'1- Lc onitz;federalincometax
retunland m'
e treatod RsLLC distfibutioas, tben:

4.8.1. ThoNetProfif.sorNettaossces,ag thc cas: may bo.ftlrthc FiscalYcarin

which such feeos,intorest,orotheramountsweropaidshallbeincreasedordccrcaw t a.thcca.

%

m ay be,by theamoun:ofstlch fees. intcmst,orothramountsdlatarc treated asI.1f disd butions;

and

4.3.2. ThertshallboallfxittedtetheM ombcrtowhich (ortowhosoAffiliatr)such

fees,inlcm st,orothcram otmtsworepald,priortotllcallocationspursuantt:ISec< oa4. l.anamount

ofgrosGincome fortheFiscalYearequalto thcamountofsuch feos,fotez
rest,orotheram ountsthat
arc trcated asU f distributions.
')

4.9. seactlen 74(c)Xllocatlt- Anyitom ofincomo, gain,Ioss,attd doduction whh

rcspccttoanypmpertytother(1lr cash)tllathadb= cm tribute,dbyaMombertothecapitalofthe

LLC and which isrequirod orpcrm ittcd to be allocated to such M tmlxrforincomc t&x punxxu

'

uuderCodosection704(c)GIIasto ukointo accountthevariationbotwe'on thQ tu basisofsuch

proN 'tyanditsGrossAsse,tValucatthctinx ofitscontzibutionshallbeall atcdtosuchM ymber
J
Volelyforincommtu purpesr,sinthemanarsorcquiredrlrpouuitted. IntheoventdloGlna:Asset
aluefanyoftleI.I'.
C'sPropedyisadjusted iflgccordimcewitllSection 1.20.2,aubsq uent
dl
tKsl onsofincomt,gain.lol AnddeduotionwitklzspecttosuchProm rtyshalllakointacceoqnt
.

any variation botween thoadjuztedbasisofsuchPropcftyforfeadoralipcom o tlx ptuw sosand its

C
.

xrossM sTtVzuoin thcsamomannr,rasundorsA 'tm 704(c)and theRogulatioM promulgntexl

thetrtlndr. Any electionsorotherdecisionsmlaunsto such allautions&hallI)emMde in any

mannerthatmastmablyreflectxthapurp- atldictrntionofdtisAgreeemcnt.Totheextenty tmi*d

b

yRegulfttinsSectitt1.704-l(O(4Xi)v1 itemsofinccme,,gain,lossandckdudionforftd= tand

,tittctu purposr-sglulllx!altaxte,
d inaccordancewitlkthccozrosptmding bookitems,
ARTICLE 5
DISTRZ VTIONSO F AVAEA BLE CASH FLOW

5.1. DistributionsofAvailableCashFlow. SabjxtloSection5.

f
31 1om distributitms
rom th:Ll.,
c tcthoMemlz,
a shallbzmadofa
-om timctothnotothcextegtorAvailabloCashRow
ag ddcnmlned by the M anagemontCocvnittce. Prforto the dotemu'nadon of tlle xmouatcf
' ''

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1m.

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i
-a men& dM

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Case
Document
Page
of 110
J)
,.1g.3:06-cv-00056-PMP-VPC
2ggs ?:77?v
slps J. ff
', Esk. 644-12 Filed 05/28/08 h'.
7lS134 ?.
10/b0
+

#:

.-

* '

tlistributions,proviaionsshallbe made foralIknown rcasonabloobligations and Iiabiliticsofthc

I-LC,whetherornotsuch obligationsandliabilitiegarc.dueorcontingent,oxceptthatprovislonneed
notbemadeforanyporio:lofanyLLC financing.thoamountofwllichcaabereasonablyexpected
to bc satisficd grom thc procew lsofthcsalcofthe tllenremaining Propel'
ty ofthc LLC.

5.2. Priurltyand M ftaaerofDlstributifnstoM embcrs. SubjecttoSee

ctian5.3txlow,
alldistributionsofAvailablecashFlt
lw shallbemadetflthcM embcrsinthefollowingpriorityand
.

m anncr:

5.
2.1. first, pro rata, to tho Class A M emlx rs atld dlc Class C M embcr: in
accordancewith therespectiveamoqtsofthoiraccfuetlbqtuadistributed Priorityltcm rnuntiltllcy
have rccrived aa am ountequaltt)tlleirundistribute-d'lh'iority lkctt)m accrtlcd through the datc of
such dtribtltitm .
5.2.2. Secondjprocata,to tlicClassB M embcrsinaccordartccw ith theirrespectivc
Percentage Iatem stsuntilthey havcrcccived aaamountcqualto tlwirundistributcd Ptiority Returfl
accrtled I
hrough the dateofsuch digtdbution.

5.2.:3. Third, pro t-ata,to tlw Ctass A M omtx rs aRd the Class C M em bors iu
accordancowith thcirrex
spective CapitalCerltributionsulztilthcyhavereceivedanaggregateam otlnt
equaltheirrospective CapitalConrzibutionsto theLLC .
5.2.4. Fortll,pro rata,to tlloClassB M em lxrs inaccordancc with ttmirm spectivo
PcmontagcIntcrestsuatilthey havereeccivce
d anaggm gatz amountcqualto theirrespectiveCapital

Contributionstotlw IJ.
t3.
5.2.5. Thcreaftr,pl'
o I'
ata,to the M em bcrs in accordancc w itll their m'spem ivo
PorcontagcIntrosts.

5,3. Tax oigtributlolu. Exccgta:otberwix may beprohibitod by any apccment-s

bdwezn theLLC anditsleadctx, withinnincty(9)daysaft
erthoconcluiionfeadlFiscalYear,
d1e M a
'nsgcmentCommittec sllalldcttxmine lmd provide writtGn notioe to tho Mcmlztsoftlle

amount(the:qkxrlabllitvsllorlfallAmouut'z),ifany,bywidch(a)tlmaggmgatefe alandgtate
tax Iiab'ility(ifany)lncutrodbytheM cmbcrswithrcsprctto tlm nd incomeortlloT.
f7forsuch

ngFiscidY= (whlchtu liahilityshalll)ed rminredbyapplyingtlloitigh:x tffoctivc

individ'
ualtax ratesttrn in effectforti FiscalYrearinqeexstionlqoxcee,ds(b)tho aggrgato
dis4ibutillsofDistributablecashmndabythcEI,Cwithrcspectt
:uchFiscalYearlincludin!any
didributionsmadetotheMeatlkrswii reslxcttotllofinalflscalquadorofSIICItFiSC? Yearl.ellc
.

M anq emmlttCeommitt shalluf.eallrov nableX oxsto cau.

x tlleTlr!to dtstributz tilcTgx
tim litySiloftfallAmountto th:M embclxintlw timoandmxn
'nr,rmquire.dhemundcr,includiug,
butaotlimie to,bonw ingonlxhalfoftheIJP s'
ufficirntflmtb toe lee IIf!to dlstributs
sudtTAxtlabilitySimrtfallArnount BacllsucbdistribuuonshallbomadolotlleM
asgoon

'a:pmcticableattersuchfundsato:vailahle.Itisttr objediveoftIIGMembetsthatwhilethe'l'
ax
IlallitityshoftfallAmuntwillbedettrrn'
luodattheoRdofrachPiKAIYoar, toth::xtontpossible

ahdsubjrztto Lh:fv going,distributionsvdllbomadoinaspecttlieroofonaqumcrlybduto

faciliA thcM emu s'ubilitytomakquartcrlyeztima
'ted tu paymelltswithreslp.cltotheirnet

: )
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w - - l- l-'o- wx-- - -

- w
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e'rreppid 0019

Case
Document
Page
of 110
J2
r.1S.3:06-cv-00056-PMP-VPC
2006 F:77?k
ksl?s J. Ft
', ESC. 644-12 Filed 05/28/08 .
'1S135 ?.
20/50
*

'' '

'

z.

'

'

- '

'

( '4.-

-.-.-.z'

lnoomefrom thefJf7.
'DistributiousIlidegursuaatto thisSixytion5.3 shllbc takcnintoaccountin
connectien withanysubsequontdistlibutionsundel-sectiuns5.land 5.2 abovc so that,totheextcnt
possiblc,thcM ofqtxl'sshallobtain digtributions ia thc sarn:ordcrand pfiority they would have
obtained iftltis Section 5.3 were.ctltin tltis Agrrxmcnt. At tho cnd of each Fiscal Yoar ms

'

contcmplatcdabovo,finaladjustmtlm sllallixtmadtorollectLl
zcactualmsulf.
sofsuchFistralYear.
IRI-ICI,E 6
M ANAGEM ENT OF TR E I'ZI-C

'

6.1. M anaeementoftheL'
LC- Subjectto tttcprovisionsofflw NRS,thcArticlesfJf
Organizationand to arlylimitationgsctfotthintltisAgrcoment(asmaybenmendcd frorn timcto
time)rolAtingto actionsrcquire.
d tobeagpmvcdbytheM embcrs,theBusinessand affairsofthc
LLC shallbc managed,and a1lCompany gowers shallbc vcsted in thc M aoagem cntComm ittee.

Thedayto-dayoprt-ationsoftheLLC shallbcimplmncntcdbyoqo(l)M anngerdesignated or

'

appointcd pursuantto Section 6.l.1 bolow,who shallactasthc Pm sidentof the I..LC Imd shall

conductthoBusinessinaccordanccwithAndsubjecttothcpolicies,procodtlros,decisionsand
diroctivcsoftho M anagcmcntCnmmittco.
6.1.1. Deslzna tion off:hfanastcr-''Tfm M anagorofthoLLC shallIx DO UG LAS
J.FRXB,an individual,orjzissuccclsorasappointed by thc M anagementCom m ittcc pursuantto
Section 6.1.2 below.
-- .

6.1.2. Electionorsucc- orM anauenuponthoM ariager'sresignalitm ftom officc

.-

orromklvulfrom officebythoManagemontCommittev,thoManagemcntCommittocshallappoinla
succossorM anager.

6.1,3. SubardillateOfficers.n eM aaagemeatCommite may.init.

sdiscmtion,
appointasccrotary,achieffm ancialofficerjacllid teclmologyoftim r.aud such othcroflicel ofthe
IJ.C asthc Btuinossoftllc I.
1flmayrm ulrr,oach ofwhom shallhold oftice forsuckm riod,havc
such authority mtd porform such dutic asprovided f0rin GisAgrrrmontorasth: M a agem ezlt
Com mittoemay dctcrmic: from timtto time.
.

W c Com mittcc M em ixrs,A: ovidoncod by thoir acknowle.dm tntto this

Ayretllrnt.hombyp N intD> ? Mor c RY * o oeie ot efTe nologyo e *

lloldomcztmtilhis= ip a:onzrc ovdorodlerdigqm :o- f'
lone m s- ix ,ortmtilhissucoessor

hastveendulyappointedtytltoMnnagemeatComrnittceinacoordaacowitlzthisAgv mxt.
6.1.4. m uaa mo tcmmY e lxteM nnagemo tcomm'
la l ilx e stoftlur,e

(3)CommitteoMombcrs.Tuzthof(IITCI- A MembY ,slflengaatbeyaroMemN zs,Ihnllappaint

oye(1)Committx Mema r.F.,ac.11ClassA Mc bcrmaya- intorieormorealtornatc,&fortbo
Committcm Membersapm inted byit An altc atc shallhlw: &llthe poworsofthe Cgmlnlttrr
M emberiullisabsence()r'
lnlllitytoservG.lucb CornmifleeM'
ombormay votobydolivering his
pmxyto RotheCommlttez M cmk r.PacllClassA M rznlmrsI1&11havethepowortormov;auy
Co.
mm
...l
.ta Membq apm inzdbyitbydelivlflngp'
fittllncuc,eofsuchmmovalto&ldicomm lttez
M omberandtothrothercommitteeM embers.Vacandeea(m theM atmgementCeomm
'ttez sh&llbo
'

)
.

r'mu- - -lz.tkv- lmm lxikwr-

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vtu rlelI#edtm d& ztzt/W Oprtntla Agttemed- 19
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#.

Case 3:06-cv-00056-PMP-VPC Document 644-12 Filed 05/28/08 Page 36 of 110

'

. ..

fillcd by the Class A M embcr who appointed tlm Com rnittec M em bcr previously holding the
position thatisthen vacant.
TtteclkwsA M ombcrsexettutingthisAgtc menthea byappolntthosem rsons
setforth opposit theirresm ctivenalz below asthoirdegignated Comm ittcc M emborto sol'
vcon
thc M anagem ontCom rnittee of the Company. each of whom shallsorve attlm plcasure ofth4
rmsm ctivoappoiating M cm berandshallhold theirfespectivcoffiesuntiltheirmsiguation,removal
orofllcrdisqualificatinafm m sclviccaoruntiltheirrespectivcsuccessorshavebccnduly appointed
iaaccordancowith thisAgreoluont:
Nam aofAppoillting
ClassA M cm bcr
-

PricndlyCapitalPaftncl'
s,LP.
'I'heFromont'fMst
m nnisM ontgomery

Appointed
' Crrrtmidcc M mbrr

DouglasJ. l7ryc
W arm nTm pp
DenpisM ontgomcry

6.1.5. M'
aqaiymentCommittecChalrman, Thc MknlgemontCommittez shall

havcachailoan (the'T hairman''l,whoshallbconcoftheClhmmitter Mcm&-rsde-signate,

dbya
majority oftheCommittccMembcrs. 1Yo ChairmaniaitiallyshallbcWARIUR,N TRRPP,an
i
.

ndividual,orliissucccssorasappointed by thcManagemcntCommitteeitlaccordanccwithtbis

Section6.1-5.e14leChairmaashall(i)presideatManagcmentCommitteemoedngs;Ui)havotho

')
''

autlmlity(()executoanddlivcronbehalfofandinthenamcofthcLLC anyagmcllmnta.cotttract.a,
lotoG, m ortgagu , evidcnc.o of indobte noss, ctrtificattxs, statom onts, convcyancm or other

illstzument:inwliting,andanyasslgnmentorondol
xomentthereofiand(iii)exordsosuchlightsoc
G dorm suchdutir.sasareothotwisepmvidcdintlkisAgttometltorastxuqybqapptovedftxlm tlmtto
.

tirrtby thoM anagcm entCeomm ittec. n eChai

nmnmayonlybetemovedfmmofticcbyamajodty

of
C tiw CommitteeM ombcrs. In theeventdw Chrman reeslgnsorisrcmovedvamajorityofthe
ommitteo Moml rsshallelra:tamplaccmentChainjlaa.

6.1.6. b dezatlon ofPowpr6 and Dutles. n eMalwgementCommlttoemay by

writton msoluNon frfara timo to tifn:dolgatr anyofitsm we,rsto theM anaget,the ' an,
ofik erz,emplyoeesofaM emboc orta anyotborPv on. Suchddogadon ofpowerlm ayincludo
butaotl)eIl
'mltodto,ttw authorityto:xecut;audddivoronk halfofandinthon&rn:ftho1f*
,
.

guy Rgfcetnm d.cotraca,notts,mortg/ es,evidetkc,

e,ofildtbtrzhoss,ce tkatts. statom Y tt,

cone yancesorotherinstrumentsinwtiting, aud anyaruqignmeptorepdov montth:mzof.

6.1.7. M anazem etit(% m m ltteeMeetlqesv

- - -

6.1.7.1. ThcM afiagemrmttllmmitt* alb'illm'zqtatleakonceew hquartcritl

InclineVilhge,Novadw orsuchotllortimeaorplm agthoCbninnnnshalldl/4rm'

lno(0 1- glt
> 'zingqhG a wivM bydl& mml
'qx MA b= )oronthecallofth:Chn'
lrrnanorthv'
hfgzl.ger
Suchmoding:shallbecalleduponatloasttrn(10)dayspdorwlitlennotico, excopti:ltlloc%enf.
.

an e- geacy,in whicb evontauch amoeting maybocallod upon prinrnouc,o as tho Chairm au

dremsapproprte .butinnoivect1- tl'

,aufortymight(4s)houz
-s An ag:ntlaforeadzrnv dng
.

zhallb:pzrparr,di!ladvancobfthtcbairmannrtlkMrlager,astilcasemaylx, andcimulated to
/
.
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la--e.-- -

f-

' kll
emyvuwlpteagfetf4% Xestete.ftW ze p&wgrzemczlt.-20
e'rreppid 0021

Document
Page
of ?110
JpCase
r.l9 3:06-cv-00056-PMP-VPC
2806 7:7182
sl's J. Fr
ke, E9. 644-12 Filed 05/28/08 $9,
710137?.
?/bS

' ' '' ' - ' '

- -

'

'

thcCtfrttmittecMembers. Approvafof'theManagementComnuttccGhallrcquiroamajofityilz
numberoftlmCommittecMembers.'fhcManagcmentCommittcen'tyactwithoutammtingif(i)
theaction takenisapproved iawritingbytflenumlxrofColmnittef M cm bcr:nacessarytotakcsuch

action,cnd(ii)wfittcnnoticcofsuchactieqisgivcnto(heCommitteoMcmlvrswhodidnotpvide
such writtonconsertt.W litten minutcsofa1lmcetingsshallbcmaiatail
w d,al4d thc minutesforeach
moding shallt)cagpm ved atasuljsrquectmecting ofthe M anagcmcntComrnittec.
6.(.7.2- The M anagemertt Comm itlto may adopt whatcacr rults itrtd
procee
dures rclatilzg to its activitics a,
s it may deeem appm priate, providcd tbatsuch lvlcd afld
pr eeduresshallnotba iqconsistontwith orviolatcthe ptovisionsofthisAgxrcemcnt,&nd provided
thatguch zulesand vegulationsshallporm itmem ingsbytclephone, vidco confereacing orthclik'
e,
andsha.
llpcnnitcom mitte,
eM eulbel'sto participatcinmceti'
ngsbytrlcphonoorvideoconferellccor
tbo likc orby wlitten prtlxy,and such participation shallbe dccmcd attendance for purposts of
detormiuing whetheraquotum ispresent

6.1,8 IalabgltyforCertain /tcts.ThoM anageraad tlloCom m itteeeM om lrfsshall

dbf
m
t
hci
r
m
anagerialdutiagingtlod faith,inaml
!e
mncrtllcyteastlllablybeliovetobeinthcbost
latestsofthc.I-lf ,and witllsuchcareasan orttinarilypm den!person in alikeposition woulduse
undcrsim ilarcizcunutances. A M anagrorCom mitte M ombcrwhtlso lxzforms thc duticsof
M aziagcrorCeommitteeM cmbc.
rshallnothavcanyliability byreason ofbcingorhavingbeeqa
M anagerorCornmitteeM em tkrofthoLLC . A M anagerorCommittc M embe,rshallIm tbeliable
tothoLLC ortoanyM embcrforatlylossordamagesustainedbythcCompanyoranyMbmbor,
unledslholossordamageshallbavetr-enprovedbyanon-appealabltcourtordcryjudgmontitkcrec
or decision to Ix tllr rosultoffraud.doceit, grossncgligoncc,willfulIuisconduct,bm ach ofa
fiduciaryduty.orawrongfultakingbyth4Maaagerofthrre-sprectivecommltte,eM embcr.Nelther
llieM aftagernortlloM anagomcatCotgnlittecsba!lbeliablcforanylossordamagctotheCompally
-

'

-.

causedbjsttikM,labortroubles,Iiot,tires,eqplosions.torrladf
xs,floolls,actsofapttbliceacmy,
insurrrzuons,actsofGod,f'
4ilum tocafryoutthrprovisitlushcmnfdRetoprovisiottsoflaw orrttle.s
orrep lationspm m ulgatod by anygovernmontalagency oranyotherdom and orrcquisitionofany
goyomment,orff'
om lmy oterc'
ausc bcyond thccontrolofth: m nagotortho M lmggcmcnt
Commityrem.'
f'
hc M anagcmentCouullittee der,s hoq in any way,p '
arantr,c the teturn ofthe
M embcra'Capttl
tlContributioasoraprofitfortbcMembcrsfrom theopemtionxoftheCompany
6.2. P@w erwxDutle.s apd R-ponsibillti- of tlle M :naeement Condmittet. The
-

MK&gomontCornzn'
lttrz stwllltavca!tcftheIi/tx,4utitzaad m weersassyctfiod iwthls
Agv ment,indudingwitlloutlimifation,th:gerord powcrsand (lqtir.sofmaaagem cnttypkally
vestodiatheixl&1'
llofdiroctou andthcofficeofachicfexeecutiv:officerofilcofpomtin. m ftrs
tequiring th: apgroval of tlz ManagementCtlmmittec shallinclude, withfmt limitatilm,tlz
following:

6.2,1. W cauthorization,ncgotiation,Gxccutiontmddeliveryotle alfofK llflof

anyandallcontractgoragr- ments,vofbalurwlitton.havingacontmctkalueorobligu onamolmt

ofttmr6t&l?lHftyn ousagdDoll= ($50.0 .

),which arenoccssaryorappmpriatef;rthe
dytlopmentrexploitatiogoftheTc hcology oranlinfurtbGranoeoftheBusinev oftIIG11
includiug, butnd limitcdto,butopmulysubjecttotbelimitauoasmquiringM emi
xrappmva,
l

m zsqant(0Sectilm 6.4htreotcontractsragrxmeatstetweontheIJT!and/oritsAflilittteserMy
'

' )

ottlerP- outoprovldthc1JX withgoodsorscrvi= cfanykindinwhichthoITr orits

rvew--.d '

- v- - -a-

Attu'yviu plelf&dcadRstqtrd tyergfrk ree-:/lf-21

'

e'rreppid 0:22

J qh.I8. kqLb /:l8M

r l)s 6. lC?. LSC.
R0'/''l r' l41%t
Case 3:06-cv-00056-PMP-VPC
Document 644-12 Filed 05/28/08
Page 38 of 110
+

..

m ay-have-anactualorpoteotialcoaflictofinterost,and incltlding aqyamcndlncntsormodificatioas

tllcrelosorrenewalgt)r(orrninationsthefeol.

'

6.2.2. n eapproval,cxccution,dclivcryandpeffbuilzncconbchalfogtheLLC of
tho M outgom ery TlustContribution Agreomcnt,and amcndm cntsormfxlificationsthercto.

6.2.3. Thc appfnvalofiletailc,

d line-item budgdsfortileOm rationoftllet:.f adts
Businesg or for the dcvolopmeat or exploitation of the Technology, and any amondments,

modificatiolls,supplomeatsorrqnewah tllercto.Faetcllsuchhudgcttand anyamendmeftlstllereto

from timototimo),af-torapprova!bytheManagemcntCommittec,shallberefetreedtohereina.
san '
''Approad Budzet-''

6.2.4. XllbjcttttothcAppmvmlBudgcts.borrowingfundsftom anylondertoom l'

ate
ormaintainthoBusitlossorforanyotbrpurposewhichisinfurthrzancek:fthoBusinessoftbulJ.
E,
othorthantmdopayable,sintheordinatycourseofbusinoss'
,toissqoevidencosofindebtednr-sgin
connodionthcmwith;torefiuancctincreasethemnountofmottify,amqndorchuagcthotmmstt,or
cxtond tllotimefurthepaymcnto(,anyiadebtednessorobligatioat1ftheIJ.C;andttlsecmrAlly
iqdobtedacss orobligation oftheIJ.
f1bymortgage,plodgc,gcanting asecurity into- tin orother
licn on the Ltf 'sasscts.

:
'

6.
2.5. Theappointm ontandtorm inalitm ofofficers'hiring and firingofom ployeems,
ortheoqgagem cntofconactoO.suk guo ctors,coa6ultaats,cxpcra Itndethcrpcri
xmlinocesse Y
appropriato to carry outthc Buainessoftllc LLf ,including the selection and engagcmontofa!l
igdem ndont:.
r.111f1e.
41publicaccountingfirm audlegalcounselforthoIJq aadtoapprovethoterms
ofanysuch appointmoql,cm gloymentorngagcment,inctudingagprovalofthotcrm sluzd pam lcnt
ofcomm nsation.

'

6.2.6. '
I'ht approval t)f tllo am nt attd tizning of Any Additional Capital
Coatributionarequirodbythef.1.C tk
3uonductitsBusittess,including,witlloutIimitatioa,allcapital
retpire,
dtobcexpended with rupocttotllcTechnology.

62.7. SllbjecttotIIGapprnvalbythcMbmbon pursuanttoSection6.4.2% low,tlio

dalc,licetc .lcax,rtttal,Itsgignmint,H llsferortathordislositi/at)fallot'anymae alpartofl1*
assota oftlle Ltr ,iacluding tlze Tochnology and any patznttights theroto,whotber as a siuglo
transaction oras:rivsoftransactinnsAspartofaplan.

6.2.8. M y matodal docisions alnn'ng to the test mnrt-ctiag, manufactua,

distribution,licmmttlm oru ploitadonoftheTechnology.

tgershallu astlw
(.3. Pow ers,Dutiu andReaponxibllltlesoftheMalmtervTheM&ni
-

Plrsidectoftho1.IP and sh1 tm hargez withth:tights,dutie,sandpworsags'je se.

l intltis

Agreement.subjecttoth:limitationssdforthinthi:Atticlc6andea whr.
reiathi: '

OIILn o

M nnagetihallhavere,spousibilityforcocde ngtheday-ttsdayopGrationsofthoBusiw sandthe

LK andforimpleemontingtlmdecisiolu anddirectivcsofthoMm genuntCommit iltconncce tl

thercwlth,subjegt(0thesupervision,div tionandcontrolofthcM anagemontCommitte

1

(:u......-..<1 '

wm mr
.wexuzw xtek-yv
kzwqxx- altqityvizwd zlgagfgtftlad Rqstaied t)ji ' Agaqla nt-22
e'rreppid 00M
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J
Case
h.I9.3:06-cv-00056-PMP-VPC
2106 7:2l?k
IICS J. Ff
Document
o.8S9. 644-12 Filed 05/28/08 F'
Page
'lS139 F'
of 110
2l/bS
Y e

..

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The M arlagcrshallhavcthc generalpowcrsand dutiosofmanagemonttypically

..

'

vtlstcd ia tllc officc ofa chie,lopciating ofncerofa corporatioa. Subjectto thoprovisionsand

lim itationsse(fofth inScctiklns6.2 and 6.4horeof.the M aaagcrsllallhave reslxmsibility forthe

following mattcl-s(listcd by way ofexafrtplc and notin limitation tllereeoo and Ghallhave tlzc
atlthoiity on behalf ofand in the namc of (he II.C to do ocpelfolm ,or calzso to l)e done or
porfofmed.suchactsortlzingsand toncgotiate,cxecute,acknowlcdge ald delivcral1agrcem cnts,
.

documcntsand instfumeat
.
sinconrtcctionthere-ith:

6.3.l. Pmpare,exccuteand tileonbchalfoftheLLC allapplications(includiag

pate'
ntapplicatious),liccnses,penuits,mgistrations,andconsents, and to otilcfw isocom m unicate

fmddealwithaayanda1lgovel'nmentalagoacieshavingjuristlicticm ovcr,oriaaaywayaffecting,

tho Teechpology,tho Businessorany partthetrof.

'

6.3.2. M akeordinm'
y aadnecrssarycxpcmditurosand incurreasollablcobligations
nccessary fortllcctxtductofttleactivitfesofthc I.r.
C 'sBusincss,a11inaccordanccwitl
landstlbjcct
to A pproved Budgets.
.

6-3.3. Atlthorizc,negotiatc,cxeculranddclivronbehalfoftheIJE any and all

.

ctmtractsoragrcomontslverbalerwrittcn,baving acontractvalueorobliratit)ttam ountof&x.

f&zgl
.

PiftyThousaudDollars($50,000.00),whichthcM anagerdecmsam ncctysaryorappmpfiatefortlm

' ''

dcvclopm entorexploitl ouofthcTechnf?logy,orareinfurtheranc.corthoBusincss,iquluding,but

rtot lim ite
'd to,butexpre-ssly subjcctto the fimitati
ons requiring M orabcrapprovalputsuantto
Soction 6.4 bclow,cop% ctsoragreem ent.
sbotwezm thoIJT!and/orit
.sAf
tiliatcsorartyotllerR mon
'topmvidetlloI.
1f:withgoodsorsorviccsof&nykind,
'aqactualorpotontialconflictofinterostsandiucludingainllywh
chtdmea
thoLL
orrtti
siMa
gto
ydo
have
aui
wt
t,
sC
ot
tt
xl
ficaa
tz
io
urma
ther
,oc
relzewalsortcnuinationstheroof.

6.3-4. SubjocttotlteptiorapprovatbytileMomberspttfseuaottoScti(m6.
4.2%tow
.

and the M aaugemontCeommltte,cpuouantto Socztion 62.7 abovc,thesalc,licens,1= 0,1r,1111,

.

mssignmenq M nnferor(jthordispnsition ofa11orany matbrialpartoftho mqaetsoftho 1Jr

ilwludiugtlmTechllologyu 4Anypwtel
t
ltrightsthmreto,wttothe:asasinglztrantkactionorasme.
:of
m lnfe'
,ltransactitm sasparteraplam
.

'

6.3.5.Tooonfeo hjudgmontagaimtthoiIr,otwpprovcthzfilingnforscttlement
ofmlyclaim.
q,includnglitigatin matters,fororq ainsttltc l.1P , ()6lesstllan Fifty 'llxgsand

Dollllrs($50,* 0, ).
6.3.6. Faxcmttand(loverbondsan1indomniti. byorockhalfofdlcIJr!a$mgy
bemquire,dfortieom leulzipantb rsaloofany Pro- y, ascxpressly dimected to (k)se on acase,by-casobasigl)ythoM anasemeatContrnlttee.

6.3.7. To ptlmhase liability a114 ntberinsurance tflpmttctthe Trdmology. the

Pmpertyand Bqsinezsofthetz
t,
C.

S .
)
s u .-u'-- - -- - m- t-- -

- suo xfb-kigu mqnda aM RnW a W ertzflzlgArreflee-23

e'frepgid 0024
.

2*01* 11

'

Case 3:06-cv-00056-PMP-VPC Document 644-12 Filed 05/28/08 Page 40 of 110

J'h Ig. 2006 7:2s?k

xtsl' J. Ff?',E9.
i *
.

.
--

8C''lSl ?' 25750

6.3.8. Tte M anagor,subjcztto the rcmsonablo apprtwal of ho Management

'

Com mittcc,shallsclrecttcchnicalenginccrs,programmM andolcrcomputrrc W ci= atfl volop

t)rexploittheTeclm ology.

6.3.9. From tim e to time,amcnd EXIITBI'

I-A to this Agreem cntto rellectany
chang in thc infnnation contuinee
d thcreia, and plrpare.,oxccuto and lilo a Ccltihcate of
Am cndm cntorCorreztioatothc ArticlcsofO rgaaization tom tlectallychal
lgo orcorrection i11the
LLC ,its M anager,M olnbers.priucipaloffice,registcre.d agent,orthe latcstdate upon which the
LLC m ay bo dissolve-d.

6.3.10.Ihvpam,exeruteaad filGon lehalfoftl!o LI.E tlw AnnualListofM anagcrs,

M om bcrs and Xgcatwith thosccrotaryofStateand to pay alIfiliug fccsthereft3r.
6.3.1i.Asdirccted frolk timeto tinr by ttm M anagemintCxmunittoe,tu invtstthc
fundsoftlleLLC inbankcertificatosofdoposit,short-tcrm governm entsecuritiesorotherslloft-te:m
securitieg,includiflg moneym arketfunds,griorto thcoxpepditure ofsuckcapitalinconnectioa with
Busincssoporations
6.3.12.lftheM u agcrdcemsitneccssaryorappropriats,to adoptaCompaay scal,
cim ularin fom lcontainiag the words ''o-rmppid Technulogies,LW .%%togethor wtlxthe datc of
forrnation orihe LLC.and such otherinform ation msshallbc apprtvriate forbartkiag and other
Busincsspum oscs.

')
'

6.3.13.MaintainaminutcbooktoillcludothoArticle.
sofOrjanizationofthoLLC,

tlds Aprcm entandany amondmrmtsorsupplcment

.
shomto,andtNonunutcsofmcetings(or
.

col
uonlsiplieuofmeetings)oftheM anagcmcntCommittec,writtenconscntstlfthcM embors,md
otherim portantdocumentsoftheLLC.

6.4. J/mltatlans on tl)e M anazemeht Committee and M anaacr. Ncither the

Managcmem Committm northeM anugershallhavothrauthofitytodoanyoftlm followingwithout
.

thcpriotVeteofaMajorityinItltGreestoftheM embers:
6.4.1. rxceplforthelirnitr,dauthorltyoftlm M anagortoaTRI.
IrIIIISX H IRW A hete,
to

and theArticle,sofOrganizatitm pursuanttoSoction6.3.9abevc,materiallyMmend '

ormsuto tltis
montortheArticle,
sofOrgnlzatitm,inwholeorinpaltincludinganyincrea&tintir rmmber
ofComlnittco Memv rsoft'
ll:II C pursaantto Sodion6.1ubovr.
6.4.2. So11,liceox,lcase,tonq tzansfer,assir,n orQthezwisc disptv ofal1qr
sllbstanually alloftheasx tsofthe LLC,inclgdiligtlm Tchnologyorany patelltrightlthr to,
whethczin asinglotxansactionorarperie,sofrelatedtransacqonsaspartotaplan.
'

6.4.3. Approvctheerranafrz'ofAMember'slntemst(exccptfortheTranllfcrofupte
10% ofaMomber'sEconimicIntcrostpvt'suanttoSeztioa8.1.
3htfmlg.

Llw sx-e ' ''

.a

rwwK.wukxtael- .
ukxwwum w lllafywwkdpferlA yfmufRn ktted tlllerwf-gAgreew td - 24
e'rreppid 0025

.
JcCase
d
1.tJ. 3:06-cv-00056-PMP-VPC
?
''''12t)Id d ' Document
l/P r C % ' 644-12 Filed 05/28/08
lPage
0'll1141 Vof' 110
l()f21
- UI
J(J ! .4dl'I1
-

6.4.
4. .Approvoanytransactioninvolving thc paymctztofcomggm satio:lbythcLLC
to a M em bcroran Aftitiato ofa M omber,unlesothek-wiso c,
xpfcssly attthorized and approvcd
7

pursuantto thisAgrremcnt.

6,4.5. Any mcrger,consolidation,divcstiturc ordissolutiun and winding up oflhe

BesinessandaffairsofthoI-JT..
6.
4.6. Aftym atelialcllange in thocharactcrofthc Busincss()(SheI.LC.

6.4.7. r lcadraissionofncw orSubstituteM elrtbers(dcl-ineadberjn)tothc*

1a
f.
/.
6.4.2. Any actin.cuutravention ofthisAgrcem enl()ritny valid afncndm cnthereto,
ll1t ArtklcsofOrganizatiunorany arnondlncntthetcof.

6.
4.9. Kuowinglypedofm aayacttotheertbanallyKtreqtliredbythisAgrtcmtm or

bylaw oranactuk
' eningoodfaitll)thatwould,atthctimoofsuchact.suljcctanyMomberoftlw
LLC toanyporsonalliabilityinanyjurisdiction.
6.5. TimeDevotGltoM anaxemenL Ulllessothcm iscdctermitledbytlm M anagemeqt
Conunittoo to bein tho bcstintcrcestsofthoLIX anditsM embers,the M anager'sscrvicesshlsllbe
noncxclusivc to thcLLC.TheM anagorneedstodavotoonlysuciltkuoarid attoritiontothoBuslness
mld affairs ofllr LLC as he shalldrom necessa!y and appropliate, in the cxcrciso ofhis own

reaaonablejudgment-ThcM anagormaybolraquiredtotravolfrom timctotimeinfurtherane ofhis

dtztios imd rospoM ibilgtie,shorcundor.
'

z'

Unless an altmmative schedul:isdctgnnined from tim e to timoby loM aaagemont

Com m ittoe to lx in thc be'stinterresa of thc LIT and it,
s M em lm . tho - i= of DENNIS

MONTUOM RRY,anindividualC'M ONTCO MERY I,solontaheisservingasaComrnl

'l.
tc.
e
M em bcranTorchiofToclmologyO fficorpursuantto thisAgroemoaqslzalll
x cxclusivetotheT-Tr ,

aadhe&halldeve substantiallya11ofhisfulltim:andatfolttion aadeffortsto thBusiller,

safld
affain ofthoIJX duringreaqonablebusincsshoqr;.M O
M ERY mayIx mquire,dtotmvel
fm m tirrle te tlmo in futthe,
rartccofhisduties and msm nsibilitie.sheromtder. M ONTGOM G Y

agmos.asachowlodgedbyhissieatuzrtothisAgreemetlqthatheshallproddehisservice,sina

mannor consistcntwith the policles of the LIf as m ay l)e adopte,d fm m tim o to tifnc by the
M acagcmontCommittoo.

6.6. Rutriction on ndependentActlvitl- '

.Akretm entN otto Com pete. So long as
MO
M FJW is appointr,d as a Colnmittez Membor alld/or$ Chid Techcology Offioer
pursaanttothi:AgroomeaqM ONTGOMW Y andiAffiliatosagmethat,dtlfingthetonllofthlc
-

'

Agv merlt,noaooftllom :hallcomm tcwiththeLtq whcthorfortheirox wxoulltand/orfortlle

a untofothers,ildividually,joiqtly with othen,ora.qapartofanyotbcrlimitedIiability

company.limitcdpartnclship,jeneralpartnershipjjiiutvonture,co
'onorotbertntiy br (i)

'

dovldping.liqsingorexploitinginanymnnneranysoftwarepm grnmstlrle rtocbnologywhlch

iscomm titivtwithtltoelxedttt
ologyortllcl3usin-softhellr vorpm vidintanyservicezoraqpplies
which arc cnoompax'xd within the dotiaidon oftl!c Milusintus''()(tht LLC azsd follh in th.i

Agreemept;(ii)pumilasingo:Qtherwiseacquiring,ewningvholding,ommting,managing.investing
t'
.
'rw---vwd '

- r-

- w- v,khqq-

atlulyvAx-dmee z W RenO d O#<'

ne*c dglw ll$e/lt''25
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'

3:06-cv-00056-PMP-VPC
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Page 428.
ofl
110
a 0Case
.$5. r
rvb /:7r:
''-'lllzs .
J. kI
t. ts. 644-12 Filed 05/28/08N'?l81
lb3
1

..

'<

irtortxtlwt-wisedisposiugofaIikobusiacss(!fthelLC'SBusinessand intereststhzrein of= 7kind

.-

ortlattsre;ortiii)otilerwiseengaginginanyorallaspectsofalikbusincssoftheLlr 'sBusine-ss.
.

M ONTGO M ERY'SorhisAffiliateg'pafticipalioqicauyofthcwacvitio restrsctetlbythisparagt-al)ll

shallbcdccmed abreach ofhisdutiesand obligationsasaCommitte,e M om berhcreunder.
4.7, Com pcsatlen toM auazem entorM em bers.
--

-.

6.7,1. M anaeer'sCom pcnsation. n eM anagcrshallpotrccoivecompcnsatitm for

hisscw ice.
si
lemunt+r,unlossothtrwisoapprtp edby thc M anagementCom mitteo.
--

6.
7.2. Officers'Conm enrsatinn. Bxccptforanycompcnsatioa to bc paidtethc
ChiefTcchnologyOfticc.
rasse(furthbclow, no officcrofthoLtf shallre-ceiv:componsationf0r
hi
s
or
h
e
r
s
e
n
i
c
e
sua
l
c
s
s
o
thorwiscappvovedbythcM anagemcntCom mittec. Irtconsidcralit)nfor
l
zisfull-titl
x ,oxclugivoscrviccstotheLLC , M O NTGO M ERY.asCllicfTeechaology Officer, shall
rcceivo,in addiitm to any reimbulscment for com 11,: providcd for in Scction 6.8 bclow,a
-

GuazantecdPaymcat(a&thatttrfnisdogincdinsection7oxc)orthcCodel. '
I'
tzpaymenqamount
.

and term ofsuch Guarauteed Paynwntorotbercomm nsation to bc paid to M ONTGO M MRY a.

CfziofTechnologyOfficerforhissezvicezsshallbc establisbcd
t
, ad
justod,renewcd ortenninatexlby
to M au gem entCom lnitte,
o from timeto tim e..
6.*/.3. M em bers'Com pppu tion.Paooptmscxprmssly m rm itted bythisAgrcclnemt
cranyotherwrittenagreem otlt,tlloLLC shallgay nccom m nsationto anyM om bcroranyPrincipal
ofaayM'
omberfortlwirsorvice.
sxsaManagertotl
)cI.1f:.
.

')

.-

6.8. Expense Rvhnbrsemlmtw The I.LC shalltoimbursc tb: M anageT officcra,

,
CommftteeM embcrs,MembordortheirAfliliatcsforany exponsopaid by them onbeha
lforth
I,l.
C ,thatisto bopmpedybomebyttloI1f7, aspim ide,dfbrinanApprovodBudgrlorasothtndseo
approvodfrom timctetimehythcM anagemcntCommittee.
-

'

6.Q. Ru trictlensonllirtributions, Nodistributitm todrlJf'l'sM emk rsisvalidtmless

t
he
M
a
nagomeat Committoe has appfovetl such distributiott e,ither hnmetliately'lxffzrr or
i
e
d
i
rsuch'distribution.
lnrn atolyafte.

6.10. RlelltsofIlsp tlen.elllManagc,rmdcornm'

lttY hfrm lxt'sslullhavotileAbsolutc
dgltatanyttvsoe lotlmt,toinmem qndcopya11tnoks, rc m dsand(lrvmmrmtsofe'
veTykintltand

t
softheLIX Imdalgoofitssubsidiazy Ilmltedliabilitycompai es,
do insy cttilephp icalpmpdttie.
tmostioorfroip .Suchins- titm bythcM anageroranyCoTnmltteaM embormaybemadein
pcrsonorby agenturgttomeyandincludesthelighttocopyandobtainabgtracts.

6.1l, Furnishlnj! ELC Infernptloa. Mlc M anxgor may mlreasc guch inftlrmi on
c
IoncerningtbeBusinossand operatiml:oftllef.1r tsuch source,sasiscustomaryorrequizrdby
4w orbyflzloorrcgulationorofdr,rofanyregulatcc body.
.

6.12. AqtlmrltytosdtlewitllIRS.Ifthcrov morethnnormhuncl

mzltl@llM = e nf
thelulf ,theGqqa.
xM-attersM pmne
ner''(asgppointmdinScction9.4llow)shallhavothoatltltorityto
entefinto asdtlcmentwidlthe.htom alPavenu:Servic:onbehalfoftho8oM rm!m hayia:le.%
-

'

cvadrqs
xw-l-

m--u- x-- w- -e

' hvvw uvAmelttkdS Reatatt'

de zrtflc dv-gl/lex/-26
eTreppid 0027

Document
of 110
JiCase
q l8. 3:06-cv-00056-PMP-VPC
f' ESC' 644-12 Filed 05/28/08 FPage
6'i1Cl43 C.
i@/b3
kdtb /1bFM 'Xqlll8s J'F
.

..

'

.<

thanaONE PEIICIJN'
P(1%)intcrestinthe,profitsof(heLLC,exeptwtlereaMomberfilesa
statemmtwit the IRS,in accordalw: with applicable Troasury rogulatiolls, stating thatthcTax
M attcrsM anagerhasno such authotitytu acton thatM om bcr'sbellalf, AnyM ombcrfilincstlclla

statemcntwitlltheIRSshallnotify(IIGManagcrthrcofwithinthitty(30)daysofsuchfiling
.

ARTICLE 7

M EMBERS'M PETINGS;ACTIONSW ITHOUT M EETINGS

7.1. M eetinx
-s.'
I'
he.lvfemben sllallnotbc requircd t(1holdauyregular. annaalorsjvecial
mczctiugsilkordertoappm ve arlyactitm ofthcLLC asrcquircdbytllisAgroemont()rthcNPS-

7-2. ActiohsW ithout:kM eetilta.

7.2.1. Aay actitm requiziag approvat0((lto M emborspursuantto thig Agmm lemt
m ay Ix approvod wishoutthl conductofa meeeting lm d witlloutprior noticc ifa m idon cotuent
scttiag forth tho actioa or actiofts so takoa, is:igaed byM ombq:sholding,in (lloaggmgate ,
,
M ajolityinlfttorostormoreofthcMomlxrs,unlessagreaterVotcislm luilr.dundervoralesscrvot
a
o
isprovidcd foriuzthis Agrecawutorthe N RS.

7.2.2. U rtles:dleunaltimouswritteqcoasoqtoftheM em bofsitasbeeta givork,sotico

of
a
n
y
s
u
o
h
a
c
t
ion approved by lewsstha11aIlofthoM om borsshatltm giyca to thoseM em bergwho
did

aotpatticipatvinorapproveofsuc.
hacticm wititin(oa(l0Jdaysfollowingtlleapprovaltlmreof
.

7.2.3. Any M etniw.

rgivit!g ; writwn coostntm zy x voke tllo censcntby giYlag

. ..
.
' .

writtonnotkctotheIJ.f!priorto thetime thatwzittenconsentsofthe M rm borsholding, iatho

.

aggrezato.tlw Vote roquik'

ed to authotizo tlw proposed action havobeou t'iled witiithoLL.C.Suoh
rovocation iseffective oaly upon itsrom iptby thcLLC .

7.3. E xdasltm f)rVotv. D'

,pursuant(()tilc NRS orthe teuasoftltisAgrromcflq a
M omberisnotontitlredtoVok.onasprzificmattor, then suchM embcr'snumbe.rofVoteashallnot
be considored forpurpossofdctorminilzg whrethorappmvalby Vote of(he M cmlm hasixxm
-

obtwiqed in respectofsuch speciticm aucr.

ARTICZE 8
RKS'rm C1*IONS ON TIG NSFER OF M FJM BERSEIP INTERESTS'
V
ADM ISSION ANb ST BSTITW ION OFNEW M EVBEKS
-

2.1. T m dsfe'
rerAgsiellmentofM emberk IMA UK ThoIuteroatofoaohMcme rand
.

thePcoqonzicItltemstofaPersonwheisn0taMomlxrclzsdtute&theporsonalpro- yoftiz
M emtrorflrBtonomiclqtetcsthol&r. NoM omk rotpa nomicInzmstholdorhasaayinteratin
thePmm ftyQftlz L.W .

'

s.1.1. A M oml r'IntoredtranEconomlcLqterestmay orwly lw k-rufermd t)t

assignr,diu stzictaccordatv wittttltisAgleeauau
..

j
.

zw --wts.t
hyqzssaqsaloo4s- vuqe- -

' A- lyviu - azf',o ttRestntedLp.t

vvkh'nga rte-mni-27

e'
rreppid 0028
25::1dxpf

uq.
l.3:06-cv-00056-PMP-VPC
kpdb /:7bFk .uksI2S J. Ff
??' Esg. 644-12 Filed 05/28/08 80.
712144 of
?,110
88/09
Case
Document
Page

8.1.2, Exccpt1s othcnvisc provitkd i:lSections 8.5.1 and 8.5.2 below,no sale,

-.

tlansfcr,hnxthccation,encumbrancc0:asxignmcl
lt(a'Transfer'')ofuMomber'sInterestoran
Fronomiclntcrestirtthc:LLC wtllbe validunlessagprove,d byaM anagcmeatComm itteo,initssolc
discrction.
8.1.3. Ps
xcoptforany Transfe,rofaClax
ssA M emb:r'slntetu tto anothe:
rexisting

ClassA M:mboroftheLlf stlpouthe-l-ransferofanyClassA M cmbcr's(nterest(butnotatransfer

ofanF-cononlicInterest),thetrartsfcrc,
cshallautomaticallybecomeaClassB M embcrandtb.
cCla:s
A Ucils so (cansferred shallautomltically bc converted to Cjass B Units.Notwithstanding tho
foirgaltig,with tllc approvalofthe Nh nagcmtmtCoramittcc,such cllnvcrtcd Class B tlnitsm ay
m aintain thc allocation and distributionplitlrity Iightsofa ClassA M em bcrgufsuantto Sections
4.1.1.2,5.2-1and 5.2.3.
'
8.2. Void Tranlers.AnyTransfcrofan Intetostthatdocsnotsatistytherctjuzmcntsof '

Sectitm 2.1.2aboveshallbenullandvoid,shallnotconferanyrightsupontllepm posedtransfcrr-e,

and tlle transfertingM cm bcrshallcontiuuc to bc aM emberofthc IJ.
f7and to be obligate,d undet
cach and everyprovision ofthisAgrx mont.

8.3. Adm isslon ofNew MemllcccSubjod totheapprov;

zlofaMajorityinfntcrestofd1c
-- -

' M ombtrspursuaattoSrection6.4.7heroof,4now M cmlxxmzlybea

'rlrnittcdintothoLLC onlyupon
approvalbythoM aaagementComrnitte.
eanduponsatisfactionofthorcquirumentssctfolthia thix
Section 8.
3,n eM anagcmentCornrnittr,eshalldef
zrmiurtllea ountofCapitalContribution that

mustlyem4& byanew M ombcr.A ncw Meznlvrshallnotbedcemedadmitte.dintotheLIf until

'

,
'

the CapitalContributioarequired ()fsuchpe.

rson shalfhavebeeea m adoand such Pelmm hasbccome
wpttt'
ty to thisAgm omontbyextvutingImddctivcringto tlleI.
LC ac-mmtem at'ssiplawm pageto this
A grceme'
ntacknowledginghisacccptanceof,andagrcoingto bcboundby,tllctennsatldcootlitions
ofthisA gmrment-

8.4. Substltution orM em bers.Upotlthedeath ofaM em/ rorupkm tlzevalidl-ransferof

aM em ber'sUnitsinaccoriancewithSoction8.l.2 alxlvc, alYtx n maybosubstitutod asaM omtvr
and admitted tothcLIT , succeedingtoaIlofthorightsofa1
33Membor(a:65,
p5.,
t1.
(g1:.
,.
M 1r1111).
.

n eSubstituteMemlxrshallhavea11thorightsandpowor:andshalll)esubjecttoallthorcestriotion:
and liabilitiosoftllc trapsfem engM em % r,exceptthutthe substittttioqofthetransforecM emborsbzl

nttmloa meo sfem'ng> mkrfromliabiiY totheI.

TF!puzx anttoNRSSection86.151.No
SubstitutoM omborshalllv
admittM intoG llfluntilsw ltsilbstituteM omllerllxse mo
apartytothi:Agrcementbycxx ue gimddclivoringtothou r acotmterpartslgnatum pagotothis

Agrcena kacknowledgingbisprr.
e/tanceof,andagreringtoL bomdby,tl
zetenncandcoaditiens
oftbi:Ag= melt-

'

85. Exceptlolzst0dleltettlctlonson Tm ilsfcr.

-

8.5.1. efhtmstrictionsonercmlsfercontMinodinthi:Article8shnllnotapplyto(1)a
ZfIofaI1oraaypottionofaMelnber':UnitsbyaMemlxrto hisspoux. ld,orJandchild
CF&mily'')orofa'rraasfcrofalloranypoftionofsuchIntorcstby&Memlxrto(i)atrm tsolelyfor
lholncfitoftIBOMem!:
e.,
rorNsP.
Aml
'lycr(ii)anyotlleremtltyatlut80% ottbovalueandvoting

Powcrofwltichi:owte ltlizectlyorindirectly)bysuchMembciaadhisFnmlly(oxceptnosuch
.

muww-.,
a.e- um qsw

w- >

aq-.,z.xA(juIyvaWw<W 4JW Xe#% #IW Y W Ag>eplW .-28

e-freppid 0029

J'Case
h.lo.3:06-cv-00056-PMP-VPC
?Lt ?:7s'k ''-'sI8s J. Ff
Document
8f. (s9. 644-12 Filed 05/28/08 hPage
.7l'l45 ?.
of 110
30758

transfer.
sshalll)emade pursuimtto anydivorce orseparation proccedings,unlcssthcM anagcmoqt
'

Committee hasapproved such Transfrl;(2)a distribution from any M'

mlxrthatis aIimited
liabilitycompanyorpartnership to itsmcmbcrsthcpkulucrstso Iong assuchdistribtltiolldoesnot
occurwithin orlycarofsuch M embor';gufchaseofthc Intemstbeing transtkrred and so longasali
ofsuch M emlxrs or partners are 'taccrcditcd itlvostors''as suclltel'm is dctinr,
d illRule50l of

Regqlati
onD promulgatedundcrtheSccufitiesActor1933,asamcnded;or(3)anygiftbywillto
any entity tllatqualifics as a charitable organization underseution 501(c)(3)underthc Codo;
provided,howcver,thatsuchIntercstsllallrcmaiasubjecttothisAgreementandstlchtransferoc
shall,asa contlition toTm nsfor,agreeiawritiug tolyeLound bytlleternu ofthisAgmementbythe
oxecution ufacotm tetpartsiguattlrc pagoto thisAgreement.
'

3.5.2. OneormoreTra:sfersofupto at1aggregate often peellt(10%)ofa

M crnber'sEconomicInterestm aybedtmewithoutthccuusentofthc otherM em bell,theM anagel'
or tlm M allagementColnmitteeu provided thatthc trausforring M etrtbernotificsth M anagerin

writingatIcasttcn(10)daysinadvanceofhisintcllttoTrznsforanEconomicfntcrest-Suchnotice
sllallontain ther(Iate and amouqtoftll: transferred Econornic Intea sq mld thc name,addmss,
facsimile number and taxpayer identification number of tbe tgansfcre-e. '
T'htltcansferer ofan
Economic Intcreestshallnothavc anyright(o '
Voto,padicipate in tllo m anagomentofthc Etlsilw ss
and affairsofthcLLC,orto bocomo aM em bcr. No rightsasthc holderofalzEconom ic Inte.
re-st
sballI)rcoafcrrezlum lltlzetransrere.ctmtilthc tm nsrorecagreosto bebouadbyallofthctcnm and
provisilm s ofthi.
sAgrcemcnt. Netwithstanding the fom going, aay Tramsfcrby aM om borofan

EconomicInterestinexcessofanajgrcgatet)r10% shallbedecruedaTransforofsuchMcmber's
lnterostand shallIyosubjecttoScecuon8.1.2abovc.
r h

8.5.3. Notwilsumding any rightofMclnbers,including righ? ofErstrefusal

containedhoreia,ifaMajorityin(IlterestoftheMomixxsdoterrninestoselltlw Y mpany,wlwthcr
by mergor,consolidatilm ,salo ofa1lorsubstantially 111ofitqassca,salo of1111oftbe,outstanding

UnitsoftheCompanyorotherwiseto aanonaffiliatodthirdpartytanGApprovodSa1o'').allofthe

MemteersshallcmrtsonttoandraiscnoobjectionagainstsuohApprovodsale(indudingmfraining

from excrcisiqgmzyril t.
sofappraisal,irany)undshalltakeAIIneecessaryanddoslrablcactionsiu
theircapaity asM omborsirtconacctiorlwith tlm consurrtmationrsuoh Appmved Salo.'lYc

Mimbc shallagrefttsellthdrprorataamountotunitswiticharesubjecttosuchApprovedSale
ontlx termsandconditionsasprovidedbyaM ajorityinInterostofth4M embers'.'Iheobligatioruq

oftll;Mimbe.rswitllmsmcttoany ApprovedEalarosubjcctto thecondition(IIK upontile

consummntitm ofsuch Appzoved Salo.a11()rth:holdcrsofUnitawillmcely;Qr zarru form and
aMouqtofconsideratioaperUnit,QrifanyM eznboma- giveaanoptionwstotilofm andamount

ofconsidcratinto bercceivc allMzmberswilltr givcn thosltmooption,(m apzoratab%is,in

acco

' withtheirms- tivcPemtntagoIntmw ts.

8.6. ReqtliremetttsonTransrer.NotwithstandiagaagilingintllisAlticlG8.nMomtvr
-

mayTnnqferanyIntemst(0th+ thanpursuanttoaneffoctivegistratiotl'
m tomentunderthe
Socuritie,sAc4 withoutfiatcomplyingwith thefollowing:
8.6.1, m livczingtothecompanyupoqitsrequstanopinionofcounsola

(otheCompanyr onablyaceptabloinfovrm andrubstancotos'locci

mzpariydhalfeglslrxdollunA
'

rhxw- 'e '

w 4mweevxm'.-..

uapzxqttulyvukhdmellzz dzzzfRn4tanedoper-tlnghgrnelntd-29
e'rreppid 0030
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Case 3:06-cv-00056-PMP-VPC
Document
Page
of 110
J8r.I:.
JUCU '.JCPM
'
1r11! J. tf?p'
LS9. 644-12 Filed 05/28/08 10.11
8146 P'
1l/h7
I

'

.''-'

theSecuritics ActisnotIequircd in conncction with suck transfrand thatsuch transfcrisoxompt

from allapplicablestatc sectlfitie,sIaws;and

8.6.2. Evtry Peaon (inclntling such Pcrson's spotzsr,if anyl,othcr than the
Cornpany,to whom such lnterestistranaferrcd inctlmptiancew iththisArticle 8shalllx requiredto
executoartddelivcrto tllcCompanyacouatorpartsignaturepagetathisA grcom cnt,acknowlrdging
his acceptance of,and agroeil'
tg to t)c bound by,the tcnnsand conditions ofthis Agreclncntatld
agreeing to become a pafty to this Agmemcnt- At the tinw of exccution and delivery to tho
Cornpany ofsuchcountcfpad signaturcgage,guchPersonshallbc,admitted ;
1saSubstituteM emtvr.

ARTICLE 9
AtIM INISTRATION AND ACCOIJNTING M AT'I-ERS
9.1. M allltenanceofIlaolksand Records.n oLLC sllallcatuqebooksandrocordsofthe
I.
1fltobe m ai
ntaine,
d in accordance with gellorally acceptcd accotmthtg pzinciplos,and shallgivr
regerts to tho M ombers in accordaace with pmdentbusiness pmcticcs and (Ile NRS.n c

dctornlination oftlm Managcfnol)tCommittccaGtoadjustmentstotllfinancialmport:,bxks,

records and retutus ofthe IAE ,in thc abceuco offraud orgross nogligoncc,shallbe fiualaad
binding ulxm dx I.
fr and alIoftlleM clnlpa's.Them shallbckeptatthcprincipalbusinessofficoof

thoIJr,Jsswellasa.
t(horrgistorcdoflkeoftheELC sm cifiediuSection2.5(irdiffcmnt),any
inforrnation required tobo maintained by tlleIA ,
C pursuantto NRS Scction 86.241,ils amcade,d
from time to tiae.
.
' '''
.

9.2. AnnualXccountinz.Witltiaonelmadre,dtweaty(120)daysaf1m-thoclosoofeach

..J'

Fiscd YraroftheLIr ,thcI-I.,

C shallprovidetothcM embe.
rs1111informationnecessary forthem to
com plete fcderaland statet.
ax retum s.

9.3. Jpqpectitm andAuh

ditRichtsvFachM muber,atitsowaoxm nse,hastheright.up n
rcasonablorequestandforpuqxscpreasonablymlatr,dtotheIutorcstofthatM ombor.toins- tand
copydudngnormalbashlcsshourganyoftheLLC bookandrecoldsrequirodto bemsintained iu
a'ccordanco w itlzsection 9. 1e ve.Suchrightsmayl)eexercisodbytheM emlxrorthatM rmber's
agcntorattom ey.

'

'

9.4. TaxMattA llandle.dhyhfanacer.Thhfalagelmnttzommifpeoe llde > a

W rsontobe0w I.lT!!sraxMa rshfanazer''tdefmedaskq'
axMattersPartner''inCo& sxuon
6231)tompmsentozlalf (EtthoI.
1fl'srxpellslinootmconwidla11examinM
''pllsoftllclJfl'g
afhln bytaxauthoritiees.includihgresultingjqdidalan.
datllhinigtrativoprchl
v dinp,av tooxlxnd
11.
t-!ruaisforprofossioqalservicesandcost.sassocinfn.dthe,
rGwith.Initxcapacityastq'
axMnlle,
rs

M anager,''ttw dedgaute.dP= onghallow soethel.

,
tf tu affairsinth:yirallbestintcrel: rthe
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.
9.5. Egtabllshm ent of Bank Accfmnts:Authodzed Slslatorl- .'I'
he M anagement
Ctxnmitte,o gl)&llautholizz tilo (xtablishrnentofonefmom depository accouaa htNovxh And
elscwhetf forthc* t1softheIJ.E.M 1disbursemontsfrom theLu rsbsnkaccouftt8shdlbtIn
accordM cewidlthisAgre mont.M ychccks,t1a1 ?andothorillstnlmcntxobligatingtheI.If7to
-

''

. ..

paymoar#upt:amaximum amouitof'fwentpliveThomlmdDollas ($25,(m .00),inclllding

.
cstqxxm u- iswxup.tvwpaxml--j-

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tsg' 644-12 Filed 05/28/08 D''/1
@'110
1'
1/17
Case
Document
Page7147 of
J d2.l
3.3:06-cv-00056-PMP-VPC
JLUO l:1pPM

iftstrumcne payable to thchlanasororotllcrpersoftsauthotizcd to slgnthem ,m aybosignodontle

LLC 'Sbehalfby theM anagcr,actingalone.Anysuch checks,draftsorothorinstrumcntsobligxting

thct.
l.r topaymoneyinexcessof$25,(+ .00,whotherasaslnglecheckorasoriesofcheecka,shall
rcquiro tlzcjoiatsignatutr-s ofthe M anagcrand aPerson designatcd from time to timc by the
M anagcmelltCom m itte'e.

Cash balanccson hand mayboinycstod by th:M aqagem entCom m ittce on bchalfof

the.LLC asprtw ided forin thisAgrecmcnt.LLC fundsshallnotlye,comm inglcd with thefundsot'
theM anager,anyCommitteeM cmbcr,M oml r.officzxotanyothorpcrsonorasedascompcnsating
balapcc.sforany othcrobligations()fthcM anagcr,anyCornm ittccM embor,anyM em ber,tlfficeror
any othorPorson.
9.6. Fe-derallncom elkzEledions.n eM anagemoctCom m itteeonbchalfofthcl1f7
m ay m akeallclectjonsforfedcralincometa&putw ses.includittgbutnotlim ited tt),thefollowing:

9.6.1. Elttit: Classific-atlon Elcction. As a domestic cligiblo cntity, the

M anagcmentCommitteoshallcatlsetheLLC toclecttoM classifiodasapartnetsllipforfederaltax
purposez by ftling Fofm 8832,Entity ClassificationElectitm,with theIotom alRevcnuc Sorvicoin
thc timo and m annorprescribcd bytheapplicable mgulatioas.Thc election forsuch clmssitk ation
shallbc offcctivottsoftho date offiling thc Atticlo ofOrganizatitm.
9.6.2. Use orAccelerated Depreciation M etllods. To the oxtontpcrmitted by
applicable1aw and regt
zlations.thcI.
1f7mayelecttottseanaccelel-atcd dop'reciationmdhodonany
doprv iablo unitoftho assctsofthe LLC.

( g)

9.6.3. AccouutinzM d hod.Forfmancialreptlhing pufm sfxs,tlte1:.001* and mxot'

ds
of the LI.E shallbe kopton thc CASH M E<IYIOD OF ACCO UNTIN O appliod in a censistcnt
mnnnerandshallrerlectulltrangactionsoftheLLC mdl)eappropatoandadequat;fortllopurposes
oftla LLC.

9.6.
4. OblieatiensotM tnlberstollepfe Allc ations.'llx M ombcsaroawarcof
thincomrtaxconsm uenccsofthc all- tiongmxdobyt1115Agt-znentandheroby agreotobe
bound bytheprovisionsofthisSection 9.6in mpxlingtheirshare,
softhe LLC incom candlossfor
.

incom etu purpos> .

9.6.$. Tax Year. 'Ilm M anagcmontComml

'ttc,owillcausothc LI2 to adopttho
.

CAV ND AR YEAR asitgtaxable ycar.

9.6.6. Odlerklcctions.'I'
heLtanagemeatlztpmH ta l ithavotherigittinitxw lc

discmuonatanytintttomakrornottemakesuchothtrdxe asaszreauthorizr,doro e by
anyIaw ormgulation foriacom:eaxptum se,g(iacluding,butnotlimitedto,Anyeloctioaun/r
sections734,t43:nd754oftlleCA toadjusttllohasisoflhe,pzom rtyoftIIeTJTIicthepveatofa
Tr&nsfe:ofallQfpm oftlm InteretfanyMembex.Notwithltaqdingtlioabove,nM em/ r,nr
tG TTD.sh&l1rnakearlelodiontoB excludcdfrom theapplicauonofSuY haptorK ofthece or
any eimib.rprovidonsofstatellm'.
f >j
=

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wvuez-vswu-

z- tyvs.
o

ee u le Rtstatofopem <-gAlreqment- 31
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Case 3:06-cv-00056-PMP-VPC
Document 644-12 Filed 05/28/08 t'q'rl31
Page 48rof
110

Ju
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&RTIG ,E 10
ATI
ON Ae DISSOI,tIT-IO
--N
ERM
I
N
T
-

10.1. piss@lutioll. PnrsuarltttlNRS Xectm 86.491,theLI..

C shalllx dissolvcdand its
affairswotmd up uplm theoccut-rcncc ofanyofthefollowingovents:

10.t.1. TheaffirmativcVotebyltMft
jorityinltltcl
cstofthcMbmbers;far
10.1.2. n osalt,liccnsc,Icaxe.rtmtal,twsignmcntorOthordispositiaofalior
substantially a1lvftheassctsofthc LLC,inclodiug theTechnotogy orany patentrights dlcrdot
w'
hctllertwcufrirlg in asirlglc transactitm orasmir,x
sofrelated transactionsas pallofaplan;or

l0.i.3. Upnnentryofadecre,
cofjudicialdissolutionpursua ttotheapplicablc
prtwisionsofthe NRS.

ntinuationand CoflductofBuslnessAfterbi>olutiolu Uponthocllrrenceof

10.
2. Co
anydissoiutioneventspecifiediqSectioa 10.1abovc,theI.
z
tflshallccasctocarrycnitsBusiaess,
-

tncoptinsofarasmaybenrcossae forthcwinding up ofitsBusiness.TheLLC shallcontinue asa

compi
myforthcpurpusoofjrosecutinganddeffadiqgsuits,actiolu,proclzsdingsmldclainuofany

kind ernaturebyoraguinstltandofemabtiugitpuduallytoscttleandcltlseit.sBusinexs.tocollct
and dischargoia obligations,to dislxurofand colwoy jt,
sPtopety imd to distributeitsmmsotsmtd
Property,butlzotforcontinuingthcBusincssforwhichitwasostablished.
- k)

'

'

lly'/rAeahtd D i&<,llredLLP.Tlm disaolutionafthe.LLC

10.3. Lim itatlotlollAction.
,
.tteo
shallnotimpai
ranyrrmcdyorcusoofactionavailablctooragklinstitoritsM anq er,Comml
-

M embet'surbfembe.rsaritingboforeitudistolutionandcommcncedwithtwo(2)yearsqftrerthedate
ofthe dissolution.

10.4. Dktributieh ofNd ProcedsUpocLiquidatlon.Tlw M om l

x rsshallcontinuoto
divide NetPtotit.sand Nd Losse,:tmd Avl ablo Cash lqow during tllc winding-up poriod ilzthc

4amemalmrrand !heaamopziozitiosasprovide'
dforiaArtides4and5hoaof.Thoplncez'zlKfrom
thc liquidnfion ofPm pozty shallboapplie,d to liabiLties efthe1.,
1r irtthefollowingordotn

10.4.1. H lxtjtothopzynwntgfqrditol,Intheordcrofpriorityat?roWtW lby

law.exqepttoM embtrvon kwecountofthoircontri
buions;

10.4.2. SezntttjthepaymentofIoatlsoritdvancesthatmayhftvolv nmadeby

anyofthoAimlxrsertlwirPrincipakforwrkingcapitalorotherreqtziromontaof11):f,If ;
10.4.3. lhh41.pro ratw to theClassA M omborgand the ClassC Momlmargin
accordnncewidlthcfrIm itiYeCapital
ntbalanccg;

'

10.4.4. Fourtb,tothoClltssB M tml*,

r&inaccordancoV tIIthelrptxitivtG pital
Accountbalallca ;aud
t h

ow x.....a '

v--=- - -

z- yv-

we gdw Reuatedopn-tlngAgrement-32
e'rreppid 0033
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Case 3:06-cv-00056-PMP-VPC
Document 644-12 Filed 05/28/08 111.1Page
49Fof
110

w .

xv y

10.4.5. Tbtreaftervprorata,to thcM cmbersirtaccotdance with tll0i.

rpsitivc

CapitalAcoountllalaaces,asdeterminrxlahc.
rtakingintoktccourltallCapltalAccountadjustmcnts
rorthePisualYearduringwhich thc tiquidatioaoccurs.

l--iqitiatienprtzcecd.
swillbtlpaidwitin&)daysaftcrlbacndtlftheFisc.
alYeartor,if
later,within 120daysaftertilc date ofthc liquidatioll).'T'
hoCompany may offsetdamagcsfor
breach oftt
lisAgrezmentby afty M om berwhosc Drkits arc liquidate.
d upon tho tiquidatilm oftho
Com pany againstthe am ountothcfw iscdistributable te sugh M ember.

W'berr tlw distribution gursuantto thisSection f0.4consistsbolh ofcash (orcasfl

cquivalents)mld non-cash assets,(he cash (ftrcmh equivalcats)silalltirstbc distributotl,in a
desccndingordcr,t ftlllysatisfy (nchcatcgorystaltillgwith thclnodtprofonrd tnatogozyabovo.ln

tllecmqcofotmtlasNassets,the.distributinvaluesafetobobasedontllefairmarketvalucthereofas
dderm incdiflgood faith by tlw liquidatur.and tiesilortestmaturitypoftionogstlch lw n-casllassets

(e.g.,notesorvtherindebtcdncss)shall,totheextentsuchnon-cashilssdsarcrcadilydivisiblc,bo
distributcd,inadcsccadingordtx,to fullysatlsh each catcgoe above,stmtingwith tllomost
proferreed catcgoty.

ARTICLE 11
ISSUANCE OP LLC CERTtFICXTES

'

.j
'
.

l1.1. l6suance ofLLC Certlficates. n c Unitq of ach M ombcrin the I.

1.
f7 may be
represerttod by an LLC ccrtificate dczsigntiqg tho classcs ofnlembcrsllip and Unil
xq. Upon the
exccutio:iofthisAgreom ontl
tnd thopam mntefthecapital(JontributiondbythoM erllet'
agursuant
3hcrlf,thoM anzgerm ay causcthc I..
C to issueonetll
-mm ccrtiticatcsin thcnamtof
to A rticlo'
cachM emborcxrtifyiagthatthcMcmbcrnamedtheminislllerecordholderofthcUnitaoglntorests
stltforththemim Forpllrpogc,,
vofthisAgreomtmt,thotcrm i'recerdholder''shallmeam tlw Mtmber
w llosm Izam ep pearsin Sx tion 3.l1.
1tlleM em k rowning the Uitsatissue.

11.2. Trap<fer ofLLC Ccrtlficates'

. A M efnberdhip Intomstwllich i: trapzf6fred itl

accordartcewii tftetermsofAdicle8ofthisAgrecmGntshallbetrallsflxableonth:booksofthe
I..1..C bytllcrecotuholderthcreofinm rsonorbysuchrecordhqlder'sduly authorized attornoy,but,
exceptaspm vidrdin Scction 11.3below withrospecttolost!stoloaordestmyed corv cates,rto

traluferofUcio QfM emb= hipIntomstshallbcontoe untiltheprcviouslyissuezll.

ff7ccftitice
re,
presetltikgtuchUnitsslullhav:beeqsuaoadTrtd totheI.
IT!and cancoled and arcplv ltteat
IJT!certiticate ira od te tht trHngfefee ofsuch MombershipIntea stin accordanco w1t11such
ere.
gasQIGM rAIIMI'
Smayfrum tmetotfrneeublislu 'I'
hcM cmlm shallcattR tlm VD IIg.
to 1%tp to tIGegnsfoningM ember&lww IJ.
C ccrtificatercgrcsc ting thUnitsofM oallxfsllip

Intczrztsnotbeingtraufenrdb?tlleW mbr'r,inthcovenivtlchMtlnlv onlytrannfone some.lwt

notal1,oftheUnitsmprcsente,
dbyth:originalLI,C R rtifiato. Bxccptv .
otherwisorqliircd by
law,tht LLC sballbeontitled totreattherecordlugtlerefxtLIX corv cateon itsixlla agthe
QwncrtheroofforaIlptltw je:legardlossofalzynctic,corknowlodgototheooaeary.

'

11.3, I- kstoltnnrIledrgre.
dG rjlfitafesvThe.t.l.c shallisstleanow Lu lcero
r.tificatt
inplaccofanyIJ.
f Certificateprtviouslyissued ifthcreoordholtkrofthoL1.f Certificate:
,

'

c<xux- xe '

s- r-

' r-tlqrqlyvokwiele/ldd grzufJtryfcfetfOpe- h'

ngAw tnn t- 33
e'
rreppid 0054

Case
3:06-cv-00056-PMP-VPC
Page
110
Jqh.
1. /ldb
/:3/FM - !l3S J' b(Document
9f tg' 644-12 Filed 05/28/08''
l18l 50F'of71/17
>

'

M .'

11.3.1. M ake-s proof by affidavita in fotm and substaac,e satisfactory to tho

M aftagortilata gmviously issucd LLC ccrtificat:Imsbrzn lost.destroyed orstolen;
l1.3.2.

Retlucststhcissupmccofancw LLC certificatebc.forcthef-.tf hasnoticc

thattlz LI.
E ccrtitkatehasbceonacquiredby&pttrdlascrforvaluoingoodfaithantlwitlloutIlotke

'

ofan advcrscclaim ;

l1.3.3. Ifrequested byttlo remaining M cmbors,dclivol'sto theI.

J.r a bond.i1t
form andsubstmncorcasonablysatisfactory to therem ainilzgM em bcrs,w ith suchsuretyorsurotios
and witiltixr.d oropen pcnaltyastherolnairtingM embcrsfuaydiroct,in thcirreasonablc discrdion,

'

toindemnifytheLLC againklanyclaim thatInaybcmade(m accfmpteftlw allegedloss,dostruction

ortbeftoftho LLC crrtificate;and

i1.3.4. Satisficsany otherreltstlnablemquirtm entsimposed bythcM e,mbol'

sor
the M anagcmcntCom mittee.

IfItMemberfailstonotifytileLLC withinareasoaabletimeaftorititxqtloticqortlw
loss.dmz
'tructionortheftofan LLC certificato,imd atralwferofthcUnitsofM emborship Icterest

replm ontcd bythcLLC ccftilicate i:registercd bcfotrrccciving such notificatioa,tl

x 1.1f'
!sha.
tl
bavo uo liability with rce
speztto ally claim againstthc I.
1f7 forsuch trarttkferor fora ncw LLC
cezticate.

ARYICLE 1
.

jygggxjjxjjxvjgx

n elrprindpals.n etu lshallilldelnnify

12.1. Indenm ification oftheM em bersan
-d'
andholdhurmlessrachoftheM embers.theM allagtr,thrcomm ittea M embers,theirAffiliatcand
eash oftlw irm sm ctive officorszdir= tot'
s,m anagora,tnlsteeas,m ombors,shv holdezs,partners,
-

emplcyeees,ascntsandPrincipals(individually.anxllndemnltetr')from andagainstanyanda1l
losscssclaims,domands,costs,damnge:,liabilitiez,jointand sovoral,expcnseaotmtynature
(iocludngreasoaallleattomcys'fe,e..
sanddisbursemrnts),judgments,tinis,se/
ttltmoaa andother
nm ouats arising from any and allclaims,demands,aczions,suits orp

'ngs.wtxethtrd vil.

critninal,adlninistrativ'
eorinvestigativm,inwhlchtlmlndemniteci:involvedasapG yMrimingoutof

tllolh sinessQftlteu f ,u cludiagliabiliticstoM yMembor,tog'

ardleessofwhr,tllerthehtrlyx nf
le
continurstqbeaM ember,R Am lie ,orarloflker,diroctor,cmployea,age'
ntorm incipaloftho
M em% ratthetlmaflysuchliabilityorcx& nscidpaidotincurmd,tothofullestcxtatpormilf'vl
bytheNRS auddloterapplicabletw n.prvvidrd thattlzoM cmbcrorsucltP> onactedingood

faitk withinwhatisreealgnablyblievedtobetllea txrofitsauthorityandforapurposewhichit

masoaably believred to lx in tho Ixstintetw tx Q(Qlo LLC and tho M emlxrq orcthcrwisc in

mpliancrwiththcptm isioqsofthisApx mont;providra howovor(i)thattheI.

1.
f!rshallnotbo
ltqulm.,
dtoindex nifyanyIndoznnitoe.andaayguchln& mniteesballG liable,feranyl= ytxm ase

orzlamagewhichthtLW maysux rasamlultof(A)suc%Iqdemrlitee'swillfulmigc-onductvgmss

negligegce ottpa.
d fitb in failing to ytfolm itsdutieshereudcr,(B)actionslak'm by such
hdemrziteoinviolatlonQflllisAgreomortq (C)tllcroceiptbysuthIndcmnltm ofanylinw ial
im efitstowllicllitisnotelititiodpuauanttothisAgrcmont,or(D)thevotoby:uchInde
'znnite for
..

j
fwwxmw,.ius.-

'. .ixk- xzweo- tlul

kvto

eadedw Reztata ppz'% GgAgreerlIerIl-34

e'rreppid 0055
- 4* 1

U Case
ih.I3.3:06-cv-00056-PMP-VPC
Jkt /:$/PM
l10LSll! J. llg'
t. 644-12 Filed 05/28/08 10'D
71/18
Document
Page151 F.
of 110
.

h-v

v:

adisttibutionoffu:1(:
I.
softilcLLC inviolatioaofthisAgvezmeotcrthoAct;(i.
i)thcI.
JX shallnotbc

'

required to indemnifyanylndemnite forauybrcachoftlw provisionsofthisAgrecm cnt,orforany

Ioxglexpcnsc otdam ago which itmay suffcras a resultofthe brcach ofthisA grecmcntby the

M embc:
rtowhichtNelhdcmnite,eisrelated;and(iii)anyliabilityhoreundershallbelimitedsoklyto

themsselsaadprolxrtics()ftllcI.1E,arldnoMcmbcr(oranyAffiliatcofanyMember)shallhavo
any Iiability orobligation by roftst):lofthesoindenmification provisions.

TheforegoingprovisionsofthisArticle12sllallsurviveforaperiodoffour(4)ycars
frtkfrlthedf
ltctltdissolutionofthcLLC;providcd,ifattheendofsuc,
hy liod,thereaftanyactions.
proccedirtgsr
'
)rinvcstigflion:the'nm nding, the M anagtrshktllso notify tlloM cm txn atsuch tim o

(whichnoticcshallindodeabrlofdescriptioaofcachsucllaction,pr ccdingorinvcstigationandof
(he liabilitirsassortcd tllcrein),alldthcforcgoing grovisioftsoftbigAdicle 12sball6fzrvivowith
respectto cach such action,procrezliltg orinveestigationsetforth in such nouce (orany relatcd
action.prlxcedingorinveestigationbascdupollthcsamcorsitnilarclajms)untilsuchda.
r
.
eassucll

'

action,procm dingorinveatigatitln isultimatolyrcsulvcd.

'

-111c .'
I.
C shallnotincurthe ctstoftho Izurfen of'any insulance,otlmrthmzpublic
liabiity insum nce,which itlsurosthcM anagerorCommittreeM cm V l'
s againstany liability asto
which thcM anagerurConm littec M cm bersarellcm in prohibited from bcing indcm nified.
12.2. Expeasms. Faxponsesincun'
ed by an lndcmnitec in derendng any daim ,domand,

actiou,suitorpv eedingsubjccttoScction12,.1abovemay,fmm timototime,tleadvanctbbythe

' ' -'

T.I.
c priorto thofinaldispositiopofsuch olaim ,demand,action.suitorpm ceeding llponrrcoiptby
tho 1.1flofan undnrtaking byoron behalfofthefndemnitr-cto rcpaysuch amountifitsl1&11lx
dototmine,
d thatsuoh Porsoa isnotcntittcd to boindcm uifedas attthorizod in Sr-ctitm 12.1.
12.3. Indem nificatlan Rizhtg NoneExcluslve. 'lihe indcmnification providod by
Soctgtm 12.1 shallb:ill2
. ditiollto anyothorrights towhicllthoscindemnitied may booTlt
itlod
underatly agfeemenq Voteofdhe M emlxm,asam atte oflaw orequity orotllorwise, 1)0t11l
t%to
acticm inthcIndemnitet'scajmcityaGaM mber,a.
:anAtlliatoorasunoftkrvdire tor,:mpleycc,
agentorpriacipalofaMsmlxrand1t$loa:yilctiouinanoO rcapadty.andshallcontinu;a:toan

lndemnitc who ltascease.

d to serveitlstlcllcapadtyand &lu.t11irmre to thetm efitofthe heh .
succ= sors.assignsand adm inistratorworthe Illdemnitee.

12.4. Errbr;andOmlssion,ltqllranc.
e.Tholalf maypurtu
laseimd= lnte inturancev
atth: Llf ':expemse,on behalfoftlm M omborsand stlchotherPergoaaastlle M pmlmo &hAll
dotenniae,againstanyliabilitythatmaylx asserte,dagaim t,oraRyum nscthatmnybeincurmdby.
suchPeaonincoanrction withtheIICtiWtiOSofthe1JE nd/ortk M cink rs'actsoromijsionsas
tbeM mmlx.
z4ofthoIJr mgrdlr,jsofwhdherth:LLC wuldhavetlw m wortoindemnifysuclt
Potwo:lagairtstsuchliabilityua&r(lm prnvisiolzsofthis
mont

J -j

'.
ew .- wtse-xva- k
wz-w.qk- eww/kz-x .

uuwtltp:tyvukxAplW e#lrlfxgfgAdfW mflzlgQ'redment-35

'

e'rreppid :036
m lm )t

Case
Document
Page
of 7110
3p.
I. 3:06-cv-00056-PMP-VPC
pkt ?:/kk
Jsls ?. Fr
yk,Lsq. 644-12 Filed 05/28/08 80.
718152F.
?/bS
U
'

.> '
.

Njm cl.ji13
AM ENDSIENTS
ficativnQrthch.areem ftnt.Exceptforthcauthoritygrantedte
1
3.
1
.
&
m endm entorM odi
thc M anagcrheretlrlderto artw cd EX IIIBIT A ttlthi.
sAgreemeotfrom timr to tgm e withoutthc
nx essity ofaformalamendmentto thisAgtecmcnt,tl
)ctermsa:1dgrovisionsofthisAgroemoutmay
notboadopted,altetodaameaded,orrepcalc,
dacdanew om ratingagreementadopted witltoutth
.

.. .

approvalbyah/
faorityittIntcrestofthcMcmbers.
13.
2. AmtndmentorM oditicataorArticlo.efOrganization.Excoptfortheauthority
r anted to the M aflagcr hereuqder to afrlcad or cofrect thc Articlel fgf Orgmlization, and
notwithstanding any tlther provision to tl)c contn cy in ttto Articles of O rgmtization or this
Ar ccmentain uo eventshallthcAlticle,
s f,fOrganization be amendcd withoutthe appitwalby a

MajorityialnfcrostogtheM'
efubers.
ARTICLE 14
,B'A 1,VFJR
. O F NOTICE
N 0 TICES'
.

14.1. MethodofNoticm Anyuoticoorcolnmunicauontcquire.dofrmtittedtebogivcn

lltrouadcrghallboinwttmgandnuyl'
voither(i)mrsoaally(Ielivef'
odvwluchshallbcdcezned
receiye,
datthotim'eofactualreccigtthereof;ortii)sentbyregistetvtlorcortifiedmnii,withpom go
andchargosplvpaid,whichshalllx deemeddclivcaxiseventy-two(72)hoursaftcrdepositintim
UniteedStatosmail;ortiii)drlivrr/,dbyfaccifnile(rdnsmissitm,wlliclzahalltxh
receive,don
'

tlm dato and at tho timc of oloctronic ctmtm natiou of such tranumiqsion,provided aa orislnal
mechanicalsignedcopyofsuchnoticoorothcrcommunicatiouisalsoirnmediattlyX positeditl'
le

UnitcdSutesmailwjfllfirst-claspostageandcharge,sprrpaid;ot(iv)dlivoredbymrsgrnjez'
,

FtdEx orothortrackablcouticrservicc,which shallbedecm eddctivcrcdonthetlatoaad t thcttme

as tlake,d and confiunod by such coutieruorvice;and ia oach caseuaddrossod ordelivemxlttltho
partytop'ham thasameisdire'ctcdatsuchpafty;add'
rcs.
sand/orfacsirn'
lleanmbcre.tforthbelow.
oratsuohotlora
'ddlvssand/orfa ituilenumberasthatpadymayspecifybywrittonnoticorrivtnto
thcotherpartiosin Rccordanctwiththisparan ph:
lftothe LLC:

'

c'rmppidTrchnologiea,LIT
Attn:W arre,
nTrpp,11 M anagzmentCommittea C '' n
590Lakeshoa Boulcvard
tfwlilteVillagc,Nevlfh 89451
M ailitlzAddreass:
P.O.Box4964
InclillcVillq e,jNevada89450

'Pacsiznile:(775)831.439j

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tSk. 644-12 Filed 05/28/08 F0'fll
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Case PLMD
3:06-cv-00056-PMP-VPC
Document
Page 53Pof
110
J'h.It.
I

W ittyaCqtlrtesyCopyto:

'
R ye& ltsielu LLP

Atln: DouzlasJ.Fryc.Ilsq.
24955 PacificCoastHighway,Sute A20l

M alibu,Califom ia90265-* 47
Pacsimilc;(310)456-0308
Ifttlthe M em bers:
-

nro thc address of cach hfnlboras 8ot

ftlfthouEVITIPIT /tattaclledhemtoatld
rimdc a part of this grecmenttwhich
exhibitm ity be amcnded from timc to
tim c asapgropriate.

W herccoanesycopieaarc provitled for,the sorvic.cofany Kuch ourtesy copy silallnotcorustitutc

noticctothepaztyhcrcundr.IfthcUllitc,
dStatesPostalServiccmturnsto tbel.,
l.
f orthc mgiutore,
tl
agem tany Imticca, undolivorable.allfuture ntlticeest/ thatM clnbcrshallbo derm cd duly given if

kepta'
vailabl:forthatMemberat01cLlf 'sprincipalplaccofbusinossforone(1)yeltr.
14.2. W alverofNoticm Notwithstandingthforegoing'
,wlzea,purgu.
anttotho provisions
ofthc NRS,dlc Articles ofOrgnniz>tion orthisAgroem ent,notice i,
s reqtlitrd to bc giveg to a
M em bororto thcM anagerofdlo l.
fr,awaivcrin writing signedby tllc Pel'
son orPet:f
arlsentitled
to tlm notice,whetberbd ofc oraftertho time statcd init,isequivalcntto the givillgofnoticc.

'

i. #)
. .

ARTICLE 15

M LSCELLANEOUSPROVISIONS
.

15.1. Couhtto' arts.TilisAgrecmeatmaylx exx utoditlsevcralcountetparts,inoluding

any (m ntcrpattsia atum paga oxecutr,d by a n:w Mrmbreror Substif'ea M orbor aftr tbo
exccutionhrreof,anda1lcountmyaitssoexefutr,dshallcdnstituteotkoAgmeomont.bindingogaltof
thopartie:heroto,notwithstandlngtllatalloftl:opartiosaronotsignatorytotheoriginalorthesame
couattp art.
'ttr?dnr
15.2. SurvivalQfltiellts.'rhigAgrezmentshalltr binditg utxm.and.astoponnl
arzxpzd sucm uors,transfemzu andassipus.inum totheteatfitoftheM omler&mldtho.
Tf?and
tlzirmspectiv:heizs,lq ateos,logalmprcsenlzliyras,su ressoa lransfe> s'
anda'ssigs,ina1lr,agrzs
whqtlmrby dzt lawsofdescentand Jittibution,mcrgcq revlse merger,consolitktiow sale of
llssets,othcr&alo,operationoflAw orothcnvise.
.

15.3. 8everability.Inthotvontanysectie ,sabaectioltoranysectmwewitlnanyscction

orsubsectionhimun&risdcclaredbyacoullofcomytcntjurlsdictiontoI)evoidcrm ordbrceable,
sucllRctiou,sqbsc tiontltscntoncmsluallbodomd xycrcedfrom themm ittlorofthisAgroomeat
U Jthobxlnnceortlli:Agroomcnt#hallrrrnninin/1111fomeandffoct
N

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Document
of 110
JlCase
q.I 3:06-cv-00056-PMP-VPC
dpkt /:?1
LIICS J. Ff
i. ES9. 644-12 Filed 05/28/08 8Page
.'19l54 ?.
28/bS
.

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15.4. Censtructitm . -l'l1t)language in a1lpartst)ftllix Agzrcmentshallbc ia allcascs

constnlcd simplyaccording to itsfairmealling and notstdctlyfororagainstany ofthc M cmbers.
'

l5.5. Sectlou Hcadhlfts. The (

Japtioftsofthe Articles,Sections orsubsectionsin tilis
Agrecmeatare forconvcmience only and in no waydefine,,lim jt xtemd ortlescribe thcscoge or
intentofany oftllepm visionshcreofvshallnott)edeemcd pad ofthisAgrcomcntand shallnotbe
used in constfuingorinterpretingthis Agrcemen.

15.6. G verninc Lqw.ThisAgrcem cnt&nd any amendmoatsorcxhibitsbcreto,artd the

rightsandobligationsoflhopartieshorctmder.isrxeecutedullderandincoaforlnitywithtllzIawkof
tho State(IfN EVAD A tclating to lim itml-liabilitycompanicsand isto bo congtraed,erlfurrzd and
govem ed iu accordancc thcrewith withoulgiving ttlfectto anyconflif;toflaw prevision. ' .

15.7. Additionalbtuuments.EachMemtxx,upontherequestofanothcrMember.aprm
to peerfonn a1lfurther acB aRd exccutc,acknowleedge aftd dclivcraIIdocum cnts whieh m ay bc
remsoaubly nccessary,apjxopriato ordcsirable to c'
arry outtho grovisioas()ftllis Agreemenl,

including butnotIimitcd to acknowledging befbr;a notary public any signatum hcictoforc or

hem afterm adcby aM ember.

15.8. Prooounsand Plurals.W ilonevertllccontcxtmayrequire.anyprtmoun qsedilltkis

Agretm fm tshallincludetlzccorrcspondingm asculinc,feminine andsouteribnns,and thosingular
ferm orlouns,prtmoun:and verbG shalliaclude theplural4nd W ceveraa.
15.9. Tim eeftlleEssencewFwxccptasotilclwiscprovidedherein,t'tneisofthrssenccin
'

connxtionwithcachandcve!'
yproviionofthisAgreement.
15.10.FurtherActlgqs.Eachoftlw M emborsagreestoo'xccute,acknowledgeanddelive,
r
suchadditionaldtxummtts,andtstkesuchfluthoractions,agmayreasonablyberm uiredfrom time
totimetof)>rryouteachofthcptovisions.andthointent,ofthisAgrromoukimdeveryagtc mcntor
docum ontrd hting helrto,orcntorcd into in ooanedicm hrwitll.

AGRB

15.11.ARBITRATION OFDISPUY .ANY MEMBER

VAY REQUX
R M TIONOPG DISM Y SW OO D OR W X O M ION W R N
OR ANY KEIATD AGPKRM FA P.EUCH M BM BF.R M AY

'
lE AND

REQuK E ARBITM TION BY GIW NO NOTICY D IIE OV IFX .

PARTIPS SPPX IFTINCI
THRM ATTERTOBEARBVIRATV .P IM AEACHONISAIXF,ADYININDW GONO
MATIERCONCERNINGWHICHTIIENOTICEI
,TIIENO'O SNATJ.NOTBB

EFFBCVIVEIJNLESSUIVENBYTIA D ' AW D ERRINAKDGIVENBZFORETIV

EXPIRATION 0FTWENTY (20)DAYSAFTERSBRVICEOFPROCKSSON W W PRRO N
OIVW G erlm NX ICE. EXCW

PROVISEONSOND D
.

M PROVD ED TO T1m CUNTRARY m TBESE

MON,N G Y TfONSM V BCm X A

WFfH

AND SIJBJF,CT TO APPLICABLE RUIX S AND PROCEDURFS OF TIIE

1(2u

ARBITRATION ASSOCIATION (OR ANY SUCCESSOR

(M N

ARBITRATION ASSOCIATION IS NOT erle

).T THII

IN EXLSTENCE AND THBRE B NO

SUCCG SOR,ORT D RANYREASONTHEAM-G ICAM

'ARBITM YIONASSOCIAIION
FAE.S OR REFUSFZ TO AW ,751E M BITRATION SHAIJ.BE m CONFO

W FIXT

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N
,.., )

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Case 3:06-cv-00056-PMP-VPC Document 644-12 Filed 05/28/08 Page 55 of 110

Jh.1. ptb ?:3Fk

'

'

Elis J. hryi, L.

C''/1SI F. l2/bS

AhlllNUBJFW TO THE PROVISIOM OF APPLICM O NEVADA STATU'IXS (IP ANr

RELATING TO ARBX RATION AT '1TE TlM E OF TI4E NOTICE. TI'lE ARBITRATORS
SHALL BE Botm D BY THIS AGP-EEMENT AND Al.L RFJ-ATED AGREEMENTS.
PLEADINGS IN ANY ACHON PENDPIG ON THE SAM E M ATIYR SHAI.1.
, IB

ARBITRATION IS REQIZRED AS AFORFB AD ,BE DREM'RD AMENDED TO LIM IT TifB

ISSUES TO THOSE CONTLM PLATF.D B Y THE RIJLF,S PRESCRIBED ABO VE.EACH
M BMBER SHAIJ,PAY T11E COSTS OF ARBITRATION,INCLUDING ARBITRXTOR'S

17W ,AS AWARDED BY TIIE AIkBI'PPUAR'ORISI.TJTE NIM ER AND SELECFION OF

ARBITRATORISISHAIJ.BEIN ACCORDANCEWITIITHERULFSPRESCRIBP.D ABOVE,
EXCEN N I'IEACHARBM ATORSBV CO SO
EENEITIX ALAXD FAMIL.IAR
W ITHTIIE PRINCP AL SIJBJECFM AW BR OPTHIJISSLK STO BE ARBITRATED,SUCH
AS.BY W AYOFM
V ONLY,W O OIY YO SORI'WM EDER O PO
,UR
SUCH OTIIER SUEJECT M ATIYR AS M AY BE AT ISSW (ii)TIV TFX PIM ONY OF
.

.-

..

WITNESSFaSSIIM J-BEGIYF.N UNDEROA'IH,AND (i)IW OSITIONSAND OTHER

DISCOVERY M AY BE ORDERBD BYH IE AILBITRATORIS).
THEPROVISIONSOFTHINSPU ION Sl1AI.1.1N NO W AY LIM ITTX RIGHT
O PTHB LLC OR ANY M EM BER T0 OBTAIN PROVISIONAL OR ANCH-LARY R'
G.M 9'
.DlF.S
FRO M A CO URT O F COM PPTENT JIJRISD IG ION BEPO RU lrl'
fRrOR D URING THE

PENDENCYOPANYARBVIXATIONPROCV DING.THBEW CISEOFSUCHREMEDY

SIfA I.I.N0T W AW E TIIE IUGHT OP Tlv ANY OF TI'
IE LLC OR AN Y M EM BBR TO
ARBITRATH.

'

NOTICE:BY EXECUTING THIS AORFRMENT,YOU ARE AGREH NG TO

'

H AV E Am r DB POTE ARISING Otrr OF TIYE M M V ERS INCLtJDED m YIIB

'

AAR3ITRATJON OF DIF W ES''PROW SiON DECH)ED BY Ni!tl'fo.tvARM XATION

AND YOU AREGIVINO UPANY RIGH'IY YOU M IGIW POSSFISTO IIAVETHEDLSPUIE

LITIGATED IN A COIJRT OR JURYTRIM ..BY INITIALING DITI'

IESPACEBELOW YOU

Y GIVINGW YOW O ICA W GO D DISO G YD M PG ,N SSSUG

WGHFS 4R: SPECIFICALLY INCLUDED IN TIV ARBITRATION OF DJSPIN '
PROVISION.I YOU REFUSETO SIJBMITTO AItKTItA'fION AIN'BRAOREEW GD TM

PROVBION YOUMAYBECOO EfIrdn'ro ARBtIRAW UXDbIITIV AW H9RG OF

TIIB APPIJCABLE STATE STATLFIR YOUR AGREFM ENT TO TI'IIS ARBITRAW ON
'ROYB ION IS VOLIN ARY.NO'I31m G CONTAINBD HO
SHM ).PEvBNT ANY

MBMBF.R FRok SEEKING m lm'u lx NEMEI3IF.SFROM A COURTOFCOMPE'IENT

TO

DIG ION.

'

15.12.%
. AIVER OFJURY TIUAL W ITH RESPEG D ANY DISPW E ARISING
UNDF.RORINO NNEC7XONWITHTM AGREEMO ORANYQRI.ATEDACA BFM O

AS TO WICCIIN MEMBER INVOKKSTflB WGHT TO ARBITRATION lmmEll

PROVIDBDSOR AS TO W IIICI.
I LEGAL AW D N NEG flsm lnq 0C0tlRS.EAG I

M EMBERIO EBYHX VX ABLYWAIVKSG MGO ITMAYIIAVED DEMANDA

JURYTRW L.THISW M VER ISKNOWINGLY,INY IONALLY,ANDVOLUNTAQW,Y
O EBYTC G
> D EAG MFm G AY OG
D N TNONEOFN
OTb'ER M'BNI:ERSXOR ANY PBRSON ACIT/OON BEHAIPOFTHBOW PARrlES
M SO

EM YU RX

AU ON OFFACPD W DUCEN

W AM

OFe
fRIAI.BY

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Case 3:06-cv-00056-PMP-VPC Document 644-12 Filed 05/28/08 Page 56 of 110

J21o1S. 2105 7:28?k

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...

JURY 0PJIN ANY W AY TO M ODIFY OR NULLIFY ITS EFFECT. THB M EM BERS EACR

FURTIIF,R ACKNOW f.RDGE THAT IT HAS BEEN PUEPRESENTED (OR HAS HAD erlm
OPPORTUNW YTO BE REPRIBENTED)INTHESIGNING OFTIIIS AOREEX NTAND IN
TI'IB M AFJN G 0F TIUS W AW ER BY IN DEPENDEINPPLEG AL COIJN SEL.SEIeBCTBD OF
1Ts OW N FRFA W H,I,,AND THAT IT HAS IIAD Tiv OPPORTONITY TO D ISC USS THIS
W AIVFX W ITHCOUNSEL.'W IEM EMJ3ERSEXCIIN RTM RACD OW IJRDGESTHATIT

HM READ AND UNDERSTANDS TfIilM EANING AND RAMIFICATIONS OF TtIIS

W AIVER PRO W SION.
15.l3. Third PartYBeneficiacles.'
l41eraroutltllird partylwlwficiaricsofthisApm luemt
.

except(i)Affiliato andPrincipalsofthcMemlxrsalld(ii)anyothcrPersonsasmaylx eatitlcdto

thr bcnetitsofArticlc 12.1hefeof.
.

15.14.NoPartitiam TheMcmbcrsar,
recthztthProm dythattlloI.1,C mayowntlrhav'
e
an intorezstia isnotsuitabloforpartitioa,EachottlleM em l
xxshea by irrevocably waivosanyand
aI!fightsthatitmayhavotomaiutainanya'
c(ionforgaditionufanyPropertytlleII,
C m ayatany
tim e havcan i
nterestin,
15.15. Entirc Azreem ent- Tt'
tis A reem tut,toge-ther witlla11cxhlbits hcm to. and the
A rticlea o
'f Organizaticm constitoto tho cntiro arr= m cntof tbc M cmbcu AW.
ttltqspcstto,aad
sum rsedes:,11priorwrittenand ocalagrccmeats,undcrstandingsand ncgotiationswithresllectto,tho

subjcctmatterhereof.
'

15.16. W aiver. No failua by any party to insistupon tlle strictperfljrm anc,e oraay
covealmt,duty.agceementorcoadition pfthisAgrccment'orto cxerdsc any rigbtorrcmody

consoquentuponabmachthoreofshallconstitutzawaivort)fan/suchbreachoranyothorcovcnant
duty,agreemoutorcon4ition.

15.17.Attoraevs'Fees.ln tizoovcntofanylitigation,arbitration orotherdisputearisiagas

-

araqultoforbyr:asonofthisAjremmont,tllopmvailingpalyinany:uchlitigatitin,afbitrationor

otherdisputcshalllx cntitledto,lnadditiontoanyotherda
'rnnge,aas:osseil,itsrcaslmablcattornep ' '
f= ,andalltllercostggndoxponsesincllnv-dinconnrctionwithsettlingormkolvhzgguchdkpute.

elloattornoys'fomswllichtl)epmvailingpartyisontitledtozrceovorsllalle
zzrlue f= rorjroseouting
ordofonding apy apm aland sllallbr warded forany snpplomontal

' gstmtllttl gnal

jtligmcntkxatisfir.din111.Inadditiontotlx fomgoingawatdofattomeyg'fe.
extotlzpmvailiqg
party,thepzrvailingpartyinanyla suitorarbitrationprtmadlu'oontliggAgromp tshalllx erdtlcd

toitstrasonableattorneys'fezosincurm.dinanypostjudgmeatpr 'gstocollu oronfortxftho

judgmont.'
lxisattomeys'fccsprovisioniaseparatraadscvcralandshallguaivothemcrgeroftlzis
Ar.rezmeatiIZt.
Oanyjudgment.
15.18.Autharitv.EachsipotorytotltisAgmementtlprexsentxandwarlxntsth+ lm or/o
N sstssr,sa1ln-r-uarycapacity and authorityt0 actfot sign.and bind tllo lxxpectivo octity (m
whox bobalfhom'shrissigning.

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Case
3:06-cv-00056-PMP-VPC
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Page
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l0. 2
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35135 J. Ff
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(fll'
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itjftltl,
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ThlsAgreem entcontinued andsignedon tllefollowlokpages.)

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Case
Page
58 of
Ji
2.lS.3:06-cv-00056-PMP-VPC
2006 7:182k
lslas J.Document
Ffe, ES9.644-12 Filed 05/28/08 F0'
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F'110
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SIGNATIJRES OF'IM E PARTIES

IN

ESS WIIEREOISthepaftieshcmatohavecxecutr,danddelivcmd,otcausr,dtobc

cxecuted and dclivcred by a duly authorizcd replrsntative.this AM END ED AN D QRRTA'

I'ED
OPERATINU AGREEM IC
-NT ofeTfeppid Technologics,I-I.t'!asofthe day and yeltrftrstabove
wlitten aud ccrtify thatthis Amendod and ReatatedOr rating Agreelnemtis herebyapprove,d and
dulyadoptcdbytheundcrsipncdclassA M em bctlcntitled ttlVfltecffectivoasofNOVEM BER 1,
2001.

Fud her,tlle undcrsigned,as M em bers oftlle LLC,ackntlwledge they ltav re-ad aqtl

uudtrxtand the fortroizlg Amendtxland Restated Opcrating Agreementr0r e'rreppid

Technologiu,LLG e
lnludin: specifically,butllatIl
'mlted to,Sections 15.11 and 15.12,
GArbitrationofDlsputesyf'andEdW aivf:rofJuryTriall''rewspcctively,and,asevidenct'dbytlzeir
signaturesbclow,theundersigttt'd hereby acknowledgtand agreeto theprevidloascontainefl.
herein.
e'rreppid 'l'eclyllplogieesjLLC
A Nevada Lim ited-Llablllty Com pany
By Itg Voting ClagsA M embccs

'

CLASS A M EM BEILS:

FRTENDLY CM t'rM PARTNBRS,L.P.

A Califom iaLilnite,d Partaership
B y: Fri IyCapital, c-,A N cvadaCoporation
ja
(satpu er

f '
'
.)
.

By:
TREPP,1ts Presidcnt

TIlE 172BM 0NT '

I'RU T.DA'IED M AY l6,1994
A N evada evoca

nzst

y;

l
M ONK OM ERY F
A Cal'cm iaRevoca

'

I),11 Tnzstee
Y TRUST
Trust
.

Bs
1)

M E Y #11 CO-TIMSN

gy:
' RENDA K.

.
COTtMSR

;
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)
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l. .

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e'rteppid 0043

Case 3:06-cv-00056-PMP-VPC
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Page
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110
g6 7:7q8k . .!I8 J.Ff
8'Esq. 644-12 Filed 05/28/08 F''
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Jr.l8. 22

.-

ACCEPTANCE O F APPOINTM FdNT

OFTHP;M ANAGER.COMM IW EE M EM BERS
..C.11N0 tzO GY O FFICER
A NI)Cm F,FTE

'

Pach ofthe uudctzigned hercby (i)aceoptshisrcespeztive apgoitltrrltmtas a Manager,

Com mitteee M ombcrorom ccrofthc LI.
E forthc tcrm statod in thisOporating Agreementoras

otherwisesetbytheM anagcmeutCouuuittec'
,(i)acknowr
lcdgeshehmqmad arld tzndcrstandstilo

forcgoingOmratilzgAgrezzmcntof(hcLLC, particulatly thc restrictiousorkiaira'x'fitlAz

kclc6

thcmof,andagtm stobebeundbythotermsvprovisiogs,covonantsafld restzictionssd forthinsAid

OporltingAgrezement,mqamendred from Jim to time;and(iii)hcrcbyagrreestoundeltk thc

Petf()nnanf;cofhisduties,resgonsibilitiosandobligatitnsofeachnupcctivcofficeillaccordance
with termsofthisOpczatingAgre-em ont,thcArticlrsofOrganization andthe applicabloprpvisions
ofN cvadalaw,asany and allmaybe amended fro time to time

REN ' .PP

to hisappointm ontas
d Conunittee M embtr .

DO

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to hisappointleatas
M agt nd C on4m ittoc M em ber
.

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.

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Case 3:06-cv-00056-PMP-VPC Document 644-12 Filed 05/28/08 Page 60 of 110

c'n.l. tLLL 1:78?: 1- 'u!tz: J. kI', Eq.

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G a ppld Technalglcs,LLC

AM X NDED AND RESTATED OPERATING AGREEM EG

INB T-EFFEC H VE EXECW ION PAGE
By his,herorits signaturc below , tlw undclsigned hereby coascnts to and agr= s to be

bound t)y the termsard prcvisiot

u ofthatcertairtAmoaded and Restated Operatklg Xgreement
dated gffectivcasorNovomber1,2001bdwtxn c'l'rcppidTeechnologiesvL1.f ,a Nevada lim itcd

liability company (the ''tlompanyz),and ita Mcmbl'

s(asmnended from time to time, the
S'QpcratinaAcrcomcqt'),acurrentcopyofwhit:hhmsbccllreccivedbytlw ulldersigncd ftom tho

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'l'he tmdorsignod hcreby aoknowlcdgcsihatthe undersigned hasreccivcd and feviowed
the Opr ting Agreemo t. Tim undcrsigneed horcby furtherAckuowlcdges and agrces thatthc
tmdcrsigned shall havo allof tbe rlgltts, preftrenccs imd obligations under the Opem ting
Agrccmontasa*1ClassA M ember''e4classB Member,'orGclassC Membcr''or,genmally asa
stM gmber,''as dcrlne.zl aad used ttterein. n e undersige 's exv wtion of this Amettded aad
Reestated Opeating AgrementPost-fmbctive Execution Pagt oonstitutcs tlte uudersigned's
exeulioa atzd acceptp c of tlte Operating Agrcemepq and tllis Amende and Rrstascd
Operwting AgreementPost-Effcctive Exrcution Page :1:411constitutc an exeouted oountcm ad to
tho Operating Agreemonq including any futurc amcndmonts, rcstatements or m odifications
thorcofwlch maybedulyapprovd andadopted inaccotdancetherewitlt.
IN W ITNESS W H EILEOF, thi: Am ende.d and Rtstatod Oporating Agreem cnt PostBfreotiveExection Pagchasbee'nexecutcdbytlzcundersigud asof D ecetubtr1 . 2001.

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AMENDED AND RESTATED OPERATING AGREEM ENT
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By his,herorit.
s siplaqlre below,the undersigned bercby onsents to and agreesto bc

bourtdbythetermsandprovisionsorthateltaicAmendedmldRestutedW eratingAgrxment

dated cffcctiveasofNovrmber1,2001botw'
eca c'freppidTcchnologie's,LLC.aNfvadalimited

liability company (tl!e 'Company''l.alld its Memlxu (as amendod from timo to timtjtl:t
'sopcratiru Avoement'3,acurrentcopyQfwhiohhmsbeenrecoivcdbythcundersigne,dfrom the
Com pany.

'flm undersigrtod hercby acknowlodgosthatthc undorsigned ltasr eivo'd and rcviewod

tho Op<ating Agreement 'l1e undessigled hcreby furtho'rackaowld gos and agrcesthatQm

undersigtted ihdlhave Altofthe Iights,prferenceu and Qbligations undorthe W eratilzg

Am emtntasa'f lassA Mombcr,''lf lassB Mcmbm ''or'<CI= C M embep'or,gm tmllyasa

'M cmbcrj''as defuled = 4 uscd thcrein. 'l'ht undcrsignd 's exgl#cn ofthis AmV ed and
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oxecution and acceptance of th4 q m ting Ag- mt, and this M m ded 4114 Redatod
Operating AgreemontPest-EffectiveEx utiottPagcshallconstituean exctltr,d countcpartto

the Oprrating Agrxmrnt including any futurc amendmntsv rem temonts or modificatiitu
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AM ENDED AND RESTATEP OPERATING AGRAJEM ENT
POST-EFFEC H VE EXECUTION PAGE

By his,lwroritssignaturcildow,tttundersigfled horebycolzsoatqto and agree,

sto be
bound by lltetecnsm44provisionsoftlmtcertairtAmonded and Restated Opemting Agrerznerlt
datod eff tiveasofNbvcmt)er1,7001botwr.
en G rrppidTcclmologics,LLC,a Nekadalimite

liability company (the 'cf)mnany*'l,and itsMcmbcrs(a$amended frorrttime to time,thc

'ToperatinjtAz= nlrnt''l,acunrntcopyofwhichhasb*nrGmivedby theundersigned from the
Company.

The uadotsigned hcrcby acknowledgesthatthv uad= iglled hasrocdvd and rvviewed

the Operatiug Agroemcnt. The mldorsignod horoby furfllcracknowledg- aqd agrees tllattllc
undorsigned shall have alI of tlm rights, prcfercnqes and obligatiolu undor tlm Opcating

An ementasa''CIm A Member@''<tCIw B M embcl orX lassC M ember''or# gm eullya:a

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s tlm tmdemigneed's

exocution and aoceptance of thc W erating Agreemenq and tls Amcnded and Rctatd
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tlle Operating Ap oeznent, inclutling aay future am oadments, re-statem ent: or modi
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IN W ITNESS W HEREOF,tids Amended and Re4tatd Oporatiag AgtoemofttPostEfrcctivcExecqtioaPagohasbecaexccutcd by theuadetsigned aof I1Fc 1 7p#f .2m 1.

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THE IJNDERS'IGNED hortbyoertilie.

sandstattatlhat:(i)hcorsl
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ortraluferoeCl&saB M emberorlNrlfltEpm TECIINO LOG IES,LLC,a Ncvada limited liability

mpauytthe''Comnanv'l'
,(ii)hcorghtbasveadtheAmendedandRestate OporatingAgrcementof
the Companydated and adoptr,d aseflanuary 1,1999 (tlw ttllltrenid Opcfating Ayrrownonf),
spxt
x callv i- ludine Article9.tiRestrictionsonTmnsfcrofMembership Inttrom :Admission &nd
Subsb'ttdion ofNew M ernbersr and Sections16.1land 16.12.XfArbitration ofDisputr,sx''and 'tW a'
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MembcrtotlmCxvnp'
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um n exccutingaltd doliveliag thiacountorpartsgnaturc pagcto theM anagemontComm itteeofthe
Com pany,llc orglle willlwoomo a now orgubstitute,d Class B M ombor,astiz case may be.oftho

Company;and(iv)the exocution ofthix Clau B MombrrSigtuture Page:h'tllcomstituto tlle

und= igntxrsrx ution aad delivety ofthTlntmpid Operatzg Areementaeaparty thereto aqdshall
con&tituto hi:acceptapco alld qgrrmmcntto beboundby tbctormsaudobnditionstberenf.

IN'W ITNKRSW HEREOF,thoundorsigncd,individualtyorby anattthodw dropres= tative,

11M exexmted arldddivercdthisCLASS B M EM BER SIGN A'I'IJRE PAGE a:oftho (lay aadyearget
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Case 3:06-cv-00056-PMP-VPC Document 644-12 Filed 05/28/08 Page 64 of 110

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TIIE UNDERSIGNED hcmbyccrtitiesaudslatcstitat:(i)hoorshoisanoriginalsubscribzg

k)ttrattsfereCla'
.
u B McmberofINTREPID TECRNOLOGIES,LLQ aNevadalimited liability

company((1w ''Companf);(ii)hcofshehAsKadtheAmcndedandRstatcdOptxathtgAgrcemeatof
the Company date.d and adopted asofJanuafy 1,I999 (tim *tlntreoid Operah'neAereemtntel,
soecingallv m
' oludinz Ariclo 9.Gltrstrictionson TransfcrofM emblfhin IntGtm ts'
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Company;glld (iy) the execution of tltis Class B MGmbcr Signattlre Pago gllalloonstitttte thm
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IN WITNM SW IIEIG OF,theuadorsignedxindividuallyorkyaaautllorizcirepmsoRtativc.

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Case 3:06-cv-00056-PMP-VPC Document 644-12 Filed 05/28/08 Page 65 of 110

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AM ENDED AND RESTATED OPERATING AGREEM ENT
PO ST-EFFECTIVE EXECU IRON PAG E
I)y his,heror its signamrc belew , theundcrsigned heteby couserktsto and agreesto be
bound by thg terms and provisionsofthatccrtain Ameudcd mld keesuted Opcmting Agrc m crit
dated cffectiveas ofNovem ber1, 2 1bdw eea G reppid Technologios,LIE ,aNevadalimited
-

liability company tthc 'tc..

ompany''l,and its Membef'
s (asamended from time (o tlmev tlle
ttfhv atirm Acroemont''),acurrcntcopyofwhihhlksbecnrceivedbythoundersigncdfrom tho
Company.

Tllc lmdersignod horeby acktlowledgostbattheurdersigne.d has rtccivl and reviewe,

d
tllc Operating Av ecmcnt. Thi uttdersigned bereby ftlrtheracu owledgesand agreeeesthattlle
un
A defsjgnod shilhave a1! of flm rights,preferqncr,s and obligatlons ulldetth: W orating
groemcntasaGCIa A M ember,''GClassB M embor,''or'C I. C M omber''or#goncmllyasa
xM ernber,''as doe ed and use,
d theroin. Tho undersignd 's exution of thisAmoqded and
Restated Oporating AgrcmnentPest-Effectiv: Execuda Page coM titutos the undffslgtled's

execution and aocmtanco of thc W crating Agroemonk and tllis Amcnded alld Ros'tatod

Operating A gream entPost-Bffedive ExeoutiorlPago shallconstitu? aa exeoutd countorpa!tto

ttle (Jperating Apeemonk including any futux amendments, restatem ents or modl cations

th= ofwhichmaybodulyapproved and adoptcd iaaccord'

ancetherewith.

i
,

D1 W ITNFM W II RBOF,this Amended and Rqstate;d W erating AgreomentPostEffectivrExwmtionPagohaabecnexeoutedbytheuadclslgned &sofb%m .5e'

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SIG NATUR E BLO CK FO R

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Case 3:06-cv-00056-PMP-VPC Document 644-12 Filed 05/28/08 Page 66 of 110

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AM ENBED AND RESTATED O PERATING AGREEM ENT
PO ST-EFG CTIVE EXECUTION PAGE

By his,iieroritsignattlreLdow,thcundersigned horeby consoutsto and agrcesto bo

beund by thcto'
fmsand grovisionsorthatcedainAmorlded and Rgstated Opcratina Apeemcnt
dated offediveasofNtlvember1,2001bctwu ntTrmpidTechnnlogie'
s,LLC.aNevadalimited

liability comgany (tlleucompany''

l,and its Members (as amendod from timc to time,tilo
:'Opokfatin:Afaeement'),aunm tcopyofwhichhasbccnreeivedbyth:uftdersigncdfrom tlw
Com pany.
The undersigned h:toby aou ow ledge,s lhatthg unddsignod has received and revieWH

thc Oporating Agreemnt The undersigned hefd)y furthrracknowlodgcs ahd &greestllattlle

tmdrrsignod shall have a1lpf the Hghtg,prerefences and oblisations tmder tlle Oplmting
Agreementasa*dclassA M cmbcx''GCIASSB M omlm ''ortf lassC Momber''ot,gdmrallyasa
.*M ember.''ag dofncd alzd used thorein. n c undcrsignd's exx ution of tllisAmemdod and
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oxution and acccptance of th Oporating Agremnent, and tbis Amonded and Rotatod

Operating A grem nontPost-Etlh tive Exx ation Pagoshallcomstitute An exocute,d emunterpartto

the Operating Ageeznent,including any futtlre amendments,tcstatem onts or moditkations

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IN W ITNESS W HEILEOIF, thisAmondcd and Rcs'

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BfrcctiveExx utiogPagehasbcenexecuted by tlluundersipledasnr

BEC 1 21t11 .2001.

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Page 67 of
JCase
2,.('
J.3:06-cv-00056-PMP-VPC
IBUA f:9rR '
Il!I2Z J. Document
tfe' U:R' 644-12 Filed 05/28/08 R'1'l
F'110
1@/13
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AM ENDED AND RFXSTATED OPERATING AGREEMENT

POST-EFFEG IVE FXECUTIO N PAGE
By his.heror jts signature bclow, tlae undersignod hrcby conscnts to and agrcc.
u to bo
bound by thetermsand pgovisioasofthatcertainAmcnded and Restatod Opcrating Agrocment
da
lite,d efgectivcasorNovombcr 1, 2Q0lbetwoca c'
l-rcppidTezclmeloseg,LLC'aNovadalimite.d

lity company ttlm '<compatyy''),arld its Mx bers (as amended from time to timo, thc
''nabi
n
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cratin.
qAm'
saeemcnt#'),acurreritcopyorwhfch1% becn rm oivodbytilc undorsignodfrom tho

Com pany.

Th: uudcrsigned hcroby acknowlodgestllattllo undersigni hasrcceived alld rcvicwr,d

tho Oporatmg
' Agroemeut. 'Dle undersi> od hcreby futo raou owlqdges and ap'
oes thatthe
urldcrsigned shall have a1l of thc rights, prorefeawes and ohligatiolzs undpr tho Oporating
Agr
Clm:sC M ember''or, goncrally a$a
4
' ementasaGCIaSJA M embcr,''X lassB M embery''or''

M omb=;''asdefined atld used tlleieim 'l'

ho ucdefsigned's txm utin ofthis Am ended and

Rutated Operating Agre- cutPost-Ejrectivo Bxccution P&gQ constitutes tllo ufldorsigned's

xecutitm and acoeptanc,o of the W citting Ap'eemm t,aud this Amo ded az!d Ree te
O
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theroofwhich maybedulyapprcwodandadoptM iaaooordancetlkwith

IN W ITNES: W IIEREOF, this Amendd M (1 lte'statd Operating Agremnent PoetE ffootivtExx udlm P:gohmqbem)cxx utedbytbvundmxigned asof 2**m
,

2001.

SIGNATURE BLOCK FOR

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Case 3:06-cv-00056-PMP-VPC Document 644-12 Filed 05/28/08 Page 68 of 110

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By his,llororits signaturc below , the uqdorsigrted itercby conscnts to and ag ees to bc

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datedeffectivcasofNovcmber1, 2001betwoene'PrqlpidTcchnoltuics.LLC,aNevadalimited
l'iability colypany tthc t'C,omriarly''lvalzd itsMembers (as amondtd from time to time, tho
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theW crating Agtocmont. Thcundovr6igaod horcby furthcracknowlodgx andagrers that the

.

undorsia od shall have a11 of tbo rigizts, prefertncos and obligations under tile Operating
Agr
dsM ecmentaqaRclaqsA M emlvq''i'ClassB M cmbeq''or'iclassC Mcmber''or, genvrally asa
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Operatiag ApocmentPogt-BfroctiveExecution Pageghatlcons'titutoan executcd countv'fpartto
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S W I'
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EffectiveExecutionPagehasbeenexx utodbytlw 'Indersigncd as()r

SIGNATORE BLOCK FOR

m DIVIDUAL htEm tk:

Signatlzro

SIGNATURE BLOCK FOR JOINT

M EMBER (lPAN%):

2001.

SIGNATURE HLOCK FOR ENTITY

M EM RER:
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Nan!e(Ihkltor'l'
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3:06-cv-00056-PMP-VPC
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Page 69F'
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AM EN DED AND RESTATED OPERATING AG REEM ENT
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By his,hororits sigaaturo below,the ugdersigntd hcreby cousent.
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boundby thetennsand provisionsofthatoertain Amendedand Re-stated Operating Agrqement

datcd cffectivcasofNovexnlyeflj2001bctween e'
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liability company ((11e <tcompanWl,and itsMcmbes tasamcndet from time to timq tho
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urtderslp!ed s1ull have aIl of tllc tights,proforences and obligations under the Op- ting
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IN W ITNESS W IIBREOF, this Amendcd and Restatod

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Case 3:06-cv-00056-PMP-VPC Document 644-12 Filed 05/28/08 Page 70 of 110

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AM ENDED AND RESTATEB O PEM TING AG REEM ENT

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Byhis,hcrofit.
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liability oompany (th <iComp4py''),an2 itsM emberstas- e,

114e.2 srom tinm to tizfle.tie
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Com pany.
Tho undcrsigacd heroby ackaowledgr-s thatthe undtrsigned has roceive'd aftd rovimvcd

tlw OlyratingAre- ont. Theundersime,dhertbyfurttle:acknowledgtsaridagrecstI:M tho

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IN W ITNESS W HEREOF! tlzis Amonde,d and Rra
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W GNA'I'URE BLOCK FOR

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Case
Document 644-12 Filed 05/28/08 Page
71 ofC'110
J2
r.18.3:06-cv-00056-PMP-VPC
2006 7:1182
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CLASS B M EMBER SIGNATURE PAGE

e'l-reppid Ttchu:logiees,LIAJ
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THE IJNDEIISIGNED herebyccrtifiosandstatesthat:(i)hcorshesszloriglnalsubscrt

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tr,dtiabitityxmpattylthe
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rcd and adopted 4solanuary l, 1999:gs amepded I)y Firs'tAmendmontonJuly 7, 2000(the
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M rcr
embership Intc
yrests:Admlssion .rld SubstitutionofNow Membors.''and Sodions 16.
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and l6.12.
Ghtl>itatilw offlls-outvu./-''mldHW.. n.-ivorofJ,
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byaMajorityinInteastoftheMembersntitlcdt()Voteconctruingtlte'
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SS W HEREOF.theundorsigne/ indlvlduallyorbyanautholizedreprescntativm

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et
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3:06-cv-00056-PMP-VPC
Document
Page
of 110
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CLASS C M EM BER SIG NATURE PAG IS

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lrgnqfereeCiassC Memberofe'
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Case 3:06-cv-00056-PMP-VPC Document 644-12 Filed 05/28/08 Page 73 of 110

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No.CV06-00114
ETREPPID TECHNO LOG IES,INC.
VS.

DENNIS KIO NTGOM ERY,ETAL.

Ex.
Ad ed:February 7,2006
RO NA
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Case 3:06-cv-00056-PMP-VPC Document 644-12 Filed 05/28/08 Page 77 of 110

k.,

No.CV06-00114

ETXEPPID TECHNOLOGIES,INC.
VS.

DENNIS M ONTGOM ERY,ETAL.

E
x.X
Adm'-itted:February ?,2006
'

RONAL A
By

ONGT N R.,CLERK
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ASSIGNM EN T
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W'TIEREAS, tlAe undelsignez, to wit: DEN NIS L M ONTGOM BRY, (hereinaer
ASSIGNOR),has madcan invention entitledauopticatEltcoding of Audio Data'' forwhich an
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application for Letters Patent of the United States was filed irl the United States Patent mzd
Trademark O fliceon October3ly2001,underSerialNo. 10/033,537 and
W HEREA S,efreppid Tecllnologies,LLC,ASSIGNEE, a corporation duly organize,
d and
existing underthe lawsofthe State ofN evadaand having itsprincipaloffice and place ofbusiness
at9410 PrototypeDrive,Suite 18,Reno,N V 8951l, desiresto acquire an interesttherein;
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NOW , TH EREFO RB, for good and valuable considerationy the receipt and sufliciency of
which are hcreby acknowledged, said ASSIGNOR doe-s hereby sell, assign and tlansfer unto
ASSIGNEE.itssuccessors,assipas and legalrepresentatives, the fulland exclusive righk title and
interG tto the said fnvention in tlle Urtite,d State.s and allforeign countries, as described in the
aforesaid application.and to the said application and to allcontinuatioro, divisionsyreissues and
substim tes ofsaid applicatioq togctherw ith the rightofpriority underthe lntem ationalConvention
forthe Protection ofIndustrialProperty. Inter-Am erican ConventiortRelating to PateatsyDcsigtts
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m to which the Urtited States of
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issue said Letters Patentto A SSIGN EE for iLs interestasA SSIGN EE itssuccerssols, assigns and
legalrepresenu tives.
AN D A SSIGNOR hereby agrees to execute any papers requested by ASSIGN EE, its
successols.assir s and legalrepresentatives,deem ed essentialto A SSIGN EE'S fullprotezction and
titlc in and to the invention hereby transferred.
ASSIG N OR furthorm ore agrees upon request of said ASSIGNEE and without furdzer

rem unem tion,to executc any and allpapc:s desired by said M SIGNEE forthe filing and granng
offoreir applicationsand theperfecting oftitle thereto in said ASSIGNEE.
NO-f'
E rn e tmdersigrled hereby authorizes Pillsbury W intluop LLP. ofthe above address,to

insertfurtheridcntitication necessaryordesirableforrecordationofthisdocument
.

Faxecuted on the datebelow indicated.

'

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D ate Siv ed

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Case 3:06-cv-00056-PMP-VPC Document 644-12 Filed 05/28/08 Page 83 of 110

1111111111111111111111
1111111111111111111 11111111111111
us 2()034:)8114641

'h-.

(1%U qrltvd Statqs

.- -

-.

..

. -.

(12)PatentA pplication Publication (l0jPub.No.:Us 2003/0081146A 1

M ontgomery

(43)Pul).Date:

(54) OPTICAL ENCODING OFAUDIO DATA

(76) luvcntor: DermisL.Montgomery,Reao.NV
(US)
CorreslyoodeacsAddrer:
PI
WI
Ll,r
1-LLSBURY
'
Iywnsiut
zNTHROP,
lvarxl
M cLean vA 221:2(Usl

M ay 1,2003

PublicationClassification
(51) Int.C1.V......................H(
14N 5/91;H04N 7/04
(52) U.
5.Cl. ... ........................345/482;348/484
(57)
ABSTIG CT
A nwtbodforrepresentzngaudiodatainaformatt
latcaabe
mergedwilhvicl
c;
odala wuere tileaudio dataincludesa
sequencc of audio information clomenls. n e mcthod

(21) Appl.No.:

1:/033537

Zcludesreplacingeach Rudi
o informatiou elemenlinlbe

(22) Filed:

Oct.31 2X 1

palctte.

sequcnce w1
th a unique eoKOpond1g colorfronza color

Rmad1 cunvnt
digitalaudio signal
element

300

302

' Ddermine

appropriatecolor

No

forarnptimdeof

ignalynddcolor

D dermkm

nr
hetbezcojorjms
be= assizned to

thisampjtude.

lo tllesub-palette
398

signalelement
306

Advarmetonext

avxdiosignal
310

currentdigttalaudio

304

Anymoredigital
e1eenrnts7

Previo>lyassigned

Yes colorassiqzetltotlw

digitalaubkosignal
Yes

elem ent

3l2

Case 3:06-cv-00056-PMP-VPC Document 644-12 Filed 05/28/08 Page 84 of 110

*

PatentA

pplicatipn Publication

M ay 1y2.003 Shtet1 of3

US 2,
068 /0081146 A 1

o
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v xx o
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Case 3:06-cv-00056-PMP-VPC Document 644-12 Filed 05/28/08 Page 85 of 110

h-

PatentApplication Publication

M ay1,2003 Sheet2 of3

IJS :003/0081146A1

RY izzcuzrent
digitalaudio signal
ctczneut

300

302

Determl
'ne
appropdate ool
or
formnplitudoof
signal,add color
to tlw sub-palctte
308

'

No

Detcrmine
wh
a
b etbercjolor
edht
os
G RRSS pl
tu sampjktuie.
3t)4

Prevbusly arh
sigutxl
Yes colorassigae le lle
currentdigitalaudio
signalClc cnt
306

M ymoredigi
tal

Advanc,efoaext

audiosignal

(ligtalaudiosignal

elcments?

Yes

3l0

elemcnt
3l2

H G.3

Case 3:06-cv-00056-PMP-VPC Document 644-12 Filed 05/28/08 Page 86 of 110

N* '

IatentA pplicatst)n Ihablication

M ay 1,2003 Sheet:
J f)f3

US 2003/(,081146A 1

Read in current

400

distalaudiocolor
signalelem ent
402

Rrtrieyo
corresponding
digitalaudio
value
404

Any m ore digital

signalelem enta?
406

Ves
Advanco to next
digitalaudio color
signalelem ent

40*

FIG .4

'

Case 3:06-cv-00056-PMP-VPC Document 644-12 Filed 05/28/08 Page 87 of 110

'

.v g

US 2003/0081l46 A l

M ay ly

OIVICAL KNCODING OFAUDIO DATA

(00l2j FlG.4 illustral

es.aprocew ferrccevcripg !be
audio frame (rom the(loloraudio fram e.

RELD OF THE INVEYI-ION

DETAILED DLS
' CRiPTION OFTllll

(
1*91) 'l'
l!epresentil
wenti
oarelate.
sloencodingdataarl
d
morepafticularlytomanipulatingaudiodalasolbati!canbo

PREFERRED IEMBODI
MENTSOFTHE
NVENM ON

eocoded alongwith videodata.

DESCRIPTION OF 'ITIE RELYTE.

D ART

((*02) Typkaily amovi

e includesasequenceofvideo
frames togelberwith a corresponding sequence of audio

g0013I Methodsardapparattl
sformauipulafingaudiodala
so(lati
tmaybeencodedanddsccded alongwithvideodata
ar:described.Ioihefoll
owmgdexriplion forpuqysesof
cxplanati
on numorousspeciflcJelailsare:
't4forthlnorder
s
lo providea
'tborough underManding oftlm presenlinven.
lhepresentinveoti
onmaylx pra'
clicedwilhavarietyofdata'
cspeciallyaudio andvideo,wilhoutli
lr
,sespccifk douils.In
olherinstance.s well-kuown optralions steps,functi
otlsand
tlcrnents are n'otshown in orderto *
avoid obscttring tlhe
fnveutfon.

1lbeevidenl,howtvortooncskilled in1beaz'
ttha.
t
framps(i.
c.>avideo trackandanaudiottack).Synchroni- lion 11w4.

z.
alion oftlltr,
e frameson playba.
ck i
s crucialforan audience's. apprecatiorloftllemovfo.However'thesesequrtjccs
art generzllyprocesscdseparztelylxcaure ofcharact
eristc
deerenccsbetwoeavideoandaudiodata.Compreasionisan
rxampleofaIvocessipgslcptilalism ffermedsopatatel
yfor
vi
tleo aad audi
o data.

(t*03) Thcnatureofvideodatarequircstbatcomptession

(1014) Variousoperationswi11l
x doscrilxd asmultiplc
discrez stpsperformed in tttru in amaanerthatismost

DVD (DigitalVidoo Disk)typicallyempl

oysa720x480

lhcseoperationsareneces
xsarilymrformodintl
zeorderthat

lx)Ixzformed separalely.Vileo Jata L% lypkally a framt

t
correspondinglo atwo-ditlmnsiet
zaldisplay.Forcxampl
r>a
arvayofpixclswl
wreeachpixolcontziasamulti-bi
lvalut'
sucb as l6-Nl'24-bitor 32-171t' thatcorresm uds to an
enumert
c color.

helpfulinundefstandfngthoprexntil
tventfon.Howrvcr,lhe
orderofder
pcriptionsNouldnottv coastrucd astoimplytbal
lhcyarcprrrepletjortvenorderdopondont.Lastly repoaled
= a'
usageofthe pbra%
ses..
inoue emlyodiment,.
ltcrnatjvs
'''an
embodiment*'or an ,alternatccmbodimcnt
doesnotncc-

(I
*IMIJ Audiodataonthe:otherhand istypicallylime- erx
saci
lyrefert
o tbcsamecmbodirnctfkalthouglzitt
'
nay.
va
r
y
i
u
g
wa
v
c
f
o
n
n
da
t
a
l
b
a
t
r
e
p
r
e
s
c
n
t
s
a
v
ol
t
a
g
e
or
c
u
r
r
e
n
t
(
0
01
5
j
FI
G.
1
t
z
i
l
l
u
s
t
r
a
t
c
s
a
r
e
p
r
c
s
e
n
t
a
l
i
v
o
a
u
d
i
o
signal.
ratherthancolor.'
11x:datacanbe16-b1tvaluesorhigherbit B
valums tbztm rrcspond to lI
m voltagc or currcntthatW II
driveaspeakcr.

eforc an audiosignalcaubedigitally encoded and traasmitted ltneeds to be traasformed into a digitalsignal'

althougbimplementationofllztprew ntinvcationw illtypi-

(1
*05) Bccattseoftbesecharacteristicdl
ffcreuces sepa- cally ocsuron audio signals thathavtprcviously been
rate encodersand decodcrs are u>d forvideo and audio

transformetlmto digitalsiguals.To traosform audio sigua!

ciata.Having two separateenccders and decodt.

:s is an

1(p
0 inlo a digtalsknal audio signal1X is typkall
y

zatioftbetkveea4beseparatcencodersanddecode:srnayno(
bcmaintained.11would tbereforc bedesirableto ttscorle
encoderand docoder forbot
h vi
doo and audi
o dat
a.The
prcsentioventionprovidesamechanisnforallowingaudio
datatobemanipulatedsotha.
ttcanbeconcurrcnl
lycncoded

ralcto produccsnapshotsoftlw valueoftlzcaudiosigqalat

cquRll
y spatxd interval
s as ts convtmtionally known.
Deilencling on ttm audio scbemobting i
m plemonted a cerlainnumbcrofsam plesmakeupafram e.Typically samples
are ei
zcodtd orprocessedusiag frames.

inecicrj
luseofresource.sandcostly.Furthor. sylychroni-

anddcctxledwitbvideodata.
SUM MARY OF THE INVEN'HON

samP1edbyaoanalogtodigjtalcxmverloralaprcdetermiue.
d

(X16) FIG. 15 'illustrates a represcatative digitally

sam plcd audio signal.Digitallysampkd audiosignal1t14ls

axquenceofdigitaivalues, alsotcrmed digitalaudios1g18a1

E(*()6) A azethodforrepreseatingaudiodatainaformal elementsptllatarespacedapartbytbesamelimeinterval.

tbztcan bo operated upon indepcndently,ormergmd with
vidcodau.'
I'
bomelhodincludesreplacisgoaclaudioiafortionelementin an audiorsequencrwitb acorresponng
rnz1orfrom xcolorpalelt
e.
O

n esequencr ofdigil
alaudio sgna.
lelcmentscanbo rcpresenl
ed in atwo columnabltitkwbi
cb each row contains
thf;tifrle a safl
v le Was takea aa:
ltbe digitalvalue of1be
Sample'
d audio signalattbesampl
e time.Table 1e6sbows
suctla tableordala.

BRIEF DESCRIPTION OFRTIE DRAWINGS

(()()1,;j sfnceaudfoandvidcodatahavedit
ferealfcrmats,
audio dataisnolconvention&llyappendcdtovidrodataand
(X07) n e presenl invention is illuslrated by way of tre ed wilb it.'Ihe prcsentinventiou rovides a mecha-

e
xang
mpl
e,aa
d
notil
mwhi
itzt
o
.
nlh
igeu
resof
tbea
c
ommy
- Dtos.
maspujatjngaudiodausotha!ltcaalxappende,
d
uyi
dr
wo
ings
nl
ci
hn
lii
ke
re
ff
er
mxs
denot
ec
si
lla
ar
EDclss
vi
eo dataforlaletcncodmg cox-urrentlywththcvideo
.

'

elGmentw aad in which'

.

datz.

((*()#J FIG.tailustratesarepresentativcaudiosignal;
((*(jj) WG. 1# illustrates a represetttativo digitally

I)
t*1#J FIG. 2 illustralcs graplzically a digilally sample.d
audiosignalbeogmappedtocoloa soloctedfrom apaktte

(Y 10j FIG.2illmqratmsgraphfcally adfgftallysampl

r.
d

basedupon4heacler(notsbown)thatindl
:
catestheplayback

n rrlpled audio signak

a
oss
gn
alcb
oufdpio
si
ble
oeli
onrg
s;mappedtocolorsseiocle,dfrom apalettt

g(*lll FIG.3illustralesaproceasformappingadgiully
sampl
ed audio signalto colorswlccted f'
rom a palctte of
porx
si
blecol
ors'arzd

ofpossfble colols.Audiodatafrom various points Z timt,

eachaudiosignalelemcntinotherworcks i
strckedintime

rat
e!wbichtben allowsplaybac.
k oftbtsoqucnceofdi
Fital
audlo signalek menls attim appropriate time.A1lo:lbe

dfgitalaudiosfgoalckmentsflatoccuratdiFerentpoi
tlf
.
sin

lime lhatbave thc;same arnpl

itudc have !he same color
assignedtolhem .n tpcocrr
ssofmappiugar
xsignsacol
ort
o

Case 3:06-cv-00056-PMP-VPC Document 644-12 Filed 05/28/08 Page 88 of 110

-

..

US 2003/0081146 A 1

M ay 1,2003
2

l11e corrts/ndinr digitalaudio signalelemtutalcach

upon lbe colorlookup a.

14(W.At406 Itisdetetmfned

trl
appiflg,eacboflhrdi
gilalaudi
o signalcleamn!sinslrad

lhet
kplalaudiosknalcler
ncutst
oprocess.i17lbcrearc.E
nore

lbrm from !bejalelle2*.Similarly.1aandla?bavetbesame

(00221 Tl
uls metllods and apparatvs fortnanipulalirlg

difcren!polrltintl'
no ass* wnat204 Afterlbeproccssof
othaving anassociated anlplibadc hasan associat
ed color
obtained from acolorlook'
up table.Audiosignalsthalhave
the same amplitudes willthus ave tllc samc color.For
example t l.
z,and tzaallbavethe samc col
orarx
sigaed lo
pointer,1.ar
xsl
gnr.
d to thcm.'Ihccolorasslgncd to a parti
cularamplitude L
sthusafunctiooof'hoallplitude'Palctte
2% isasub-paletteofti
m pal
ett ofpossiblecolors.

whelhertbert:afeanymoredigitalcol
opvalue.
sropresfmting

valuesto processpat408 the proccssadvanctsto tbenext

sampl
e andlbcampliludeforthe.now curreatsamplcisrlad
inat402.n eoufpufofprocess400arethcorigirfaldigitally
sampled udio signals.
audio dalzso'lbA.titrnay IA'zencoded indcpendenlly in a
diffotcntform and morepreforablypal
oogwilhvideo data
bavo been des
'crbe
'd.Allbougb the prescntinvention has

(ti(j19) FIG.3illustratesaprtxxssformapping adigital bcendescri

bedwilbrefegencetospecifccsemplaryembodiaudio sigaaleiei
meatto acolorselected from a pal
efteof
porx
siblecolof
s.Accordingto rocess300 tbeamplitudefor
adi
gitalaudiosignaltlemel
xft
Isread i
n ap
t302.At3(J4,itis
dotecrrdned wbetbcracolorhasbeenpreviouslyar
ssigncd to
theamplilude.Ifacolorhasbeenpreviously assigne.dto t
he
amplitude tll
e previously assi
gue.
d colot I
ookup for tlt
e

mcul
s itw'
illbcevidesttotmetkfardizlaryskillizll:earllbat
various modiscations and cbanges may bo made to tbese
tfnl
xldi
m entswithoutdeparling frorn tlm broaderspirilaod
scopeoftheinventionassetforlhintbeclaims.Accordingiy.
l
he specitieation arl
d drawin s are to be regarded in an
Jlustraliv'
e talllrrlhaaarcstnctivrscose.

colorLsassigned to hecurrtalelem einlsampleat3(

k6.Ifa
.
colorhasnotbeen previously assigncd to the alupllm de@a
new colorlook'upisassiguedtolxlth!lx colorandampjitude
andtbocolorisaddedtoasub-palctteat3* 'n esub-Ealette
Lsie
e.1gi
of
slhat
br
assigr
lo!s.
beAt
ampl
of
tbe,,
di
taclol
lyor
sampl
edbavr
audi
oen
signal
olml
emont
310llude
itiss
detormiaodwhethcrthcre areany moredigitalaudiosignal
eltmontsto process.tftbere aremore digftalaudi
o sfgnal
elcments to processsprqxxrx
s:
'
1i* advauces to the next
sampleal312 and lbe arnplittluo forthe cttrrentsampleis
rtad in al302.Attht cnd ofprooerxs 3* thesub-palette
'
ctmtains a11tho colors thalwere needod to descrbe the
ampltudesafallfhe fimcsofrlledigitallysamplcdaudio
sigsalclemen1.JJSO foreacbsaoapleia tbefrau:e instoad
of an amplituuc tlmre is Afl associated color from thc
sub-palotte.'f'
l
x output of proczr
xs 34
10 are a frame that
contai
asilbe
be,
a
tlmfon
wq
ue
uco diglal audio
ls
lheis
rut
rap
aa
sl
fe
ol
rt
me
dnclobr
wa
l.
sigaa rl

W halsclaimedi:;:
1. A raelbcd foryepresenling audfodata in aformattttal
caa be mcrged with vi
dco data wberein t*e audio dau
includcsasoquenceofdgitalau>dio iaformationclements,
'btDmtltbotlt.
-ompdsinF
rcPlaciug each digitalaudio informauon elementin the
sequeucewitjlacorrespondiug digilalcolorrTprosrn.
(atioafrom acoIorpajett
o.
2. 'I1)e mzllx)d accordir?g 1t)claim 1 wblsrein j))eslt:p of
'
replacing includcstbc;stepsof2

o
oar
resf
x
atl
dc
io
vi
dc
en
ocod
rrae
me
ceca
adu.gIme
voicn
l
s
o
fr
mc
t
ha
t
ag
rlbe
dat
uo
dpr
laod
terude
oa
de
noal
cdc
edrl
ot

Placing thenew digitalcol

ofroprex ntation inadigita.
l

(e2tq n ccoloraudioframeofprocess300i'
lacldedtoa
.
obscure tbeprosef)
tirlvention rnethodsandapparatusof

dedcrulinil
zg w'betl
zeradigilalcolorre?resenlalon has

been previously assigned toeacb digualaudio lformali

onelomeat'
in tbe eveut no digiul color roprescntation has beeu
PfevifmSly 3ssigncd lo oneoftbc digitalaut
lio infor.
mation clemcnts arxsigf
ling anew digitalcolorrtprq-

wntationt
otheo'i
w digitalzudi
oioformati
ontleinent;
colorPalettes
'and

adcling the color audio framc lo a correspondlng vi

doo
ftame,and thenoperaling qpon thc augmentod framc will
zletlx drscn'
be.
diagrealerdrtail.Convralioaalmcl
bt
xls%as
woll as rzmthods G scribod in oo-pending applk ations
entitkd *iMetl
zoclAnd ApparatusPorDeterminittg Patterss

repIacif)g tjje one digitalaudio i

nformalion elemeut
wl
.lk tbe new digitalcolotrcprcscl
ztalion from tjj
(r
diglalcolorpalmtl
e.aud
'
in tbe cveotanot
tterdigilalcolor tepresentation was

WftldnAdjacentBlocksOfDatabearfngattonmyrcfcrrnce

bcenprcviot
zsly assfgned to ancdlzerdi
gilalal
zdio

number+ 25034259665 anflfilcd on the sameday astMs

application in lhe U.S.PatonlOlsce,and U.
S.application
No.09
7,
0ti
9
rltii
tng
letlMRMe
t
hto
xlPa
And
pad
raDo
mscF
Eu
co
i
Isf52
onua
o6neUs
ulti
pl
sseAp
sAn
oor
cl
io
gI
ndA
Si
rkn
g lc Pass' tiled otlNom 29 2G* bolh of whic: un
assi
.d to tbesame assigneea,
stlw pr
ggne
,esenlinvention can
l>cusr.
d foraddingthecol
oraudiofzlmcto t
lm videofr
'ame
toobuin11- augmcnted frameantltl
zen opcrating um nlhe
augumntod framepaltbougb itwillbe uuderstood tbattbe
Ilror
eatir
zverakm e'alll)
e usrd iadrpezlt
lerzlllraad wboul
referonccto avideo frame.

il
dbrznationtlcmenlc.
o
ndingtotlw onedigit4l
audio informalion clemcct,
VCPIQYV tbe fml digi
lalaudio information elomeut
Witb th*Prcviotusly assipwd anolhtrdigitalcolor
rtpresentztioo from lbcdi
gitalcolorpaleltt:.
ogloclaim 2.furtberiacludingthe
3.n emethod accordi
stelysof:
sequrnlialiy retrieving cacjj(jjgjtajcojorrepxwnuuoo
correseol
xffug to each digit
alaudio iuformation clcment'

(
Y21J Aflorl
im aagmoated
videofnuw istloctxdled
plle
eoloraudio can be separale.
d fzom 11x:augmenlr.
video

traaslatfngeachdpc
.alcol
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Case 3:06-cv-00056-PMP-VPC Document 644-12 Filed 05/28/08 Page 106 of 110

PatentApplication Publication

M ay 1,2003 Sheet 15 of15

US 2003/0081685 A 1

0010010010010011100100110011011011011001100110101

001001001O0111OO1011011011011OQ110011010001001110
0111001011101100111010001001110010011110001110010
0011011011000110001001110011001110110110110001110
001110010110100101011100O11010O1 101001010111010
0011001110101011011011000111011100011101011011010
1110001111010101101011101011100010100110011110100
1010100011100110100100100111011000111011000100110

FIG .9A

0O1001Q010010011100100110011011011011001100110101
0010110110011100101101101101100110011010001001110
0111001011101100111010001001100010011110001110010

001101101100011000100111001100111011011011G 1110
001110O1011010010101110K 11O100100101001010111010
00110011101010110110110K 111111100011111011011010
1110001111010101101011101011100010100110011110100
1010100011100110100100100111011000111011000100110

FIG.9B

Case 3:06-cv-00056-PMP-VPC Document 644-12 Filed 05/28/08 Page 107 of 110

US 2003/0081685 A 1

H ay 1, 2* 3
1

M.ETHtJB AND APPAIG TUS FOR DETERSIJNNG

PAW ERNS W ITIIIN ADJACENT BI,OCKS OF
DATA
1.UIEL.D OF TIIE CNVEN-IRON

leastpan oflbeimage. And lbalm otion can occur io alore

lhan one direction ala time. For moliou thatexisls m
multi
pledircctions, tlk
scan createdilficultoswitb patteru
mcognition tcchniqucsthaloperate alucb morc eKcicntly
wbcn m otioa occursk)a single directlon sucb asM PEG .

(t*01J n eprescotinveutionfclatesamethodandappa- Withadjaceulframesthatcontaiumorecomplexmotioain

ralttsfordeterminingpattcrnswifhinadjacenlblocu ofdata.
2.BACKGROUND OFTHE REM TED ART

(*02) Marlydilfcrontlecbniquesexislfortbecompression of dala and rl

w subsequent dccomprcssioo of lilo
prexiouslycompresw udata.zlyv dalacompressionisone
example of a well-ktl
own tecbnique lbat allows for tbe
comprcssion oftilcsandsubsequenldecompressiou ofpreviouslycocnpresscd files.

(
tK03) A1lcompressi
ontcclmique
..
sattempttoreducethe
sizeofafile oritco

mpreas''it.byeliminalitlgrcdundancies
thatcanrxisl,lhereia.
Whatwildistiqguishouecompression

thcMPEGconltxl* suchframesmayb:requiredtobeanew

indcpcudeatframe orlframe ralbertbaoB orP typesof

predictive franlesthatcontazlessdala. 2*sa rcsu1t'iti
s
morzlikclythatthtrcwilexistagreatnumberofIframcs
withiothecorrespoodingMPEG xquence,and,accordinglyp
Iess compression due l
o their teing less fecognitiou of
pauerns tbat do exisl butw ere notfouod betweeo the
framcs. Thisoccursduo t
o acombioation ofmanyrcasons
intbeMPEG contex!butaparticularlysignificauloncbeing
tba'tbere isonly Iimited motion vector kflowledge and
mol
veclors'ordiroctionsofmovement'thalarodissknilartioonthe
limited motion veclorknowiedgelbatexists are
jus!notfound.

t
echniqucfrom anothcri
s1hemeti
jodthaljsusedloelimi- (00061 Furthertbemannerin which patzrnsaredeternaterodundancics.Gonerallyspoaking
tt
lemoresuccossful

rninedrx)tonlyaec!stbeamounlofcompressiontbattakes

a.compression lechniqueisineliminating mdundancics, the

greatcrtbeamounlofcompressiontha!wi
lloccur.

place,but(he amounlofloss lhaloccurs. In M PEG for

insunce,whichksa lossy comprcasion tocbaique patlerns
are located usingp aprcsctblock sizz sucb tln tin otdc.
to
achieve comgrer
xsi
on'a higher Mno>
untof loss mus!rb
e
loleraled.

*g o4f)solrI
l
orld
oisel
all
crodundacl
ci
es'pattem matcbi.
n
f
le
ye
pr
et
ti
ymi
pin
ca
l

y cmployt.
d.ltisknowu.for
iasunce. tlzalincor- cutive frarnesofarnov'ic thatrodunda
palterasw illattiawsexist.Accordi
isnl
ngly.wlwnamovic
digitizcd inlo a format sucb asM PEG forexamplcp an
origioalsequcrl
ceofimageframtswillbercplacedaM PEO

(00071 St
illfurtbercompresx
sionisact
ziovedintechniques

lAc MPL'G by reprscnling certainpartsofI

hedigjuldata
byamatlzcrflatkalrcpresonlali
on which repm seutatiou w4-11
typically clory
ely approximate bulin factditferfrom llle
edginal. W ith these lechoiques, however,wbile compr
sion i
sobuined dttring l
hecomprcasionproccss undesrees.d
artifact
scacbcimf
oduced,whicl
upoosul
v quentdccom prcssion of lhe data can causc probl
ems for iastance
degradationin lheresullingpiclurequality. Foroxamplo it
LswellknownlhatioMPEG thatlcexsesofupto and ovcr
20%,of tho originaldata conteutcan occur, becatuse of
limitatioasinlheDC'T algorithm tused forcomprer
ssion.And
lorssle.sscompression le.chniques suchasLZW while lbey
do Dol i
ntroduce any 10s.:5 typically cannot introduce a
signiticaolamountofcomprerxsiop.
(0(*81 Accordingly,itwouldbedtsirabltlohavcapauern
matchitzz techaiqua ttkz.tisbotilable.tooporato lc- lmw ly, as
we
tb llasrecognizeagreaterperceatageofredundantpauerns
i atexistbetweenadjaccntframesofdata%whenom rating
n eithera 10r.
s1e.< Irlotleofin a lossy mode.

soclumncc of I B and P image frames whicl

z conlain a
sucientperccntagc of!he i
nformation thatexists in tbe
originalsequence of imago fxarnes forllm human oye to
aaxpt1bereproduction.n eMPEG sequenc,
eof1, B aod P
image frames Ls however lossy, since the mathcmatical
rtpreseoutions tba! are usod in obtaiaing the M PEG
sequcnceofimageframe;
scannelretain allofthcdatalhat
e
d willlin tbe originalsequence offrames.And reduadxistc.
anlpalterasexi
stinmanyothercont
exl
s onwhicllpattern
m atching operalionscan be omployed to elim inatercdundancies.Sequtnccsofdi/crenlradiographicimages such as
x-rays.willcontain redurldanlpatterns. A collcction of
dZ
''
erenlexecm able'ornon-executable slcs, wi
llalsocontain reduntlande.s bel
ween them. It Ls apparent. therefore'
tbatdataofany lypecanbe compare,d witliaoy ollzerdata
in an altemplto End patternsttlatarocom monlo b0111data
sets.Accordingly, in fho descripfionsthalfollow'datasets
e'an be e uined arxlcompared wilb anotberdatasel. Eacb
Jata setthatks compared with another data selw111be
descn-bod as bcing fonnatted into a fram,thatcontains
SUMMARY OF '
ITIE I . ON
l
nl
hedatafrom bcdalasclina matdxarrayp batcan I
thlletai
rcts
cmntma
invlr
scqnl
herein provide
nt.ecomparcd lo anotherframe thatconlainsdat
tafrom
a#0
dv09
anJ
tagn
eouc
sp
pa
te
cn
ht
ii
oou
gs
l
cJc
ctmi
uxd
es.
anolberdataset.And wlzilethrusageoflhe tcrm frameis

easilyunderstoodintlx contrxtofardatedtimesequrnce
ofimagmsfrom amovie'eacbofwbichwilllx in:separate
framcandcomstitulesaseparatedalaselailisundcrsstoodthat
thc term can be applied lo adatasclofauytype, aud tlzus
hasamudibroadcrinlende
.dappljcabilityandusagcthan !he
contoxtofvariousimage.s from # move'
((*Q5 Furtberkuorq,tbcre is a (argq diKttne.t tvtwoe.n
,
c
ehending lhatmdundantpattemsexi
sl, and actually
Iio
nmp
dinr
g
t
b
e
f
u
.
Con
t
kl
u

n
g
wi
t
h
1
h
6
e
xa
mp
l
c
of
asequence'of
imagesfrom amove,ilLsapparentthattl
acdigitaldatawith

(0010J '
Ihcpresontiuvtntiondescribesmetbodsandapparatus forproviding pattern recognitioo betwecu adjacenl

soquentialfzamesofdataywbichdatacanbenon-relatoddata
ofvarioustypes,ovrelalellin atime-sequenctand conuin
both audio aud im agc data w ithin each fra e. Using a
predictive thread to determine a Jefaullpaueru direction.
a
nd thcn Izlaking comparisoos belween various xarch
blocks fyom a refmencc frame xvilb corrmsponding targct
scarcbarezsofAtzrgelframe i!
xbori
zonlal vertical,digona1and rotationaldireclious tlsing diFerent lhrea
s and
parall
el proccrxsing locbniques pallerc recognitd
ion is

eac:
bframotyjjcallytyeiitrentbecauseofmotioninat ac>ievexlwit
bjlrqctionaltbxadstliatactmotobtaioino a
-

Case 3:06-cv-00056-PMP-VPC Document 644-12 Filed 05/28/08 Page 108 of 110

+- '

US 2003/0081685 A 1

M ay 1,2 3
2

suiscient numbcr of malches bcing lcrminated. W bero

malchesare found lbeyarestorc.
d asaiinkecllistorbinary
tr'
eo aud theo processed to so llx'ttoverlapping matcbes

leasloneofadi/ercntscarcbblockandadi
ll'
erentdirection'
aoddetorminingwbetbortbelraversalsresullin asumcioul
numberofmatcbes being found between tbe targetfram c

witllinaframearcreprcsentedasasupcrsctblock.

a
drath
c
e
folr
cuetf
r
.A
poocfcl
err
mi
li
nt:
e
a
in
ofntahlc
pn
lu
li
tyr
di
fe
cn
rc
l
ba
rmc
tad
sts
llt
et
n
u
s
tn
l
wa
s
epc
or
ft
lc
rmi
.

III*I.
IJ Iz)one;aspectelhc:preseutinventkon provides a

jsg'occuaug foraIlartlcxhrllvzadif
*itisdeteraliprd lhal

oxthodofcompressiag abit-sizeofapluralilyofx quential

frames,each framo comprised ofa plufality ofbits.n c
mztbod compares a plurality of differcntsearch blocks

tjm jravtrsalrelated lo tbeparticularllzread Lsclolresulling

in tlw sufficienlnumbcrofteatches.

luratity ofcompared blocksptho reference frame initially

methtxlofcomprcssingabit-sizeofapluralityofsequential
fral
zles,each frame compfksed of a plurality of bits.n e
mettk
odcomprisescompariug apluralityofdl
'tfercntwarcb
bl
ockswithin areferetmo f
zamc to aIargetframe to obtaio
apluralityofcotupared blocks,t
lx referenceframebeingwt
lo an initialframeofthepluralilyofsequentialfzamesand
thelargetframeinitiallybeing setto asubsequenlfram eof
ttle pl
urality ofsequent
ialframes.n e st
ep ofcomparing
uscsa pluratityofdifrerentthreads forcomparing,and ll
w
searcublocksvdthi
n eacb ofthe throadshaving a unlonn
sizepsucblhatttlecorrespondingcomparcdblocksalso have

within a rsfcrenceframc t
o a targtlframe to obtain a E0Q15) Inanotheraspecqtbeprem
sentiuvenlionprovides
p
beiiv setto aa iaitiaifrau,eofttle plurality ofsequentiai

frames ancltize largelframe ipilially being setlo asubsafr e of tlx plttrality of scquential framcs.'
l'
he
quenl
mfcomparr.
luralityao
d blocks isused to obtain a represcnp i fthe targetframctbatiscom presx d.'
n ereafler t:e
ta(
fton
cer(l>ce framtisrodesigaatodasthosubsequontfraa)e.tbat
re
tlae largetframeaodthetargotframo isredesignatcd as
W aS
tlxrsubsequentframetbatfollowstllesubsequendfxamep
anO
ab ubr slepsofconapaHng and using refrat
ed.
W

(Y12) Inanotheraspectptbereisprovi
ded ametlx)d of tlxuniform sizz.n ismethodusestlwplural
ilyofcompared
oblaiuing alinked lLM ofrcdundantpatternsthatexi
stin a
targetframc from arrferenceframe eacb oftbereferenct

alxltargetframescomprised ofapluratity ofbits.n c

met
llodcomprtsesI
heslcpsofcomparingttachofaplurality

of
ca
ckthp
onrt
i
en
th
raeme
ftrelr
o
l
it
ofs
l
o
cr
ac
lh
iobl
nsowi
xi
t
h
ostao
rf
ge
te
fr
oxx
dcf
lr
ca
rme
minl
ea
ap
pl
lu
ur
ra
al
i
ty
y

blockslooblain areprcsentati
on ofthetargetframetbati
s
compressad from aa original statc.n e step of using

includcs determining whclhcr adjacenlcomparr.

d blocks

existthalcan becomprem d. andfora.

tleastcenaiuofthe

ad
etnt
compa
bbloc
kksotha
ca-n
bie
omp
ws
ed
ola
ing
a
tj
la
cc
as
on
esupcre
rsdct
lc
fnton
un
focr
m sir
ze
er
th
at
'ic
nrc
ul
de
s

ofmatchts,Andxforcachmatch,rcprtsentingthatportionof

luoccrtainadjacentcomparcdblockslercin.

identifierthatislimkedtothesearchblockportion.

(00161 Inanotherasptct.tbeprmsentiuventionprovidcsa

thetarge.
tframe corresponding lo t
lx matchwithalocation

mcthod of searching for patte s witllin a plurality of

(*13) ln anotberasptct,lhercksprovidcd ametbod of sequent

ialframcs eac.
bfrzmecompdsedofapluralityof
scarchingforpatleruswitllinapluralityofsequtntialframcs.
oach frame com prfsed ofa plurality ofbifs anunged in a
matrixarraytha!c-anbe(ravcrxdin horizontal,verticaland
diagonaldirections.Tbe melhod comprising compari
ng a

bits arranged irla m atrix array.'IYe metimd complises

comparfng in a Iossy marmeraplurality ofdffferentR arch
blockswithin arcfcrencq frame to alargttframeto obtain
apluralityofcomparcdblocll
s thercfta nceframebcingryet

pluralityofdieerentsm rcbbloctswilbin arefereuceframe

t
o atargelfzameloobtaio aplural
ityofconlparodbl
ocks the
rcferenceframebcingselto an iaitialframeoftheplurality
ofsequerdialframesand tlm largetframeinitiallybeingRt
lo asubsequenlframeofthepluralflyofsequcntfalframms.
Tllestep ofcomparingincludestravtl
sing the largelfrarne
inabot
izontaldirectiouto compareatlemstaflrslproupof
search bl
ocks lo corresponding boriztmtal target blocks

to an initialframeofthepluralit
y ofscquenrialframesalld
1he targttframeicdtiallybeing sctto asubscquentframeof
lhc plurality ofxquentialframes.n cstep ofcomparing
includes obtaining,fora li1stsearcttblockpa fu'
stweight
indfcali
vc ofapcrcentageofcomparir
so% thatcxfstwitilin
thetarge!framcandoblainitlg,forasecoudsearchblockthat
overlapstho(i1'
stsearcbblock aryecondweightindicatlveof
anotber percentage of comparisoas tha:existwil
hin tbe

withintbetargelframeandtraversingthetargelframeina

targetframm Iftherstwekbtandthesecondweigbtthoth

:rstgroupofsearchblocksptocorrcspondfngvcrticalt
argct
blocl:switbin lhe largd frame.

thcfu'
staudwcond searclzblocks1athasaIowerperceufagcofcomparisons.

verticaldircctioo lo compat'
e atleasla seoond gfoup of
se.arch bloclcs which ay orm ay notbe diFerenlthan tbe

baveapercentagofcomparisonsthatexcoed aetorm ined

(hre-sllold lhere occur.idiazarding lhalcompared block of

(14) Inanotberaspect,lhepresentinventionprovidesa (00171 Inanothtraspem,theprewentinventionprovide,

sa
metllod of searching for pattcrms witl
zia a pluralily of
sequentialfnmesaeacl frame comprised of aplurality of
bits arranged iu a matrix array.The method comprises
comparfr
lg a plurality cfdia reatsrarch Ntxlk.
s Avitbizla
rtfefeqcc frame to a l&rgetfnme to obla.
in a plurality of
comparedblocks tbcrtfcrenceframeY ing setlo aninitizl
framt oftlm plurzlity ofsequentialframes and the targe!
frame initially boing set to a uubsequenl frame of the
plurality of sequential frames.n c step of comparing
includostraveesingtbeurgetframoitlapluralityofdi
ffcreot
dfrecffonsto comparesearchbbckstccorrespondfngtargcl
blockswilhintbetargetfrzmc,l1m slepoftraversingiacluding iniliating a plurality ofdiFcrenttbrcads lllatate pro.
cessed in parallel cach diferentthread operating with at

method of searching for patttras wihin a plurality of

scquentialframes,eacb frame comprised ofa plurality of
bil
s arranged iu a matrix array.The ethod compdses
colzlpariag a plurally ofdiFeren!scarcb blocks wil
bizla
Kfcrtne.
e frauw to a urgt:!framo to obtain a pluzality of
comparr
.dblockspthereferencefz'
amebeingsetto aninitial
frameofthe plurality ofc
yequentialframes A.0d thc targel
frame iniliall
y lxitlg set to a subsoquenl frame of lbe
plurality of scquential f
n mes.The step of comparing
includcsiaitiatingaptedictivcthrtad thalcomparcsa numberofdilcreclprediclive searclzNtx'
kshaving difererl
blocksizmsatvariouspositioaswithinthematrixarrayoftbe
refereuceframewitbvariouscorrespt
m dingpredictivelx
arget
blocks in thc largetframc lo oblain aprodicted optfmum

Case 3:06-cv-00056-PMP-VPC Document 644-12 Filed 05/28/08 Page 109 of 110

V ay 1,2003
US 2003/()081685 A l
.

blocksizeandapredictedmovementt
lirectitm tf
artbelargct (0:211 Inauotheraspectplheprcserttil
nrnlicm provides,a
ftamo.lhestepofcompariugalso inttates4(raversalofthe
tavd fxartm in adircaiea correspondiag lo lbe prediczd
movcrpcpldirecton with a scarch block baving a size
corrcsponcling lo1bepredict
ed optimum bltyck size.

mcthcxlofcompressingabil-sizeofapluraiityotscquenlial
framc.
s cacb fzzme comprised of a pluratily ofbits.Tl
ze
mcthod compristscomparingaplurality ofdfl
kcentsearcb
bl
ockswithiqa rcfeleccc framcto alargetframeto obtaie
aplura.
lityofcomparcdblocks lbereferel
zceframeinilially
(* 1:) Inanol
beraspectoftl
w presentirl
vention>thcreis beiug .% 1to an inllialtrazno a*nd the targetframeiaitialy
plovidod a method ofsearcbing forpatterus withiu apiu- being sctto a subsequentframe.'
I'
lm step ofcompariag
rality of sequontial frames,eac;
h frame comprtsed of a includesdctcrmining whetberadtsired cotnpression ratio
pluralily ofbits atraaged in a matdx array.n e mcthod belweeu tbe refereace h'ame and the subsequentframe is
ocratioLsfeacbed*tbenttm
comprisescomparisg a pluralityofdi
Ferclalscarcb blocks reacbed. lfthedesfredcomprcssi
rzminated.Iflbedesireclcomprmssion
wilbin a refortmce frame to a largetframo to oblaiu a stepofcompariagisl
pturalityofcompated blocks* tbttreferenceframebt:ingset rationisrlotreacbed thcn lhe plurality ofcomparedbloclr.s
to arjiaitialfrauw ofthcpluratily ofsequentialfranxsand areused t
o obtain are
'presentation ofthetargctfraam tbalLs
Il)rurge;
tframeiaitiallytleirigr'e!to asubscqucnlfrAmccf compresscd ascotnpart,d to an erigina.lstate.
tl
tepluralify ol.sequeclialfralnes.Tbesltp ofcomparing
incll
zde.sirl
ilialingapredicivet
hreadtha!f
zompares&num. (00221 Olberaspectsadvautage.
sandobjectofthe?resenl
berofdijerentptodkctive slzarcb bltxks haviag difrerent inventlonwillbecoam apparcntAsizerefnafterdoscnbod.
blocksizesztvariomspcxsitiottswithiu11w matrixarcayofthc
BRIEF DESCRIPTION OF THE DRAW INGS
r
fe
os
uci
c
rl
a
awta
wi
th
rme
iotusl
coi
s
ol
ua
di
u:epr
cr
de
it
cl
ti
vel
tan
rum
ge! 2
belo
crk
rsft
le
rgc
tva
fra
o
axbt
apiz
pr
dic
op
h
9823) '
Iheaboveandotlwrfealurcs,aad advantagesof
blocksizeandapredictod movementdirectionfortbelarget tbeprescatinveutiooyamoagotbers.areft
lrtberdescrbediu
frame.'Ihe step of comparing al
e.
o includms initiating a thedetaileddescri
ptionwtdcltfollows.writllrefcrenc:eto tlze
traversalof
tjeurgetframeio adircctioncorwspoadic to dcawcingsbyw'aycfrl
on.limitingexsmplaryembodiuxntsof
tbe prediczd movemeuldirocioawitlascarcllbbckllav- 110presentinvention wlxreiul
ikerefcreacetmaxralsrtpit:g a sirz cortesl
xmdiag lo tbe predicled optimum block rers
entsknilar parts of the presentinvel
xiou throughout
severalviewsaudwbersi
a:
si
ze. J
(t*19

ItIarntheraspet
a,112epraserz!izl
vrntionproviesa (0924) FIG-1 illusttatesablockdiagram ofthepresent

melhod of searchi
ng for patterns willzin a plurality of

invrnlion.

sequcntialframe
,s eacbfrart
m compdsedofaphlralilyof

xasj yaos zxy2B1 zB2aodzc illustrateexemphry

framc inilially being r.

e1to a subsequeutframe of tlle
l
urality of se-quecltfal frames. '
l'
l
x sltp of comparipg
?
mcludsslraversinglbetargetframeiuatIeasthorizontaland

(80274 FIG.4ilustratesanexemplaryinitialsearchbloc.k
wirsj
a 41, jsjtialo-fraaw maslr: block a corresm nding
pO-frame master
inilialsearc.
b area witbin a subsequtnt

verticaldircctiossatincrtmtntstizatarcgreaterthaaasiugle

btock and vertical horizontaland diuoaalpattem rearcb

.nattedin,
bit.
sarranged in a. matrix array tizatczu belraverscd in at (
(!;ilu futa fon
to framesaccording to thepresent
g
.
kasthodzontal:ud verticatdirectio%. I'he mcthcxlcocu- uvertlou.
pr
i
s
c
gat
po
lur
l
yt
of
frret
n
thi
n 18826) FIG.3 i
ar
eefsez
eonmp
crafrriaumc
aallair
g
tfJrialme
otsorbatracihnbl
aopclks
urawi
iity
of
ll
ussratesiufurtlxrdetailmw erblxlcs
c
o
mp
a
r
e
d
bl
o
c
ks
.
t
k
k
e
r
e
f
o
r
o
nc
e
f
r
a
me
l
xi
u
g
s
d
t
o
a
n
i
n
i
t
i
a
l within a frame o data aci
d search bl
ocks thatoperal
ed
.
frame ofthc plurality ofsequenti.lframes and tbe urgct thertloflaccordicg 1
t7llr prcsrn!invralion.

bitcoiumnorbitrow,respectively,tocomparewarchblocks dircctiorususedacclrdiuglothepresentirj
veutioa.
l
o
x
g
tarpe
b
wi
h
i
n
targt
fr
s
tec
pol
ofsp
tro
an
vd
ci
tn
si
ng
tcct
lu
do
cc
sl
,csfo
rt1
1)
4
:
e.th
:e
se
cbtb
la
oc.
ck.sna
ne
d :90251 FIG.5 illustrates a portion of a subxqusnt
corrcsm pdina largrlblocksatanedgtoflhe malrix m'
zay. O-frzmt master block witlin an oxeuplary video data
padditv bitposilions within tlw searcb blocksand corres
p
o
n
d
i
u
g
t
a
r
z
c
t
b
l
o
c
k
.
s
l
b
a
t
a
r
e
o
u
t
s
i
t
k
of
t
l
lc refeaacc
'

stream frame and txemplary seaz

'
ch blocks om rae g
fllfre<m.

mltfonsotbatasizcoftlm searcbblock RnJll1

ocorrr-sm nding largolblock Ca.
I
Zbe maintainmd fortlw entire step of

on.
srarchirjg usrd accordk)g lo lbr prmscnljnvenlj

frameandlavgetframe.respect
ively,with idettlicaliqfor- (9029J FIG.6 illusfrate-s cxemplary rotationalpatt
cm
f0Q30J FIGS.TA-'
TD illuslrattdau and Imaderstllatare
used fttobtaiaiag tbe pallem recognljon zccording to the
(*20) Inauomcrasptctoft
boprtselginveotioc,tbrris prosenfinvootioa, autltlw rosulting data Brmat,wtkich
lrw elsittg.

prtwided a metbod ofsearching rorpatterrs.311

0 mttbod
c
o
mp
r
t
s
e
s
o
bt
a
i
n

n
g
a
p
l
u
r
a
l
i
t
y
of
s
e
q
u
o
n
t
i
a
l
a
t
mf
e
r
datetlframms
eacb cornptsed ofapluraltyofntddts
ll
a-t
roprosentvide:
oinfermatitm arldartetherpluralityofbitslhal
represep!audio ioformalion.Comparing aplurality ofdif-

1t11gtlit
a formatcarltl
wn be furtl
w rcomprmc
xxd.

resu

!
#X1) RGS.SA-BC illus
trato a flow diagram oflhc
Overalloperation oftlw palt
era recognition system according toR Prtfen'
edembodimentofIbcinvtntion.

f
orentsearch blocl:
s withina refereuce framelo aurget (ntkuut
jivIcqcs
yA and 9B illustratercprcxnutiveampframeoccuts toobtain apluralityofcompared blor'kK tlm
ssahralilyofsequentialaotltizne-rdatodframes.Tbeplutality

rdtuock and a lor

xsy targctblock,rtsw cjjVelyxaccordjngtoauembcdimeutofthepresentinventi
on'
,
rfm
DETAu o oascmmaox oy'
PREFERRED EMBODIMENTS

of
ocksksuse.
dtoobunarepresentationofthe
P comparedbl

(0033) n eprexntfnvontiouprovde.
sapattkrnmatclzing

reforenc.
r franw ini
tiallybeingsetto An irl
itialframeorftlte

p
laume
ralit
olfiasneq
inaglascl
d!tilme
esdeqfrut
ame
art
lmt
dthcol
arg
!
fr
m
yue
bn
et
i
e
oaml
sa
ut
b
ntsf
a
f
t
hee
targelframttbatiscomprossed.

rescn

method that asa rcsultofpreviding an indfc.

aliozlof!bo

Case 3:06-cv-00056-PMP-VPC Document 644-12 Filed 05/28/08 Page 110 of 110

*

M ay 1,2 3

tJS 2* 3/0081685 Al

matched patterns,rtsultsincompreasioa butaisoall

owslbr
coalpressfonofthedatalllatrcpresesl.
sthemalched palterms
lo t'
z
e furlbert
zompressed.Aswms eutiooe.
d above while
llm prtsentinvtatioacanthusbour
edtooperattuponany

'
becpcrated upozlwilboulany dz
x ereot
iationtberebctween
altbougb as wittbe described ereinafter certain advas.
lages cau be obtai
ned by partitioning the audio and video
datawithina givon frzcne.

t
cof
tll
d
a-s
v
y
yip
di
git
trascia
be
l'
hepresentinventiondc'
e.
s'bowever>wbonworkcy
op
mp
arcd
dig
ti
o
ol
bz
ct
r
digi
l
t
ax
lda
au
t
a-t
tei
sof
of
pa
ra
tl
i
cda
ula
gn
ci
ii- (0037) '
cancoforapplicalioasitlw'hkh11
2e exi
stenceofpallwrqsin
dalaislzi
ghlyprobable' suchasasequcnceofvide.
oAmagcs
from a digiul masterofa.movit' a sequeucc ofimagcs
oblainedfrom 3.teal-timtdigitzlcamcrafccd'asequonecof
related medicalimageG a sequence ofdata repcescglting
'
audiocontcatorredfzatlant
da/astoragedevicoslbalRyoeach
intende.
d bcacopy oft
heolher.

ingwilhsequencesofframosthatconufnaudi
o faformation'
mostpreferatyly oper4les.butcolucccssarily' wirb azl
di/
dalalhalhasbetn l
ranslaled using tbetechtliqutsdescribed
ia U.
S.PatentApplieation tnlitlcd gdOpticalEncoding of
Audio Data,
.,liled byttm samcinveototonllm ryamedayas
thisapplicalion and bearing appcm tpsattoruey refereuce
number+ 2503/0261933. n isolberiavcatiop drscla'basa
Secl
m itluo lbat cooverts audio digitaldata to cobr-space

(*34) ltisalsoIl
oledtllaloperaliotlof1bepaltem recog- tligitaldata.
nitionaspr'
ctoftbeprmlentZventiouforrelaledsequeuces> (!
)t
).
3*1 Asclescri
bediutbeOpdcalEncxydingapplicalion,
sucbasvide,
oimagr-s,prcferablyoperatesuponframt:softhe
o
r
i
gi
n
a
l
d
i
gi
tal
ato
a.t
ilat
caf
nusedtodisplay tht il
nageand
rcproducetim
auddi
n
us
'orinstgcce'afeedfrom adigilal
> a digital
v
.d
cao
me
ramov
wiml
ealzm
rd
vy
e
rr
so
ion
fa
iebcear
orbe
oli
pz
e
rato
ed
ue
pl
oayc
n.dIf'obrowe
ver>a
'
prtvlotlslyknowncopression techni
qut hasbeon ktsetlto
stof
v lbedat.assodatedforasequence.suchasMPEG'thc
prrreut invcstfon will prcferably dccodc !bc M PEG lo
obtainacorrcsponding sezp enceofframcslkatmosclow ly
correspotk
d lo tlw originalmastersequeuceofframe.
s>and
operate upou that althougtltbalis noIneccsxsary'and the
>
MP
c
de
ta
ea
nor
bdi
erogpc
t
pworl
ilsoc
foriEG
m anedrt
ao
dv
ad
rltda
age
sa
cc
lorat
becdpt
r
r
nlin
irwo
ln
iocnod
se
tid
ll
derivcd.

a dl
.gitally sampled audio signalis a sequonct of digital
valucs'zlso referred to as digital audio signalelemouts'
whictlarc spaqrd apartby tl)e samc time iuterval.Siuc.e
audioafldvldeodalabavedifferrnlformats audiodalakspol
convontionally appeude:
d to vide
.odataalld'encode.
d< 11it.
'
The OpticalErjcoding ptovvdesa meebanism formanipulating audiodataso thatitcaubeappended to videodatafor
laterencoding ccmcurlentfy wtlfllovideo dau 111parti
ctl' ppedlo a
lar,adigilally sampl
cdaudiosignalelemenlisma
colorseleclcd from apaletteofpossiblecolots.Audiotlata
fxom variouspootsiutimcis t
racked in tinebascd upona
heatlertootsbowu)tbatindicatesthepiayback rato*wicil
then allows playback of the srqucnce of digilal al
tditk
el
emenl
.
sa!tbeapproprialolime.Al1oftheaudiosignalslbal

(
(*3.
5j zts lW1
lt
mcoatr app
arrnlpooe zeascm t
hal tbe occuraldl
'tl'
crentpoinlsinst
imotbathavcthesameampli
tuck
prrreotiuveut
ionhastheabilit
y tooperate upon dataofany hlve tbe;same color arx
ignezl to them.n e proce..
k
s of
type.whetlxertbatdata is randomly col
lectod pveviousiy
compreswd,orpreviouslyplacetlinto&knowndataforma!
1 that the patttrn rccognion opcrarioas arr prcferably
perf
ormed atthebi1level comparing bils in one fTamc of
datawith bilsioaaottt
erframeofdu.n us forexamplo
ifasearchbtockcoutairsdatathatreprestntsanim ageusiug
pixelw andeach pixelisrepfescntcdas24bitsand Lsin oue
framo.ifacorresponding search blockareasctmlair?.
spixds

tnappiag assi
guscolols to thecorrespol
drl
g audiodat at
each differeotpoinlictimc.Aftcrtl
acI'rocc.
ssofrnapping.
cacb of!be audio hgnals insltad ofbavag an assod atod
amplilude has an assodated colorobtailwd from a color
tookup tabl
e.Digitataudio signaleltment
s llmtbave (he
same amplitude.s svz'l1thus have he sam e color.And the
obtained palelre is asub-palelt
c ofthe palclle t)
fpossible
colorswhicb can bc ar
xsi
gned.

lhatareracideat'
tsedashaving22oflbc24bit
sixitigtim

(0036Q Theproixssformappingadfgil
allysampledaudio

aodsfnccalleast22ofev'
cV 24Nl
sis11Y same'crealea

lhen dctermit
wd wbetil
er a col
or Ilas been prevotely

same asin .correspcmdit!gpixelintbe searcb btock>wilh

ouly two bil
s being diffcrent'thecompari
son according to
.sde
tlw prmrenlinventioncan(
k terminothz
grecofsimilarity,
linked11$.,1.asdescjilxdbtrmmafter'tbatidcntiflesthex arcb
armaaslxnglhesamastbesearch block'andslillacbieve

sigaalelrmenllo acolopsclecte
.d from apaletteofm raiblt
colorsintheOpticalEocodiugp plicationbeginsbyreading
tl
zeamplitudeforacurrenldigitalaudiosigtt'tlelement.lti
s

coasiderzblocommession,andstillrttainagreztert
lzan90%
Accuracy.

assigr
led to tbe amplimde.Ifa colorhxsbeen paviously
asi
goet
l to the amplitudo,tbe greviously assigned colot
,gAr
x
signed to tll
e currentszmplt.lfa
lookup fortbt colori
colortlasnolbet.
n previouslyasysignedto thc amplitude a

(36) Fordatalhalistelatedtel
njxlraly suchasavitleo

oew colorSookupiswsfgnedlolxlthr
llecol
orandamplimdc

oraudio amiationshipexistsbetwtenthcvzdousframes.Iu
tlm coatextofamovic thalconlainsbolh vsdeo and audio,
corresjxmdi
ng tocacbknageinILemovieisalsolhaim rlion
ofsound thatmustbesynchrontzed with Qm movie.'
Wkile
ln a systcm such as MPEG thore is an ntiroly separatc
comprrasioa ofti
m audio til
atrequkr.
s a.Rparatc audio
strcarn thatisseparatelyep ded azlddoccde-d ll.
i
opreseo:
ilwenti
on ebos notdstinguishbetwoou the Gtype''ofdata
thatLsoperated uponaasooted above.n us ntbe:prcseut
invvntion.tlmro isno netd foraRparatestream ofaudio
dal.whendetermlingwlmlherpatfrasrxislwkhinaframe
tllatclmlaiasbcthaudioD Jvideodala.T'
bepresentinvenlioncanrecognizepRttetnsin botb by operatingupottlxlll
typesof(lalatlzatexistwithitjthesamefrznw.Thisdatacan

alxl1
hecolt:ri:iaddcdloasub-palcll
r.Tbcsub-palottetsthe
setofcololst
hatbzvcbteoassigned lotbeamplittldesoftho
digitaliy sampl
ed autlio signal dement
s.ltLs theu delermioed whether llmrc are any more digita audio signal
tleuwntsto proecss.If (hercaro moredigilalqudie sigaal
elemcotsloprtxess,lbeprx r.
ssadvanceslolbeIxx!saple
aptsthcamplitudeforlllc currentsampltisread iu.Attiw
t;
lxlofprocess.tlzc sub-palette contAinsallthe colorslbat
wererlce
xledtodescribetl
x amplitudesatalIthe.limesofalI
oftlm digiul
lysampledatl
di
osignalelecnts.AL* forracb
sample i
zl
sleadofazlamplilut!etbercisan wxociated color
from thesub-palctle.'
Ilm outpu!oftbeproccssareaframe
lbAtcxmlaitlsthesub-palelleandtbesequencedigitalaudio
signalelements in theittramsfonncd cgllorfonnal.

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 1 of 88

***4

.w .

US 2003/* 81685 A1

M ay 1,2 3
5

1)
* 4% At
'
tcrtheaugmcnled video frameisdccodcd,tbe
coloraudio can be scparated from tbe augmoutcd video
fraam and 11:/ digitalaudio sigualelemcnts Eecovtrtd as

dscribedi
ntheOpticaiEncodingagplication.Wbenrectwering tlze digitalaudio signalclements,tbc digitalcolor
valueforrhe currentdigilalaudio signalclementLsrcad in
andthecorrespondingdigitalaudiovalueLsrclrievedbased
upon lbecolorlookup.ltislben determinod wbctherthere

suchasimagtand audiodalaseach image afxlitrelale,

d

audiodalawitlpreferablybaveilsownfracae althougbthal
t'gnota nece-ssity.
(00441 FIG. J.A illuslralesrepresenlaliveframcs220 parl
itionedsvithsameyjjycksz'
JatjlatcoutaiudalaUatis
placcd into tbcframeblocks230. Thisdatamayortnaynot
be temporally related.

areany moredigjtalcolorval
uesrepresontinglbe digital 108451 FIG.2B(1)illustratcs an cxarnpleofscqllences

audiosignalelem en? toprocess. Iflherearoumrevaluesto

procerss' the procer,s advances to the nextsample and lbe
amplitudetbrtlleoow currentsampleisread kEl.T'jleoulput
ofprocerxsistlw originaldigit
ally sampled audiosignaLs.

210-1,210-2...210-n,wbichcould lx adjgitalmovietba!
conlaiosdala foreach image'wbicb im agcsarctcmporally
relaled lo CaclRotber>a'.iwellas tbe corresponding audo
dala'w bich temporallytelateslo tbe inlagesa.
swell.Each
sequeucc 210 willcontain fTam es220thataretlztustem po-

:(*414 '
I'
lc colo'rspacc converzd audio digilaldatais
Prefcrablyorganizodwili
linaframoin:siilarmanncrfor
ailframe.sin such f
rames witN(berebcing zmarker as
described furttlerbelow,tbalindicatcswhicboft
ll
cframe
bloclcswithina framecontainthisaudi
o dau,aswillbei
cxplainedfurlherbtrein.
(*42) FIG.1illustrattsanexomplarysystem 100accord-

rallyrclatedlotwbotbcr,asshowobytbetlretframes220
illttslfatedinFIG.2B(2).n eseframos220areshownas
having some numberofframe blocks 230 (20 fortlm
illustlativepurposesherein)ofwbich15(230V1,2.
3V2...
23Vn)artshownasbeingforvidooknagedata,and5of
wbi
cb(230M ,Z'
OM :130An)arcshownasbeingforaudi
o
information.OncsignificantaspectistbattbeovcrallmMrix
arrayoftl
w framebloclus2:
M)V correspondsto tbeimage

ofanytyl
x inastram loadownstream device1.
20.Dcvicc
120 asillustrated ispreferably acomputerlhatincludcsa
.
.
processor tlzatcan perform multi-tizreaded parallelopera-

grameimageji.
amebl
ock (shown as2301 and thtfust
a
u
di
o
f
z
a
me
bl
o
c
k
(
s
hown as 230M ).'
l'
llis
gallows,as
de

inglo thepresentinventionpwllicbiacludesadigitaldclivery X vice 110,whicb could be a digitalcamera,a bard

drive.adiskcontrolleryoranymedium lhalcantransmildala

tioas.After pattrrn recogailion is N rlblme.d using the

dovice120, subsequontencoding ofthcstream thatconlains
outputdalaaccording to tileprrscntinvntioncanbt performtd.AI.> showa is anctsvork 130,and anothcrdevice.
l4#:whichcanlmrform decoding@aswellasre-generatethe
originally operat
ed upc)ndata so thatthedatacao lben be

tjjatrjeedstobedepicted, wth tlw fameblocks230A bdng

Pjax dclrsewherc>such asaltbcbottom asshown herein. It
isalso ooled lllatam arker232 js pjaced beywoea tjje last
as
critvtjfurtberlw reinafter an easy m anneria which to
ze
ntify Lhose frame bloclts'
thalcontain image and audio
ioformatkon, so thathey canbeoperated um n using differertlthreads, aswillbcdescribed bereinafter.Tbem arker
isauniquecombinationofbitstbatw illnolotbenviseappear
jn ljw data.

uwdasatended.lntltisregard.tbcapplicationhereiuwill (0046) Typically,andpreferablyinthecontextofframes

descn'
be tbomctboasusod to oblain ?aucrn rocognilion tl
xatcontaintomporallyrelateddala'eacl
afrauw wtlbave
accorcling to tllepresentinvention.Itwtllbe apparentthat
oncothepatternsarerecognized andarecorrehtedusiugthe
linked list binary trcc orotherdal
a storago formats as
dmscn-bod hcrcin thatobuiuing tbe originaldata from the
dataformatted asdescril
xd bereinLsasimpltmaltct.

tho abilityto storc thosame amountofdata thougb tbatis

notaoeccasity.Arldwithiclhecontextoflemporallyrelated
frarnes,alleaslthe szstframcofa.soqucrl
ce willbecome
whatisreferred to as akcyframe and in tbecaseofllig,
b
movementvideo otl
x rframeswithinthcsequencemayalso
becomekey framms.a.
sdiscussod l
wrtinafter.

1*43) Wl
ziletbeabovesyst
cm isprovidedloilltzstrate
oacmanueriowlzichlheadvantagesofthepresentinveution (00471 FIGS.2q1)-(2)illuslratcthemannerinwhicbdata
descnw .
d berein can be used, tlis is exemplary. I7or
CXaITIPlcoacbofthediflerenlcomputlrdcvices120atld140
could bo implonzented as a sagle connputcrand dcvices

o+erlhanconzputeo lhatcontazpnyxv o lhatareablco

implemenlthe irlvtnti
oas descri
'lxd htre.
in czn be ttsed
iastead.Many ether variants are pcex
sible.And wble a
device sucbas mentionrd willyypically iacl
udcaprocessor
ofrome type,such asan IntelPcatium 4 microprocessoror

a DSP inconjuncti
onwilh program instructiorkslhatarc

writlrnbasedum nlheteacbingsberein'otherhardwarctbai
implemontstbepresenlinvenlion c'
an also beused'sucbas
anfkcldprogrammablcgatoarray.'
l'
lm program izzstnzctions
are prcferably written irk C++ or som oier computtr
program mirlglanguage.ForreG titiveroutinesthalareused
repoatetliystlzore can bc wriumn in arxx mbler for fasler

ism sitionedintoaframcblock230.Dataforawholeframe
is thus parlilionod to be placed into frame blocks tbal
lyPicallycao cacbbold uao saaloaaaounlofdata.
(t)1481 FIG. 2C1 illustrates a fraaw block ltlatcontaios
datz lhalisnoltcmporally related. Asshown in tis parlictzlarexample.thedalaisforcoed of16bitwor
' ds,andthe
variouswordsareposjtkoned starting attbeupperleflhantl
corneroftbeframeblock 230acd inserteduutilcompleted,
witheachdotinFIG. 2C1represenlingasinglebitm sition
wherestoragcLsavailablc.llluslratod inthisFigureisthat
forbitpositiorlsatthettld ofa frametbatdo notcontain
data. illustrated as underlinr.d bi! positions, tbe prosent
inventionwillpreferablypadtbe.sepositions aswellasany
olhcrcmply bitpositioas vvith abitlevcl0'valuc.
'

processing.Asmontionr,
dabove.!beproxntinventionofp
er- (0049) FIG.2(72illtuslrate.
safratneblock thalcontains
atr.
s upon data prcferably forlm tted inlo a matrix array
wibinaframe asdcscri
'
bedfurtherbeminafter.Fordalathat
ksnottemporally relaled,tbcblocksc&abeformaued into
fram es tbatmayormay notlzavttheabilily to stored lhe
samc amountofdata.Fordata tbatks t
eporally related

dataconlziaing image data wizich may 6epm ofa frame

thattemporallyrelales lo notl
zerframe butmay notbe as
well.Asshown in th1,
;particularexample,lbedztais24 bit
RGB tlata and tbus 24 bitspcrpixel.Ofcourw;e thisdata
formatisprovided purely forreproscnlativepurpcv s,and

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 2 of 88

US 2003/0081685 Al

M ay 1,2 3
6

Otherdata form ats and typo ofimage data are applicable.

Dataxprexntativeofeactlbitposili
oaispreferablyplaced
W ithintheframeblockitlaposition tbatcorresponclsto tl)e
Pixel posilion of lhe retl
dered porti
ona altbough other

O-fram evallbough11:u:largelO -framewillbe representcdas

an R-frame.tbe targetO.frame,with tbe originalO-fTame
dalamwillbeused aslhe ncw EeferenceO -frnm eto obtain
scarchblockstba:aretbentakeoandcomparcdwitbthenex!

K hcraescaoofcoursebelboughtu.EachdolinFIG.2C2

oradjacentO-frame,whicbwilltbcnbecomethenew tarret

E*50) Fora framcblock lbatcoutainsdatacoutaining

pattem recognjtjon rcsultsyand a linkcd lLStcanthusbe'

again reprex nts a single bil m sltion where slorage is

availablc.

audio data. as m enlioned abov'cp tbis data is prt:ferably

zrlcdloacolorspace.sucb asRGB dala,arld c;m tbus
convt
berrpresentedintbesamem alm erastbcimagedala'shown
irjFIG .ZC2.Ofcourse'otherdataformatscanbeuscd.Data
re4
7rescntativo of each bitposition is Preferably placed
wtllin tht:franm block in aposition thatcorrespontis l
c'
trlporally to tbc otherdata reprex ntingotherportionsoftbe
sarnc audiostrea ,altboughotherschemescaoofcoursebe
lhoughtup

O-frame.By tbus detectingpatlerns thatexistwillin adlacentframe.

s and, m thccaseofframeswlth movomenttbe
movcmer)tdiroctionofpalterastlatrxistwithinlhe frames

created w uc?jrcfjocs these paltem s. 11 is noted bowtver,

thatalthough11inthe preferred emboduneu!the'
uew referencc O- fram e and the new targelO-frame window rach
Other sllch tbal both movo other em bodilnonts can 11s0
ftXsts',suchzshaving11
x:fltialO-frametemaia1hcrefer-

CIK;C o- fraa)ey and eacb of a subsequen! plurality of

0 -framt:sbejngconsecutive targetO-fram es,lhatthesame
reforcnco O-framecomparesto judjvidually.

(Y 51) Havingdescri
bedlhemanneril
zwlaicbdatalbatis

(0054) FIG.3illustralesinfurtlerdetailfourrepcexutativefract
m bl
ocks230 withina represeot
ativeO-frameof

andllereinafl
cr,ofthetargctframe.Matchesaroprefcrably

certainoflllesknift
cauladvantagesoftlzepresenlinvention

lo be operat
e.
d isinitialym siti
onedwltllin frames ax
spects
oftbe preseutirtverllion tialallow fortbe recognitieuof
patlemstha.tcxistlxtwetuframesw111tlow bedesctibed.In
particuhr.btfort providing a.moredelailed descriptioaof
(heopcl-ationoflbepattcrnrecognitiousystem accordingto
thc presenlinvention ccrtain aspecls oftlle searching arld
patlern recognition strategies,wbich a:e individually and
togethrr patentably signilicant,*411bc discvssed.As bas.
bceumentioned.lhepresentinventi
onoperatesupondalaat
abil-level.Search blocksofdatain areference framc aro
eacllcomparedwilhvariousblocks.asdescribedprcviotusly
detcnnined, al 1he bitlevel,although tllcy can also be
dctcnuined atrrmlli-bit.byte,and multi-bytc lcvclsaswcll.
Determ iaingmatche.sisbase.duponpatternm atchingopera-

dataand a representative searchblock 310 thalis dehned

therein.Asdiwatssedpreviouslyxofwhalevcrtypc.isprefcrably formattedisto frauw s220lhaleachcontaioamatrix
array of data W hile lba!data may bc unrelated. either
temporally or otbcrwisc, and thus fonnatted into framc
blocksofdata ofany size frame blocl;s230 tbalhavethe
ability to slore an equalam ountofdala lend themselves
moro easily to fasterprocer ing. In thc discuuion ofthc
invenlioalilatfollows, howcver,aparticularcxamplcintbe
contcxtofavideo, thatcontainsframr
.softemporallyrelate.
d
dataa and variotls dala lypes w ithirteach frameyso that
can lyedrscribed &nd thusunderstood. Thus a video w ill
containavideoxream , wilhsoqucncrsofframms.Sincetbe
im agedalaand audio datacorzespondingto the im age must

tiolw thatcompare arepresentative search bl

ock ofbits

bekej)ttogetbcriupropersequenceandsynchronism>aswas

wilhin the reference frame to varioaspositionswitllin the

mestlotmdabove asingleframccanstorcbothIypesofdata.

t
argelframe,using a combination of vcrt
icak lzorizoatal,
diagonaland rotationalsearchtechniqucs.preferablyoperating ia parallrland using diffemntthreads as descri
bed
bereinafter.

In such acase tacb O-frame willinitially have asizethat

corresponds to' lhe combinalion of tllc numbcr of bits

required to reproduce tht visualimagt and lbe numbe;
rof
bjtsrequired loreproduce thc.correspontlirtg audio.

(*52) Forpul
w sesofdescription,ti
leoriginalframesof 1#:55) FIG.3 also illuslratesgentrally lbattle search
datawillthereferrodto asoriginalfnmes,orO-frart
les,and
tbose fzames in whicllthe data needed lo represem lhat
framehasbecnrcduce.dislessinovcrallsizeduetopatterus

block310basasmallersizelhanthefrzmeblock230.W hile
thesi
zeoflhcstarchblock310canvaryindependcnceul
yon
tlx sizeoflbe O-frame aswcllastl
x particularpt
m ion of

being found willtye rofcrrcd to as reduced> or R.framcs.

n us.tbetargetO-frame afterpatterlzmatehing opcrations

a givotj framc being operatecl upoup prefemble sizcs of

searchblockslhatbavetxendeterm inedtobeadvanlageous

asdescn'
bedhcreinar'
tmrformcd willlxcomeareducedor
R-frame,sincc the repfesentalion of the dala within thal
frame will,n mostinstances,be reduced from il.
s original

forvari
ousframrsizesareprovidedbelow inTable1.

rorm.If no!reducod,itW II contintto to bc an origjnal

O-frameywitb thedata(kscribingtbatframeidtnticaltolm
data that exkslcd prior to any of tht pattern m atching
operatioastakingphce.SuchanoriginalO-framctbatisnot
redutxd is also referred t
o as a key frame imrein.'
T'
bl
zs
according to a proferred embodimen!of!be iuventkon an'
initialO-framc is usetlasa rcfcrcnct framc.from wbich

s
arch blocks are taken and compared with arladjacent
tt
argetO-frpme.'
flm ZitialO-framewillretain ils original
dalain ilsoriginalform.
NeurgetO-framewilllikely
' and t
bedescribablcwitbaredu
ccd(jataxt,orR-frame.

TABI.E y

Frimetype

Sealc.
bblock

m.yux.k
32x 32bylr:ssea.
'rztlx<% byzsvi* pame az4x64byttsscarcilbloc.k
1
*40x96nbyzsvi
deofrazoe 128
x12:by:tsKrarcdblca
xudioblx u
sx8byesse-arc.i,ux k
32t1x 240byttsvG ctLeem.r

(0056) As willbc desc-ribed furtber bereinafzr wilbin

'
sequencessuc.
bas210A-210D asslmwninFIG.2B1,thcrc
Wi
xistframcs220 lhalwillneedto beom raledupon to
d llC'
elcrminc iflbcrrare pall
emstilatexistwitbin the frames

(* 53) Inoperation,iaa prderred embodimentand as 220.Todollaisasearcbblockisused.n esearcbblocksizey

descn-bed hereiqafter oace thc initialreference O-frame
completesit
s patzalmatching operations with the target

once del
ermioetlwiB lypically remain the ruame forframe
blocks230lbatconlait
zthesame tylx ofdata.n us,while

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 3 of 88

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the sams scarcb block can be uscd to search framestha:

dat
a andaudzodata
contaln frameblockswitl)bolNimage
.
ilhasbeen found advantageouslouseadctenninetlscarch

diagonalluovemenldirccliouofibeR arch block410 within

aLargclframe.Jtssbowu,startingfrom tlk
e search area41fj
oftbelargetframe tlm searchblock:510 tben movesdown

blocksizeswhenscarching frameblocksthatcontainimage
data,andanoherdetermined searcllblocksizewht
znsearching frameblockslhatcontain imagedata.-l1m immcdiatdy

orac:ossforthcrespccti
vevcrticalorborizontalmovement
di
rectioqs prcferablyoncbiti!all
m columnorrow'df
recli
os
at a ttme for tbe corresponding vefli
cal and horizontal

pxtxding and Aubsequcntframe-s relative lo ttlatstqueuce

naay be related in tne and content as notod ahlve but

movetnentdircdiorzs respeu ively,and forthe 45 dogrce

diagooalsbovacitB4D preferably naovc across ooe bitand

dotermincdtotx unrclat
ed howevcrforpurposesofpattern

downonebitwhi
chcanbcrcftrredtoas(11)diagonal

recogniti
onaccording l
o thepresenlinvcntton.Forcxamplc

movement.Diagonalmovmcnlscorresponding lo various

as'
ubsequenyframe aflerthesequenceofframesmay be otllerangl
escanbeachievedusi
ng,forexample(12) (13)
dctcrmined to bc ati
ew koy fralnepsinls
e ilwillnotbe (1.4)...(1n)movementsaswellas(2 1),(3,1)(4 1)...
reduczd due to tbe paucrn recognition (lescribed l
mreirl. (n 1) movements.h.
% al
so showu by tLe wrap-around

Suchauew keyframe maybavcasearctlbtockofadifercnt

sizcthan thc s:quencc ofpreviot
tsframtstbatwtrcdeteruaintd tobe R-frames asMdE beconaeapparentherelaher
allhough fordatawitltia temporally related frames tbis is

arrows al of.tix various pixelpositions witkl

in venical
horizontalanddiagona.
ldirectionscanbeseqrcbed althougb
asdoscribed furtherhereinafter aIlsucbsearchag naay be
ttk
m ecersary and t
husnottake place

typfcallynotthccase.
(*571 FIG.3 also shows arrows corrospondiog lo tho

(00601 whenthesearchwindow 310isappliedtoasearch

arca41Qlbatisatanedgeofamaslerblock lheadjacent

o
lirear
e
ncrtcbOfr
amc
balv
dadesc
tawi
ineher
achep
orfti
np
tto
scd
sef
aer
sca
bl
oc
k.wi
A,.
ll
wi
le
be
rt
ih
bcd
fna
to
er

p:6
) iAt
ese'bi
ifltho movementoflhe search bl
ock
wind1
ow
sae
sd
ig
ngl

modcco processols,whicb havetheabilily tooperat

eusing
tnulliplotbreads>arepreferablyconfigtlretlsothatdilereot

searchwindow willtbengo I
.
otl
zeoppositesideofthcframe
22:'1'auJbegnanothercofnparison. Ifyhowever.tbe search

vertkal320 and borizontal330,dire-ctions.ThisLsinttnded

t
o show thalwithi
n agiveu reference O-frames tbc searcb
w indow willbemoved acrce.sframc blocks330so thatthe

mastrrblock pi
xeldata i
susr
-d,and,once altbe edge ofa
frlmeptbefurtherSearcbing asaresultofthewrap around
js Peryormetj.
,

atthccdgooflhe ffame 220% the

lhreads cansimultaneously bcproccssing citherdiFerent biock window jumpsmultiplcbilsy atedgesoftheframe

searcllblocks,oriudiflkrentdiroctioas.asdescribed horeinaher.W ithrmspcctlo l
he;mannerinwhicbdillrrntRarch
blocltsaresdcclod.lhescaz'cb bloakispreferably col'ed a
single bilpositiou so titatoverlappiug windowsofstarcb
blocks extstyalthough movrl
uenls of 2, 4,8 or grealer

numl
x rofbi
ts a.
swellasbyteand multi-byte movcmcnls,

wbichprovideforlerx
sorevenaooverlapofselectedsearch

blocks'can beused.n e singlebitm sition movementwill

thusensuretbatalIblocksalong asame borizontallevelare
searched'aad !he search block window can then lv irxlepcndently movedvertically downward'witb anotbcrsetof
searchcsthus taking place along thatnew l
zori
zonlallevel.
Ofcourse.otbermannersofselccting lhe orderinwbicil
searcbblocksarecbosencanbe used'

((*5:1 M showninFIG.4,wbenaparticularxarcbblock

310 from arderence O-frame2Z.

OR i
s applie.
d to &urget

22:-1'Jatawillbeuaavailableto fillthesearch area410.In

such'
cascs' lhatdal
a within tbcsearcb area 410 ispadded
wvjlh bnzosv ar'
z
x'
l1)
7a oztrrzspondiug bi1posilfor)
s within !hr
searcbblock310are padded with zeros, so thattbe sizeof
tl
w searchblockwindow 311)andtbesizeofthesearchbl
ock
arca410 need nolchange.
(00621 FIG. 5illuslratesaooxemplaryinitialsearcbblock
310ofarcferenceO-fram eframeblock230R ofareference
O- ffame220)1applicdlo aninjlia)x arcb area410 wlhfn a
targct O-frame frame block D OT.n is particular Karcb
block310 isillustratcd asabiockof24x24bil
s which sizc
ofwindow isusedonly forpurposesofunderst'
aading.n e
searcbw indow 310isshowaa1threeconse tivehorizontal
dircctionsearcharcas,410 412 and414,w itbtbeupperleft

haudbilpositioa,wlzicbc&nl>eusedloidenlifylhexarch

window locati
ononthe largetO-framc220 l
xingpositions

O-fr&me22.
01,thcsearchblock310isinitiallyappl
iedata (36.
24) (37,24),and (M 24) res%ctively.Similarsuch
searclzblock aroa 410 within the frzmo block 2301 oftbe search areasareobtained fortbehorizontaldirection m ovetargetO-frame22A tbatcorrea
spoodslo thesameposition ments,such as from tlw (36J4)m sition t
o the (36,
25)
withintbeframeblock 230R aftbesamepositionwilhintho

posilion anddiagonaldirectiorlmovomcnl
s such asthc1-1

referenceR-frame22()R.Atth1initialmsition abinarybit movcmenlfzom tl

x (36,
24)&sitiontotl
x (3725)position.
ecmpdrislm,tzsiuganAllllepcralitm forlorssle.
'
ksconmtes- (()(M3j ncs.<A-6D fllustratosexcmplalyrotatfonalpatsiolk and otboroperations as descn'
bed hzrtberberein for
louy operalion,iqperformed :.1the bitlevelbetween the

terrlscarching forapatleruasshowninH G . 6A andatlbe

90 180and2770degxepositioas, a
ssbowninRJS.6B-6D,

d
atathatisatthaltimewnilh
inlbescebar
chbkloc
k310N'X'
Ithc yoiectivcly.T(
)erolatioualpall
ernseafchingbasedonkhese
correslxmdiagdal.withi
thcscal'
blcx;
area410 ofthei Principuscan bc implementetl such thatrotationspatdiftargelO-framc23$)3-asdeascribcdfurtberbereinaflcr.Once
tllatinitialcopartson Lscomplete,the se-arch block310 is
lbenmovedinvariotusothermovementdircctionswilbintbe

frame2211R.
*includingvertical420'horizoutal430,diagona!

449,and rotalionaldircctions,as desccibed herein,and at

mach sucb positioll along a moveamnldirection'another
comprison atthebitlcvelofthe dau witl
zin tbe rearch
' window t'
akesplace.

ferout w sitions obuine.tl using sitifting operatioM as

descrjbed jlcren as well' detoct wolaliozlalsbifts in l)ri
em .
Palt
((*64) FIGS. 7A-7D illtkstrate dala and headers tllatare
use;d in oblaining the palteru recognilon according lo the
prtscnt ioventionT and the resulting dau formal' wlch
r
sulling dataformatcan tbenlx:funhcrcompressed.This
dral
a and htadcrs will bt ux d wheu explaining how thc

(*59) FIG.4alw illuslratesproferredvert

icalmovement iuveotion isimplementcd lo obtain pattern matching,iu
and horizontalmovcmcn!directions and onc prefermd

conjunetionwiththeflowchartofFIGS.8A-C

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 4 of 88

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8
(* 651 FIGS. 8A-C llitkstraleaflowchartofapreferred

cxists foreachdiffercnttype ofIhread.Forinstance> a

(* 66) n coverallcomprrssioatargetrali
o Lt;adesired

blockaftcrjjeprrviouslyusedwarchblocklasfini
sbedi!s

ernbodtoeotoftheinvention.Asulustratcclinstep10. initial
conditioasareset.Thoscirkitialconditionsincludcllleovcrallcompressi
on urgetratio, apredelesmi
sed coulllvalue.
defaultsearci
) block sizes,a lorx
sy pclcerltage if Ioasy
CompressiOI;isinvolvedp adefaultpatternJirection.vertical
aud borizontalsearch block traversalollsels both antlverticalandborizontallargetsearcharcasoffscts.Eacboflhcse
Willbccliscusscdnow insomcdeuil.
overallcofnprc% ioooftht.targctframc.'I-itisOverallcompreu ion includesthatcomprerusitm obtzinedbytbepallern
recognition according !
43 tbt PfeRntirlvfntiotlxbu1 also
inlude.
sfurtbercomprei
% ionoperatioO lhalare inlended to
takoplacc,whichfurlhercompressionoperalionsareoul
side
lhescopeoflhepresentinvtntion.ln certancircumstar
xxs.
ascxplained bereinaher,ifalargernumberofpaltrrns afc.
recognized, tlw palters recognitiondescribed bercinwillbe
stopped and tl
x furtbercompressiou operatioasmentioued
abovoarc instead usedfora1Icomprmssion.Forexample.in

ascquenccofframoswitikinamovie.iftwoadjacenlfracs
ttolallyblackimages(forirlstanceasapreculsorlo
contair
tl
w inoductorycredits),theovcrallcocapressiontargetratio
w ill bc exceedetlbecamse tbese lwo imagcs am in fact

idcntical.
(1
*57: n e predelermined countvalue Lsused by the

Prew nt ioveption to terminate tbrcads that are shifting

searcl
zbl
oc.
lus in a particulardirection aad are nc'llinding
malches.In particul
ar,afttrsomc minimum rearcl)areaof
tlm referonoe block has beeo searched. for inslance 20
percent,ittsh'kely lbatsomem atcbeslxtweeo thesearcb
bloclcswithinlhat20percentareaofthereferenceframew ill
uavcfoundsomcnumberofmatcheswitbinllm targetfram e.
Thus'tlzepredetcnnioedcotmtvalue caulx used tox ttllis
count.W hilethiscountcouldbesetto zerovitcxmldalsobe
s.
51losomo biglzerintegernumber.

difereolcombinalionofsearchblocktraversaloEsc.tscanbe
used forcach Jilfertuthorizoatal vertical. diagotlal.atld
routl
ooalsearcb.Also,differentsearcbblocklravcrsalotll
setscanbt u.
sedwbrnscarchingdiokronllypesofiaformatloflwithlndiFeren:framcblocks> sucblsvidcointofm alion
within cerlain fram eblocks and audio infoanation wlthin
otherframeblocks.n eoEsotsset,witbbotbhorizostalaod
verticalcompolwnls,willdclcrmine t
beshiftingpropession
withintherefcrcrmcframcthatLsusedtoobtainanew search

comparisonsofthe;targctfram e.Variousprogrtssionscaabc
ttrr(j> w ith tho progrcssion preferably irlcluding tbe maxim um numbtrof(k'akxntscarcllblocks, cofrlsjxm ding lo
tachofthevadotlsjxl
ssiblc jxjsitioilswithinthc rcferencc
framt.suchlhatlkle.ji
kcli
jjoodofmatchesbeingfouridwilh
ltletargetframeisincroasccl.Tlm s,lhesearchblocktlaversal
OEscts willdctcrmi:le tlw location w itbirlthe reference
fraIne of. and tj:us tjw conlcntsof, tl)e nexlsearch block
witbin tlzc rcference frame afterthe pxviousxarch block
sonoperationsw ith tbetargetfram e.
lias perform ed compari

n emovemtatoflllesearcbblock baseduponthesearch
bjock traversaloFsets can be bit'
,mdlli-bit
s, a byte, or
yytes,asuwntiol
'
wdpreviously.
multi
-t

(00721 TbeIargetsearcbareaoo'
setsal
soneedtobcsetin
amannersim ilarto thtsearch block trw trsalotscl.s n e
urgotsearchareatraversajogsej
s(jezrrnuotjloamouottbat
aparticularsearclablock Lsmovea w itjjirltlx largotframe
afte;rperformingacomparisonolx ratjockoftjw soarcbblock
wilhaparticularsearcbblockareaatthelargetframe.n us
f
jj takeu'
oroxamfrle,aftoranioi
tialcomparisonoperatioo ars
p
l
a
c
e
u
s
mg
a
t
b
r
o
a
d
e
l
a
l
i
s
o
>
r
a
t
i
n
g
i
n
a
h
o jzontaj
direct*ion,the horizontaloFsetwilldetcrm ine the amount
thatt
hescarc,
b blockwillt)esjjjjutjw jtgjstbe(argetframe
so tbatllzenexlcomparison operation can takeplace.n al
same searcb block, afterbaving been shiftcd witbia tbe
targctfratrlew luata1lcomparisonoperatiomsatagivcnrow

(1+ 8) Thedefaullrearchblock sizesvalueprovi

des a hvflaktnplace,willblshifl
rd i!l&columndirection as
value foradefaultsearchblock sivn.Ifw ithin a particular
framem orethanonesoarch blocksi
zeisused,forinstance
b
uscontaining vidoo
'
oncsearchbl
ocksizr fortheframc locl
informati
on and anotlxr search block for frame blocks
containing Audioiaformalion, thcnacommcnsuratentlmbr
ofsearcbblock sizesaredcfned.

delermined by the colum n oFset.n ereafter>subsequenl

nmvernent
s&rethesearchblockwitbinlbelargetframtwill
take Place bued upon the bori
zontalol
lsetsasdescnlxd
alxwc.R'
lm shifting oflhe searcN blockvbased upon tbe
tzrgclKarch area oflkts,canbcbit. amlti-bits> a byle,or
multi-byt
es,asruenlioned previously.

( 69J Ashas bcen noted l

zereproviouslyptbepresent (0073) Afte'rbavingselthesoiuitialconditionspoecration
inV@nlion can tye operation in both aItxssle.ssm ode and a

tbln follows lo sttp 12>asdescribed hereinafter.

lor
ssy mcde.Whenopcratiagiu:lossymodt.tbepmrent (* 74) lI1Mcp12,l.f1hishasnolb=npreviotuslydone,the
invention allows tbesettingofalossy perccnbagelo determine the amountof 1$:e.s lbatcan be tolerated within tbe
Patternrtcogtlition operationsasdcscn-bed bcrein.Accordingly,thel
orssypercentagecanbesetasan icdtialcondition,

originalfraums arefonzn tted into fraam bloc!ls anda ftrst

f
'
dramc Lstlesiguated arefcreax frame'and a ntxtframeLs
csignated astlm targetframe.

so thatwhentbcsearchblt
xk ismakm
'gitscomparisons ylnsj Instep14yapredictorLhread Lsstartotltl
atwil1
upon thesearcbblock areaofthotargelframe artlatcbcan
bt idcutifie.
d iflhcnumberofbitswitbin tl
zc searci
zbiock
areathalare t
hcsame rezcbc;
sI
helouypercentage.

((m 0) Tlledefaultpalterl
zdiroctioninitialcondilionis=:
inllzedirruionthalw111beusetllo lravelsclbetArgetframe
absentthepredictorlhread determ ininglhal1dpatterndirectionotbertNarlti
x defaultpallerndirectiooshould I
x msed
rortbe Erstthread.

analyze the original frarnes. Such original frames as

dmscredpreviotksly.W benuse.dwillltlx prev ntiovenlioo,
in additi
on lo lie framc data,headerinformalion w111be
ackledduring procrrxsing.somoofwbieb ism aiutaicledand
willevent
uallytecoam encodeda w llile olberbeaderinfor- u
mation is ltmporarily used and lben dtscarded,aswillbo
a
pparel
g frornthe scriptionprovidedbcrrin.Asillustratcd
in
FIG.1h,in Addilion to tbr fram:dataassociatcd wilh
each fraa)e aroferencc frame numbororframoID wil be

(*71.
) searchblock traversalosetsare al
sosetasan

st
oredsothatminlerswhhinolherframescanreforeucetb.
i
s

inialcondition.ilispreferabletbalacornbinationofotsets

frame apointerlo whorethe ocxtframewillbeIocated in

'

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M ay 1,2003
9

mcmory(l.e.lhcframeID oftbcnexlfranle)andtlleframe

blocksizevvcrticalandhorizontalsearcbblocktravclsaland

matrix atray as prcviously describcd.In pani

culaq tbe

(0079) Slep 74 initiales lbis firsl thread,and step 26

quonturgelfrauw forsocaeIkniledarcasoftheseframes.In

I
yaoslq Asshown in step26,asearchblock countcris

size willbe addtd and associatc.d witb lbe frame tlata for
eacb frame T'
tm frame data Lspreerably fonnatted into a

Prcdiclorlhread willmakesomc uulnberofcomllarisons,

sucb as20 between tbe initlalrcference frame tbt subse-

targe!scarcbarcoffsets'andaprtldicledmovemeotdirecliou
fortbattbrcad

fottows.

Particular.cornparisonswilltakeplacobasedupoudiFcrcnt
Poruonsofthe referonccframe and operaz usog dillkrent
sizesearcbblocks.Tbesize oftbeksoarcbblocltscanvary
considerably,with a range ofdi/ereotsizes lbatspatlthe
raugeofpotentialporx
si
bililies.from 8x8 bytesto 128x128
byl
csand Iarger,depooding upon tl)o sizeofthe frame.In
entral,theIargertbcframe,lhe;largortbcscarchblocksizzs
tbatrouxd.Asarcsult.ti
lcprcdictortbreadc&ndet
ennine
apreferrodmovementdirectionofan inklialsearcbblockxa
Predict
cdsearchblock sizclbalsbouldlx ured,audamatch

initiallzed. n issearc.bblock couateris ttsed to detecttNe

rlumbcrofmatcb inslaucesbetween asearchblock and tbe
corrcspondiug searcb block artaswilhin tbt targetframe
thatarccompamd. Asthenumlxrofcompazisonstbatukc
Placc I
yolwtcn a scarch block and acorresponding search
block areaareknown,araliooflbecountfrom realcbbiock
counrorwith rcspectto the numberof comparisons madc
odi
catms of tbe pcrcestage of matcbes that llave l
x en
obtained.

parisoastbaltookplacc.

26' stcp:?.g fonowsand asearchblock isobtained from an

iflltlalposition ofthe refererlceframe.'Ihereafter slep 32

jxrcentageindicatingwhetbcrmatcbesoccurrediotbecom- (00S11 Afterinitializin: tl

zesearclibl
ockcountcrinstep
( 761 Accordinglyatslep 16.thePredictortllreadwill
bave aualyzed atIeasta firsltargetframe so thaltNreads
relatingto cempartsousbetweeutheinitialreferenceframe
and a substqucnttargltframt can lake placx..W'hile 1he
prediclorlhreadw111continuewithothcrsubsequcnlframes,
tllc search comparison operatlons will then lake place
bdwrcqIbeinitialreferencsframeand lbesubsequentlarget
frame.11istmderstood the Predicto:lbrttad willcontinue

otlowsaadtttesearclblockobtainedfroultlzoiniti
alsearch

pOsilj
on iscompared againstthc initialsearcl
zarea in tlle
targctpamcto determincifa matcbexistsusing tlm AND
olyeraton for lorxsle;
ss comparisons,and tl
m AI
Nr , OR,
multiply dlvidcandotheroperalioasforparpckse.sofdetttr,
satcllesflossycompariso% are being performed,
m izjiog I
ed abovc.
asnot

runningiflParalle1witholherthrcadstbatarcti
mnaddcd.as (00821 Depeading upon tht type ofcompari
son lhalis
described i
mreinafter.
g(*774 Asindtoat.dabove,tbepretlictottureadwillobtaiu
apredidodmovementdirectiooaswellasapredicledsearch
blocksize.Tbeseareusedto initiatetheseltingsfoItbelirst
tbread ltlatis sct for oomparisons betweeo lhe refercnce
framc arsd the large! f
n me.Furthermore. the predictor
tlwez.
d a1<1obtal!
ls a Ktatch peictlltage baRd upoa thc
searchsamplesthatwereobtained.'
fhus.fbrexample,if20
dilrerentsa plesfrom thereferenceframtwerematchocl(
o
1hetargotframe,prtfcrablyatlocationscorrespondiagto the
spcca'tic arems ofthe rcferencc framc antlsome boundary

arouudtlloseareaslot'tbecntiretargtframe).anumberof

predictive matche.
s can be delermined.'
Fypically,if lhal
numlxrofprcdictivc matche.sislow,itisIike;
lythatthel'
e
will sot be a large cofrrsponding numbir of matches
b
etwern lh twr
o frames.In conlrast,*
1
f thalJmrcenlagt is
bi
gll.such as14 outof20 ofthe sam plcs matchingpthan
Qmm is a much bigher probability lhere V II bc m any
dt
xerenlmatching arrasbetween thefraes.Intbisregard,

whcn th: dat

a G ing Rnalymd in tIIC IW<) frames is a
soquoucoofvidco information,alow numlxrofpredictive
matchms w ggests a bigb m otiou sequence, aud a high
numtmr of predictive mat
che.s suggests a low moton

taking place> aswcllaswholheramatchisfound' step34J'

:54:,hor3ze
4cn$
1
1
low.InMep MJ,iftheRarch block
tv
ic
a1
)fol

matc es
i
tldicating tbata11tbebilsaretbcsearcil
block were fouot,jwjthip tlw x rrespordi
ng searcb bl
ock
f
t
l
x
u
area o
rgotframo.tlw n 1he searcb block couuteris
incremented indicatiug tbatan identicalInatcb took plac.c
ant!aunk js'cm atcd showing tborclationsbip behveen he
searcjuockasdthereferencefrmeintbeseazcbblock area
Ojttjetargetframe. Ifyhoweverpa lossy comparison operatkonisIxrmitted, jjptjjesearchblockmalcbcswithtbelossy
rangc,tjlesearchblockcountortsalsoincrementedassbown
by strp .:4, aud alink iscreatedshowiag the relationsbip
be refereoceframe. in bt.
between tbe siarctjuock asu t
scafCjjbjock area oftlle (algetframe. Ifabowever,itlsfep
34c.tj
lcxarchblockdoesnotmatchwitllit
zthelor
x
syrange.
then'tjle search block areawilhin the targetframeforthat
u
c
u
l
a
par rseaw hblock ismafkedasnopauem .Accordingly,
su lx anitjsurwieutvehtouslkipbetwexutbt;soarctkblock of
tIw retecosc.cframe atldthesearcb block Areaoftbe targel
framewasfound,thisistreated asI
'
flhcrewtreIlomat
chand

1he compari
son process wijl tlwn cxmtinue between tbat

starchblockand anotberseatcbblockareawithintbcurgct
frame.

sequcncc.n cnumberorperceatageofpredi
cti
vtmatches (0083) Totbatendastep36followssothattllescarchblock
CAD bo wse.
d,as dewcibod hereinafler,to detennint tbc
Immlxrofthreadstosetinapanicularmovelxmntdiroction.
((*714) Upcm completion ofMep 16, h is dettmiaed
wlwi
lcrthe predimorlhread providod mformati
oaon the
prodicted movemenldircction and thc predicted search
bl
ock size fortbe targetframc.Ifyes,then lhe predi
cted
search block size and predkzd movementdirection are
Pxsst ontobeimved bytbtinitizltbroad ttia.lissot.Ifnot,

tbf
:iaitialtbreadtbalissclxw111usetbedefaultslarchblock
si
zc aud adefaultpredicle.
d movemcn!direction.Slep 20
followsand t
hc firstthread is set.also Ktting the search

cantraversethomrgetframe,andlbesearcb blt
x kissbifted
to the nextsearch position witbin tbe targetframc.'
rbb is
doueusingtlm targptsearchareaief
l
s
e
t
s
t
b
a
t
h
a
v
c
me
n
tiooed
previously.n ms,forcxample, fthe nitiallhread ksse!to

searchinahorizootajdireclioo,audthc.cnd ofarow within

a horizonuldjrectjoa is rl
o:reacbed,sl
x:
n tlw horizontal
targetsearcb area oKsetwijlbe used to tnovetj,
e searcb

jtion

blockto1henoxtadjaceutpos withintbourgetframe.
(00841 Thereaherst
ep38follows,wblcllstepuse,dagain,
dependingupon (helypcofmalchthalisfoundandtbetype
ofmatchingopcrationthzltspcrmiltcd.If lbtscarchblock

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 6 of 88

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<w

US 2003/0081685 A l

M ay 1,2 3
10

matcbesidcntical. theo step 38J w il.lincremcntthe scarcb

block couuler, an d cieate a liak sbowing tbe relatloashp
belwocu tbe searcb block and the refcrence fram c in tllc
K aX hblockareaoftbetargctframc.Ifp boweverplhesearch
block malchtsvzilbalb:lossyrange and IossZ ptnnincd

corrcspondlng to lhc Iocatioaswherclbe largelsearch area

is nol tillcd by lbc target fzamc.Accxlrdinglyp m sucb
circumstauces,:bcsearcbblock isalsopaddedwith zr.rosso
tbatlhcsearch block iscompared againstacerresponding
largetseafchareaoflbe Same sizc.

tlmntlw resultsoftbiscomparistm arecompared loresults

(00891 Steps46 48and50describetlrccdifercnttypes

the.
tttlisparlicularsearcbblockareaisrecordedasbaving

(rnatche;
shavingnotbecnfound)*stcps'al'eusedtotcrminate

from tho pleviousrearclzposition as described from eilber

Mep 38b 1or38:2.In ste;p38:1.,ifthc resul? witbin tllt
currcntlossy range are cqualto orltss1haollze previous
lossy rangeobtaincd from thcpreviousscarcb block are:a>
nopaltorn.lf,bowever,tlxe resttlls writhintbecurrentlcessy
rangc are greater tban tho results from tbe previolus lossy
range,tbcn instep38b7.,Alirkk iscreated,and ttle prevous
link ijdmstroyed.n ereaftcr.wbetherstep38/,step38b1or
38:2 wasusedvstep 40 foliows.

unproduc-tive thrtacts.As dcscribed by stcp 46p after a

miciimtlm searcb area of the reference frame bas been
s
arched sucb as20 porcenlofthe searcboftbe reference
fe
ramc i*
fother directiooal tbrcads are gcnerating yields
' lhan ortqualto tlzc tbreads cormsponding to the
grcater

((*85) In step 40,thore is repeatofthe sluhing alld

directionofllistlreadptbentbisqanicularthreadandotber

and operatcd upon using tbatsamc thread.An ending

getjgl) Lastly,iftbeovoralcompressiontargctratioas

(*S6) Wbilethesbifting arl

dsearcbingoperationstakc
'placx,ithasbeenrocogai
zedtl
xatiflhrreisahirllnumber

framc issaved in itsoriginalstated bccause tbe patlern

matchingaccording1l
)cpr:sentinvcntionisnotseededand

soarcbing stops untilthe entire urgotfzame s scarcbeds

unlerxsotbtrwisotcrminated.Wbeu the entirttargetframc
bas betn seardmd> a new search block Ls oblained by
slkifting the searcb block using the searcb block lraversal
ofxls>wbichshif
li
ng repeatsuntillhethrtd terminates.11
Ls also ooted thatin. orderlo maintain Ilte search block
localion.aslartingIhosilionoKsetthatprovidesthclocatiou
oillx iuilialposilion oflbe search block in the refereoce
framcisux d.Furtber'attheeadofasearchoperationusing
apanicularsearchblock thcnoxtsearchblock is obtained
'

ofszpstbatartuR>dtolecm inateaparticulartbreadtbathas
becn sel.Asdiscucxsecihcrtinafteq m ultiple threacls w itb
dlfferentscarcbesm llbe nm ning in parallel.In orderto
term inatecertain ofthe tbreadstbalarelx ing ttnproductive

position Iormovem entoftbe searcb blockposition within

ttm referencx h'paue,andlbusterminalionoftbcthreadawill
be obtailxd asa rcsultofaaotberthrcad being czeatod as
descn-bed hercinaft
er.

ofmalcbesthatoccur,continuing to searcb withln aframe

block,particularly iftheoFsetisasinglt-bitcolumnorbi(
row does notneed tobcperformed.Accordingly,assbown

lbread.
shaving asam ecorrespondlngdirectionalmovemont
arc lciminaled.
t;
(00901 Inasorrtewhatsimilartypcoforration.instep4 .
after llle:minimum searcb arel has been covered if all
'
threadssearchingintbesam edirectionyield le'ssthansome
p:edelermned couotvaluo whlchcounlvalue could tpe zero
or
sot
uc numberbighcr a'
s setin tbe initialconditions as
descr.
lbc.d above,the.n aI1 threads baving llzl particular
scarcb directionare term inatod.
describedabovewithrespcclcktbeinitialconditioasismet,
thc.u al!the tbread.s induding Llarcurreutthrtad is tsnniualed. w ith respectto step 50,ifstep 50 results then tbe
target frame is saved in its original state and st
ep 62
descri
bed btreinafter foll
ows.hs notcd above the target
subsequentcompression routiues oulskle the scom oftbe
prcscnlitwenlioncan beused.

irlstep42 ifauserpresctnuml
xrofidenti
calmatchesocc'ur

20092j Oncrthelllreadtcrminatesasdcscribe.
dbystep40

movedtoaninitialpysilioaofanextframeblockwithinthe

blocksthatmalch.n isisillustratedbyF'IGS.78 and71)

searcbing furtberwithin that

kparticularframeblock.tho

reduced frame serve a purpose with resrctto these

blockwithintl
rurgetblock.Ifmatcbesoccuriaeachfipsl

mati
ontbatwillbeulat
edanduse.
ddursugtheoperalions

tbcinitialpasitioasoftbeseadjaoentframeblockswillalso

r
e.
fcrerjceorkeyframe Dd thepoiuterto the reduce.d R
framc Can 1Fe :ddc.d KS thtkr I0CI1iODS arl detsrrflilmdy

wilbinagivenfrallw block tbeallencxtshiftofthesearch

blockvinslcad ofbeing dttcrmined by the o/sets,wi11be

targetframe.Iftbatmitialpositi
onofttle.nextframeblock
witttin the targetfrnmetlw uproduces a match,instead of
m ovemeut can be repoate.d to tbe subxquont noxt fram e

positionofma.
cbframcblock,*1,
4indicatt.
wtoahl
'
ghdcgree
oeruinty,thatalloftheconu ponding bitpositioasbetween
bem1.tclms.

(1*872 Stps 44 through 50 dewril

xd bereinaftcftakt

phcr whiletbeslliftingaudsearchingoperationsaretaldng
place.Nooetbeleas> they are sel fortb bere for ease of
disczlrsion,tbougbitisrlotc.
dthzttl
xscsteps,orothersteps
discttri
scdhrrein,oeed nolIakeplaceioth1 describedordcr
posilion.
(*88) Asselforth, in step 44.ifthesbiflofthe largct

searchartainthetargetframeisattl
x odgesoftheurgel
frameaad isgreatertban asingle-bilposition (sincrno
overlapwilloccurifllm shifting isonly Asinglebitrow or
singlebilcolumn),thentbetargetsearchzreaoflhctargel
(rame wi
llhave empt
y bilpositous in lhose ltxalions

'

above slcp52w111follow anddatafzom thethread Lsw ritteu

tothefkle prefefablyasalinked Estincludinglhocompared

tbatflluslratc the reduced fra.

um beader,and tilo link list
blockdata. Eacboftl
wi
denl
itied portioasofthedataforlhek
de-w ribe;d oporaliotus and as(lescribod above locludo ilzfor-

dmscri
lxdlwrcin.'IhtfrnmcID istbc samcastlzerrfercnce
framenumbcrfortlcTypt O frame.'
l'btpoirjlerlo lhencxt
potenlially althe conclusion ofoperatiotl
s on subsequont
frames. n e oumbcr ofrcduccd framc blocks w'ithin the
framecanbemsedforkoeping trackofoperationsstatasvn e
blocksofdatu lbcreafterillustraled in FIGS.78 and 742
repeatforeacb frameblock witbin tbe same.with those
blocp.sincluding:

(*931 apoin
trlothenextR-framobl
ock,
.l
(xg4j zuID orreferencenumberforll)e R-framc
blockv
(00951 amat
cbtyN indicatingwhetbcrlosw
syorloss.
lrrxs malches are permitt
ed,and if lorw
sy a Ioasy

'

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 7 of 88

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M ay 1,2 3
11

Percentagc.whichcanbcbcnehcialifusedtoarx
stst (01051 IEIslep 62,afterhaving oblaiacd thc superset
inallow ingtilesystem toprocosstheslopsdcsc'ribed
bepsinnaorequickly

blocks thcdataisagain updazd prcforably in thc form of

a l1k l1lthalsbows me uaatchcs betwecu the refereuce

(0(j9i) thefraam blocksize

framcandthetargctframcwl
ichupdatcddataLssavtdtolhe
file.Tbcreaftef in step 64 thc targct framo is setaslhe
(0:97) the matched bl
ock coordinatesoftlletargcl refereacsframe'and instep66 ifanotbcrframeexi
slsttlen
frame tbe contcnts of which ave sbowu in more
'
detaililzFIG .7Caandshow botbsizeandlocationof
tlx searcbblock,aswollasllelocati
onoftbetargcl
searchareawhercamalcbisfound.Asshown'thcsde
cootdinatesare theliaked listwith!befirslsecon ,
itiotza'udi
cataudntNlocaled targetsearch areapos
,
.

>
'
*
tbeanotberframeis,,t:1astbonew targetfram esolhatsteps
20
through66can L<.repealed.'Ihcroafter'asillustratedby
step 68 if anotber fzame does notexist*
then 1hc end is
obtaiaed.Accordingly.astrtam ofdatathatincludesoriginal
framesa.
swellasrtducmdframes,asindicated in FIG.7D.

in11whereamatch(wbetherlossyorIossless)bas Wi1lresull.
occurredv for that search block wi
lhin tl
c target
frame.ThisL%then repealed foreacbsearcNblock. (01061 Withrcspccttolhe above,itisnol
ed thatmany

variauonsarepouible.Forexam ple the orderlNatthestsps

g:o9sj n ereafterjustassteps46 4: and 50descn%od

tennzating lbreax thalbadbern created,slep54 describes
tho proccss oflhread crealion.In particular,immediately

areinapleuaentedcanvary.JkLso forexample dAemanner

whichlhedataistrackedatvariouspoinsintheprocer,scan
vary andwhilealinkedlistorbinarytrecispreferablyused.

a
flcrKtlingtbtt
ilm tbrcadashasberndtscribedabovt.a otue/manrjersofst
oringtbedatacaabeimplemented.
ntxblocksearcbsizeoffretsand direction are also delcrminedfrom tbepredictivetltread asdescribedabovcanda

W107J FIG.9A illuslrale aclcxemplary paltcl

'n fora

new thread isset.W ith respectlo scltinglllLSnlw lhread a

nunaberofcousiderations aro used.In uo preferred ordcr
tbeseincludc:

scarch block which iflosslessly lnalched w illm atch to a

targoblockKaat1 ideotic=.Flfl.9B ilustratesau exonaplary targclNock thatfallwithin tbc perccntagc of1()%

(0099) tbatingeneralanew tl
x'
eadissetspacedapar: PCfmi
ttfdaWhichis90% inlhisexample.
fmm tbepreviouslysctthreadintbesaruedirection (0108) The abevedescription described both lorx
sy and
bcforesetting anotbertbread in adillkmnldirection>'

l
oasles.spattcrn recognitioolecbuiques,aadthccomparison

(01001 lbatanew threadissctcvet

y 100kilobytesof belween(l
)csearchblockaudtbesearcbareawasperformed
data.fortypcaldata althougbforhighmolionvideo
anew thread ispreferably se!evcry50 kiltlbytesof

data(thedistincti
onbel
weon 1
ow motion andbigh
moli
on video being obtainablo from thc prcdicli
ve
tllroadreferred toabovcl;
(01:1J tbalaftersettiagtllethreadscorrespondingto

the initial dircclion tbathas been searche.d based

uponapredictive thread'tlzctypicaldefaultorderof
w arching tk eads fs borizontal,verticalpdiagonal
and thenrotationa1.
and
'

(0102) lbattbe numberoftllreatlsthatartsetare

essentiallyprocesx rlimitedstlctlthatthenumlx rof
threads ry
et are limilr.
d by the constrainl
s of the
pcocossorbcingused.Tbus,.sshownbyMep 56,for
eacb additionalthread>steps22 lo 52 are ropeated.

using anAND operation.W llite forlosslesspallern recognton and AND operalionv or its Iogical oquivalentxLs

oeedcljforl
osslmsscompression,othorojxratioss,sucbas
xoR o'R subtraction,ormultiplication,m ay in factobuin
bcll
er'resu
Wl
ts
(01091 ReferdngbacktoFIG. 1 tbe above-operationsas
p
described can take placc witbin any one ofthc computtrs
189,B.
nd 'ben tberesullingstream be furtherencoded.Such
furl
her encoding can,for instance:use theimultiplo pan.
q
eacodingdoscribe.dinU.S.applicalion Ser.No.09/727,096

en(zexl.
dvcthtxlAndApparatusForEucodingInformation

Using M ultiplePasx sytnd DecodingInA singlePass,.s e.lj

oc Nov. 29 2fK0 and assigned lo tbesameasigneeasthe
' '
prescnlinvention orotlmrcncoding processes.Oncef'ully
eocoded and lben'tramsmitted to adestination dovico sucb as

(e1(B) Asshownbystep 5: witb anurnborofthreads

1becomputcr14eillustratcdinFIG.1 deccdingthatLs(be

Iq
01141 Instep60.theIinkodlis!lbalhasbeenobtaiuedas

Ez'
blOfthedctaileddcscriplioiirclatingtothe;obtainingof

searchareapositioosillustratedinFIG.7C arecollarxdlo
obtaintbesupersctblocks.n us,whiletbercmayprevaously

(0110) Allbough various preferred efnbotliments llavc

betweenlbesesmaIiblocks.alargesuperselblock(wbicb

embodiamntaropossi
blewitboutmatcriallydopartingfrom

seednotnccerxsari
lyhavetl
zcsbapeofablockcanbofouucl.

ll)c novelt
eachingsand advantagcsofthisinvontion.

havingpreviol
zslybeenrtzrminginparalld ifalllbetbreads
arc trrminated step 68 tben follows.Olhefwise,thecontinuation of tbe dilh rcntshifting,searching and lhrrad
crtationandltrmiaationom rati
onsandlw arx
socialtdsttps
asdcscribe.
d above continut.
are
toftbecomparedbloclcstbalwerefoundasmatcbes
.sul
bdwteu lhc searc: block oftlzr rcferoace bame and lhe
srarcl
zblock areaofthe argetlamc arc tbca update.
d to
obtain supersotbloclcs representing the matcbod data In
particatlar tbe filsl sscoutl,and ntlllocatexllarge:fram e
bavt been a number of dilforrut relatively small size
rrmtche-d blocp.s' to tbc extent that tber: is ac overlap

rrciprocaloftheenccxli
ngw111brMsed,and,astlm 1+ stop
ofthatdecodingprxeas,thcoriginalse(ofO-frame.
scanbc
reproduccdfrom tbecombinationofO-framosandR-framos
thatresultfrom thcusageoftheprescntinvention. througb
ungeof11
;
K:Iinked listy andpoiuzrsasdew ibed horein.In

1he linked listbaseduponrecognized pattcmsberein,lwill

btkappazmnl to one of ordiaary sltill tlzal obtaining the
originldatasetfrom tlu'qcondemsed datax tcaubereproduced by theexpansionoftbe dau using tbeoriginaldata
tbalcxistswitbinlbeO-framestbalare;relaine.tlaso -fram es.
bccnclescribed in delailaboveptboseskilltd in the artw.
111
roadily appreciatethatmanymcxlificationsoftbeexemplary

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 8 of 88

kw

US

3/0081685 A1

M ay 1,2 3
12

Iclaim :
1.A mothod ofcompxssing abil-si
ze ofapluralityof
sequenlialframe,
s oacllframe comprised ofaplurali'yof
bits tbem cthod comprising tlw Mcpsof:
comparinga pluralityofdiferet)tseaz'
cb blocksw'
ilhin a
referenceh'am eto alargelframetool4taiuaplurallyof
comparedblocks*tborefercncoframeiaitiallybcingsc:t
lo an initialframloftbtpluralityofsequentialfram cs
and thotargctfram cinitiallybeing se:lo asubsoquent
frameofllx pluralityofsequeatiall.rames'
>
usingthcpluralityofcor
nparedbl
ockslooblainareprescntationofthc targetfranaedRatiscom presscd'
.

redoignatingastherefercnc:framethesubxqucntframe
tbatwastbctargctframcandredesignatingasthotargot
framc anothersubsequcntframcthatfollows thesubsequentframe;and

xpeating tlm stepsofcom paring and using.

2.'I'lzcmelhodaccording to claim 1 furtherincluding the
stepsofrepeatingtbestepsofredesignatingandrepeatiugso
lhateach of tbc rcmaining plurality ofsequentialframes
btcrmo tb: targetframeone licm wllil
c thestefs efcomparij
)g and usi
ng arc performrd.
3.n e m dhod according to claim 1whercin lhc rcprescm ationoflhetarge!framethatiscomprosse.dusesatiakrd
Est.
4.'
lhomethod according to claim 1wl
xrein t:estep of
comparing includcstbe stepso2:
lraversing tbe targetframe Lu a herizontaldiroction lo
com pare each of a firsl group of tbo plurality of
difereu!seaz'
ockst
o (Iiferontpositioaswilhiuthc
targetframe;cabtlbl
d
lrAvcrsing tlze target frame in a vellical dircction to
comparc cach ofa second group of lhe plurality of
diferentsearcbblockstodilfereotpositionswlthin tbc
targetfram e.
5.'
Ihemethod according lo claial4wherei
n lbt
!step of
compariagincludmstravclsingthelargetfrzmciuadiagonal
diroctiontocompareeachofalbirdgroupofll
1epluralityof
dd
'erenlsearchbloclcstodiFerentpositioaswithintlletarget
fraale.
'

;.'
n e method acrdi
ng loclaim 5 wberein thcstep of
comparing furtherincludestlm step oftravolsing tlw target
fraam tocom parceacbofafowrtllgroupofthepluralityof
diforentsearclzbloclkstodifferontpositionswithinthetazgct
fra e a.
tdl
x erentrotationd positions.
7.'Thcmetlod accordingto claim 6wherein tbe stepsof
travorsing tl
zcIi1'
stgroup,tlm secondgroup.thetbirdgroup
alxlthcfourtbgroup areoperatedou inparalleloN ratioas.
:.'lhemctbod accordingtoclaim 7furtherincludinglh
step oflorminating the step of traversingone ofiho fir-;l
secood,tlzirdand fourtbgroup beforelcrminating tbesteps
oftraversingtheother.iofthe irst,secxmd,third and fourth
group.
9.n emethod according to claim 7wlmrein theste.!'of
comm dngt
-omparesse.
arc:
bblocltswitbag.e.
tblocltswtbn
l)
etargetframe and furthcrincludinglhestepofterminal-

ingspecicone.
softborm rchblockstksedby tbe szpsof
l
n versitlg theft
rst second tikirdand fourthpoups if aftcr
&pmtletermine.
d portionoftbetargelframeiscompared a
predeLermined number matcbes I
xlween lhe oue searcb
block and tbc;corresw nding largelblocksisno!reached.

10.n c mclhodaccordiugto claim 9whercin the prtdolermine,

d numberiscme.
11 Themclbodaccofdingloclaim 9wbercinttlemalcbes
arerequked lo be idontim lmalcbes.
12.n cmclhodaccordingleclaim 9whcrcinlbematcbes
can13introduce 1(),,s'
.
hestep ofcompari Tbe melhodaccording loclaim 7 l
ngcompares scarcb bloclcs wittltargotbl
ockswitli
lltbc
targy
ctframe*and furtberincluding the stcpoftecmiaatiag
sfzecitic oncs ofthe search biocks uscd by tbe steps of
traversitlg the first second tbird aod founb grotlpsif after
a predel
crmined portion ofthc targelframe iscompared
olheronesofthe search blocks resull1 a pre termined
greaterpcroenlageofmatcbesbetweenthcolx scarcbblock
andthccorresponding targetblocks
14
.
.'
fhcmethodaccordingloclaim 5whercin Il)eMepsof
lravclsing thelifs!group.thesecondgroup, llle tlnrd group
areopcraled oo in paralleloperaljons
15.Themekbo accordingto chicn 14 furtherincludiug
tbestepofterminaling lheslepoftraversing oneoftbc& sl
secoad and third group beforc tcrminating ti
m stcps of
travtrsing lbe othersoflhe fiL
'
sl secoud aud third grtmp.
16 '
fllcmethod accordingloclaim 14wberein thestepof
comparingcol
rlparcssearchblockswithurgetbloclkswithin
thetargetframe and furtbcrincluding tlhestep oflcrm inatingspedficonesofthesearchblocksttsed by llleMepsof
traversiag the Iic;t second and third groups if afler a
predetermined portion ofti
lc targctframe is cempared a
prtdctcrmiaed nurnbcr matches belwcctltbt one scarcb
block and tbecorresm nding targclblocksis notreacbed.
i.
n e rnctbod acxzording to claim 16 wlxrcin the pred 7.'
el
e#
rmincd numberLs one.
l
. n e mel
hod according l
o clim 16 whtreiu lhe
matcbcsarerequircd to be iderjticalmalches.
19.n c nxthod according to claim 16 wherein tbe
matchescan introduce Ioss.
2:. 'I'be mcthod accordiag to claim 14 llaeMep ofcomparingcom paressearchblockswilbtargctblocksw ithintbe
targetframc and furthcrincluding tbestcp oflerminating
spccilic ones of llze search blocks used by ll
w steps of
travef
siog the flrst secood and lhird groups if after a
prodelermiqedportionofthetargetframeiscompared ot
her
orlesofthc scarcb blocksrcsultinaprtcletermifled grtal
er
Perccnt
ageofmatcbesbelwctntheouesearchblockandthc
corresponding targetblock'
k
21.'Tlm metbod accordingIoclaim 4whereinthestepsof
lraversiug tberslgroup and tbesecondgroup areoporaled
oninparallelol
xralions.
22 n etnelhod accordiftg to claim 21furlherincluding
thestepoftermioating theslepoftravcrsngoneofthefirsl
ard sccond poup before tenninatinglbestcpsoftraversing
IICothersofthefirstandsecxmd group.
23.n emcthodaccordingloclaim 21whereintlm strpof
compariogcomparessearcbblkswithtargctblocltswithio
ibe targelframe and furtheriocluding lhestep oft
erminatiag specific one.
s ofthrscarcb blocksuse.
d by thestepsof
traversing tbe fil
sland secood groul)s if.aftera predelermin.
d poftionoftlw targttframeiscomp
artll apxdoterr
oiued numbermatches betwecn the one searcb block &ud
lhecorreslxmding largelblocksisnolrcached.
24.n e melhod according lo claim 23wberoin the predelermined numbcrLxponc.
25.n e method according to claim 23 wberein Ihe
matchesarcre
xjuired lo beidenticalmafches.

'

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3/0081685 A l

M ay 1,2X 3
13

26' 'l
'be mothod according l
o claim 23 wbcrein the
matchescaa introduceloss.
27.'Ihe m ethod accordingloclakn 21th:step ofcomPariogcomparesscarchblockswith targelblecllsw-itizin tbe
targelframc'and fut
lberincluding thc slepofterrninating
specific onos of the searcb bloclts used by tbe slcps of
travcrsing lheflrstand scconclgroups if.aflrr apredetermiaed pol
lioaoftbetargetframeiscompared,otbr'
roncsof
thcscarcbblocksrcsultin apredeterm inrdgroate:rpcrcentage of matcles belween thc one search block and llle
corresponding targetblocks.
2,
8.n cmethod accordingloclaim 4wberTin thestepsof
travelsirlg travcrse thc targetfrafne such thatsequenlial
difcrcnl positions within tbe targcl frzm ovtrlap onc
anolher. '
29. '
I'
be melhod according lo claim 28 wherein t
he
sequentialdi/crenllyositiousdifferby atmosta prcdeterminodnurnlx rotrowsofbitsand predeterminednumberof
columtk
sofbits.
% .n e mothod according lo claim 29 wtlercin thepre.
deltrminednumberofrowsofbil
s Lsoneand1hcpredetermined numtxrofcolumn ofbitsisone.
31.n em etllodaccordingtoclaim 4whertin atlcastone
ofthe stepsoflraversing the:targetframein theborizontal
directiou aad traversing the targetframe in tl
c vertical
diroctioa traverxstbcentire targetframe.
32 'Ihemetbcd accordiag to claim 31wberein:
laversing tbe eotire largelframe in thcborizontaldireclionincludcsmaking repeatr.d passe.sin thchorizontaI
directionatdillkrrntvcrticalpcksitiorsswilhiuthetarget
frame., and
lraversing thetnti
retargetframe in 1heverticaldirection
incluclesmakiag repoatcd passes iu ttw verticaldkection atuiFcrentborizontalpositiortswitbin thc target
frame'

40 Tht rnethodaccording Ioclaim 1wherein lbestep of

Comparillgcflllgaltrptbsearchbl
ock w'
ilhtlle targelframe
using AND operations.
41 n emetbodaccordingtoclaim 1whcrcintbcstcpof
using obtainsllx rcpresenlali
on ofthe targetframe thatis
compressedascotupared totbcoriginalstatew ithlossbting
introduced.
42.n crntthodaccordingloclaim 41wherciothestcpof
comparingcomparestbesearchblock wqtbthe targetframe
usiug AND om ratiorxs.
43 Them elbodaccordingtoclaim 41whereicthestepof
compariag comparcsthcscafchbl
ock withthe targetframe
using OR om calions.
44.n cmctbodaccordingtoclai
m 41whereinthestepof
com paring comparr.slhesearchblock with thcu rge!fram t
usiog XOR ojxratiofk
s.
45 n cmethodaccordingloclaim 41wberein I
l)estop of
' ing comparestbesearchblock lvllh tlm targetframe
com par
using addoperatioas.
46 n eamlbodaccordingtoclaim 41wl
zerein theslep of
com p'aritv compaxstbcscarch block witlatlm targelframe
using subtrac!oporatious.
47 'n omahodaccerdingtoclaim 41w hcrcin thestep of
'ritkg complrestllescarchblockwith thetargctframe
compa
using multiplyoperations.
4: n emelhodaccordingtoclaim 41wl
xreinlhestepof
comp'aring comparestbesearchblock wittlthetargetframe
usirlg divideoperations.
49.Tbe metbodaccording toclaim 1whorein tl
estepof
tlsix Coinbines ovcrlappingoue.s oftbc plurality ofcom .
parodblocks toobtainasupersetbiock lhatisused forthe
mprtsenution.
se n e mclbodaccordingloclaim 1whtrein theslcpof
comp'aring includes the step of tracking compared bloclcs
thatrepresentaaidenticalmatcb bctwrecn tbesearchblock
andacorrospondingtargolblockthatcxi:
g.switllinthcu rget

33.Ti!cmethodaccordingtoclakn32wlmrei
n adjacenl frame.
diikreatverticalpositions&txIadjacontdiffereutboriztmtal
51 n emetbodaccording toclaim 50 whcreiustepof

Positi
onswilhintheurgetframedifferbyatmostaprede- trackigisusedtoprovideadynami
c indicati
onofan
lermined numbcrofrowsofbitsand preddttminednlmber
ofcolumnsofbit
s.
34.Ihe metbod according to claim 33 wbereio tlx pretktcrmincd numbtrofrowsofbitsisolw alld til
e prrdctormilmd numlxrofcolumrlofbitsisonc.

amountofcomprerx
siou achievabl
c bctwten lhe rcftreuce
frameand tbetargetframeand whereintbesl
ep ofcomparizlB fltrther ilzcltldes the slep ofselecting a comprerxsion
targetratio.
52 '
nm metbodaccordingtoclzim 50wbercintbestcpof

slem oftravrsngisimpkmentodusing adccrentproccssorthread.

thattbe compxsmou targctralio isracbod fortNe targc;t

frm ae.

36.'f'
lX mttlzodaccordiagtoclaim 35wherdneachof111t.
SlCW Of travelsing is implemented using a plurality of
diFta ntprocessorthreads.

53 n o metNodaccofdingtoclzkn52whcmintlm slepof
'rjng furtberiucludestlze step ofselecting adecomp&
sired
amountofl
orw
sthtcan betolerated wilbin tbe reprcseota-

37.n emctlzcd According toclaim 1wtkefeinatieastone

videoprocessorthxad isme
ve,d in tbe strpofcomparing to

tion.
54 n o mctl)cd accordiug yo claim 53whtrcintlw com.

35 Tbcmethodaccordingloclalm 32worineacbofthe

comp'aringLsslopqodwbentbedynamicindi
calionindicalcs

c
omparoreferonceframevitl
eodata<111targe;
lframe'
vidro Pareiblockiscotusiderodidenticaltolhescarchblockifa
data and atleastorle audi
o procmssor thrcad is IksGl to per ntagvofbitswithin tbetargclblock isalIeastequalte
comparoreferencefraam audio dataw1t11targetframeaudio

data.
38.n em cthcxlAccordingtoclaim 1wlmfein atleastone
pmceasorthreadisusedintheslepofcompafingtocompare
referencefraam videodatawith l
argetframevideodataand
als3#
orefrrenceframeaudiodatawithlargetfrzitl
eaudiodata.
. n eme
thod accordingto claim 1wbcreinthestep of
tlsing obtaio tbe rcpresentati
on oftlm targotframethalis
compreased ascompare.
d to t
iic originalstatcwitboutany
lor
xsI
x ing introduced.

the desired amountof1oss.

s5 x e metbod acxrdiagkkclaim 1wherein 11x stepof

comp'aring furlberincludesthestcpofselectiug arlamounl

ossthatcan betolcvatedwithinthorcpresentation.
OfI
56.'nm rnttbtxlaccordiaglo claim 1wl
x rin ybe Mepof
comparing includesl
bestepsof:
initialing apredictiveprocessorthread to obtain an mstimat
e ofa Ekel
ihood ofmatcbe
.s belwecn lbe r
earch
block andthetargetframe'and

'

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003/008
*1685 A 1
t;s 2

M ay l 2 3
,
14

arx
sinzlhceslimateonto atleastooecompariag proceslal i
s used to compare tl
:e plutanty of
P sor lbread li
cli
fferentsearchbl
ocksw'ithintberofereaceframet
othe

68.Thc method aecordingto clair

n 59 wberein the pluralityofIocaticmsizllb4llazge!fzamec'
ompl
'
iseatravcl
salof
an entire target framo aod tko plurality of scarck
z block
targetframelooblaintlw pluralityefcomparedblocks. locati
onsin tl
m roference framt comprise atravcl
saiofal
z
5
7.
n
e
mc
t
l
l
o
d
a
c
t
x
vd
i
n
g
r
o
c
l
a
f
m
1
wh
r
r
c
i
n
l
h
r
s
t
e
p
o
f
c
n
t
i
r
e
r
ef
c
r
e
n
c
e
t
k
a
me
.
com paring compatcsalabitlcvel.
69.'l'bemebodaccordingtoclaira59wherem eachfra e
58 n emotbod accortling toclaim lwberofs thestepof includcs aplurality ofbits rcprescataliveoran i
m agc.
ing compares21abyle lcvd.
?0.'rhcmctbct
d accordingtoclaica69whereineaclframe
'ar
59 A method ofobtaiuing a l
iaked li
stof redundant includesanotlmrpluralit ofbitsreprow ntztvoofaudio.
com
L
attepr
cuslhalexistin atargetframe from arefereuctframe,
71.'
T'
brmcthodaccord'
pugtoclaim 59whereiuthcstepof
.
Satabitlevel.
P b of the refererme and target framts comptised of a comllafingQOEIIPAe.
lurality ofbits,tbe raetbod compdsing thcstepsof:
?2.'Fl)r.raethodaccordngtoclaim 59whercitttheslepof
eac
P
comparing comparms atabytq level.
comparingoachofapluralityofsearcb blockportionsof
7:
5'
Ixomethocjaccordingtoclaim 59 wbercinthestepof

tlicroferetxxf
zameloapluralilyoflocali
onswitbinthc comjiriagiacludestbestepsof;

targetframe todetormiue aplt

zrality ofmatches;and
lraversing the largesfzanx ilza horizontaldirectiou to
foreactlmatcl
& rcpresentir)g that portioo oftbe target
kj f a srst group of the pl
urality ot
com
parctseac
frame corrcsaponding to tbe matctl vdtlla bcaticn
cuakmu
earctlo
blocl
cstodiFerorltpositiocl
switllintlzc
itlentmertlxalLslinked to thesearchblock pc'rtion.
urgutframe;and
6B.nrfn
e me
tb
ode
ds
ac*e
cordi
np
gstoof
c:
laim 59wbereialhcstepof
inc
lu
sle
traversing tht largtlframe in a vcrtical direuion to
compa g
compare ew: ofa second group of thc plurality of
irlil.
iatiag apredi
ctivrprocossorlllroadIoobtain atlestidijjwos!xarc.
b bjockslodlferentpositionsvritlxiulNe
mate of a Iikelihood ofmatchos bc.
twcen the Rarcb
targv;
tjrame.
block and the targetframe'and
jloljaecordng tociafm 73wl
mrein tl
m Mepol
.'r
tWX
,easlonecompar
lz timaleonto atI
icgproces- Ct74
tnpa
rh
inefmc
YE
Straversiugtbetargetframrin adiagonal
s used t
o compare tbe plurality of directiontocompareeachofatbirdgroup ofthepluralityof
par
ssagh!Q;d
esthali
ilfereroea
tsearchblockssvitbiutherefereoceframetotke di/errntscarchbloc;csltatliFrrel
zlposition.
swilbialbelargcl
sor
d
r
etf
rame
ab
ai
nl
pl
lyof
reid
bl
od
ci
k
me
61la'
fg
he
e
thol
doa
cct
or
di
nbgst
ou
cr
la
al
ii
m
59cfo
umpa
rtber
nc
lu
ns
g. fra7
5..
'IRm mfthod acxmrding toclaim 74whortin tl
w steps
b l
o
p
s
of
:
O
f
l
ravezsing lhe;rstg'
roup,tbe xcond group,the thircl
.

les

obtaiqag anotbertargsFa e;
f luralityofsracclzblock Iaarliorzsof
th arff
ranawptoaplurautyoflocationswitkinthe
comp
neareea
ac
ce
:fo
uetermine a pluratity of
C rc
aaom er larget frame to
INalchrs.
.and

foreachmalch,reptmsenfing tllatportion oflheanother

targetflamccorrespondingtolbematchwitb alocalion
idtutffitrthatisIinked to tlm soarcbblock portioc.
62.'
I'hcmctodaccording toclaim 6lwhertinforlocationsoflhe targetframe thatdo notmatch wilh tle warcb
blockportiotlsoftlx refcreecrframearesavrd asmmaining
dalathalisasst
x iated witb tbe targetframe.

groupareoperatet
lonin?aralleloperations.

76 n e melod accordulg to claina75 further Zcluding

tb*SZPOftrminatit)g(bestrpoftraversingoueofthe:rst.
sccond arxlthird group bet
bre zrminating tl
c stops of
lravfr'ir?g *ftktbrr.
%otlm zsl,R CODJ aDd l
bjrdgrc'up.
77.'rbcmethod aocordingloclaim 75wlxreintlltslepof
comparingcomparessearcbblocltswithtargetblockswitllin
theyargetfzame aod furtherinclttding lhestep oftermiti
atingspecificoue'
softhesearchblocka mc.
ed bytlm stepsof
trw crsiag tllo (
ip-dxwcxynd and third greups if, after a

Prodctermiaed portion ofI

lx targelframc iscomparo; a
predcltrminod numbcr malche,
s betwecn tlx one search

block arld tbetzorreolxmdpg largelblocksLsnolrzacbetl.

7: n e rsetbotlaccording to claim 77 wberein the prefx's.The motbod according toclim 62whereia j.
orloea- deler'
m fned Immberisone.
lioasoftbeanotlmrtargetframo thatdo notmatcl
xwilllQm
79 n e metbod accordng to claim 77 wberein t
lw
arcbblock Ih
ortions oftbe reforeoce frame are saved as matcl
'esarerequired lobcidcnticalmztclws.
z
K
remafniug dau thati
s aa ciatcd w'ilh lb aaotber l
arge!
#() n e cxjjl
fxj according to claim 77 wlxreizl11x
framc.
matchescanintvoduce1ces.
f>4.Tl
w metbodaccording toclaim 59whcreintbestepof
:1 n c I
xmttlod according t
o chim 75 tl
w st
op ofcomcogadcg corrlparcslosslessly.
aringcomparessearcbblockswilhlargclblockswifhinShe:
65.'
Fhe mot
boc
lactnording to claim 64w'herein forbca- P
la
-gotfraiuexand furthcrincluding tbe step ofterminating
liousof1betargt!frunelbatdo rx)tmatcbwitltfm search specifc oues of tile search blocks used by tlc steps of

blockJonioasot11x rderenceframcaresavtllasremaining
datatbatisasocialedwitbtlm targetframe.

66.'
Themctbodaccordngtoclafm 59wlmrcintbcstepof
comparing comparos< 111introducti
onoflossbeingpermittcd.
6'
T n emethod zccording (o daim 66wll
erefnft
vl
c?
catiossofthetargetframethatdo notmatchwith tbesearch
blockportiotl
sofllm roferenct framewithinapermizdloss
prrcrntagr art,savr.
d as remaining dala lbalisaw lciale
xl
with thetazgd trame.

lraversing tbe fkl

sk secood aad tbi
rd !roups if>aftcra
predetermiaedportioaoftbctargrlframezscom?ared,otbcr

oncsoflhrsm rcllblocksresullin a preo tetmme.dgrealor

percentageofmatcbcsbetweentl
w oaesearcbblock andlbe
correspondingtargttblocks.
82.Tbemetbodaccoldng tochim 73wl
wrein t
lm stcps
of travetsing !he Erst group and 1% second group are
operatod oa i
n paraneloperations.
83.Ttm method according lochim 82 futt
horincluding
thcstc;
p ofterminating thestepoftraversingoueoftbeIirst

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 11 of 88

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15

andseomdgroupbdorrlerminaliz)g!beslepsoftraverslng
thcotlwrsofthe ft
r-;
tand second group.
#4.n emethodaccordingto daicu82 w'
hrcel
zdl:estd;pof
comparingcompare.sscarc:hblockswitbtargetblockswitbin
lbe targelframo and furtcrfncludiog tllestc.
p oferminating specifle onesofthe searcb blocksmsedbylhe stepsof
traversiug the frstand sectmd groupsif after apredeterined m rtioooftl
x targctframe iscompared a predotermiued nttrnbermalcbesbelween tho onc scarc,b bltlck and
l:e corrcsN sdiag fargrlblpcksLszlotrcached.
85.'
Tkc mcthod according to claim 84 wbereio tl
ae predctermflmd numlxrisonc.
86.Thc metbod according lo claim 84 wheroin the
mhlclms arercquired to be idtnticzlmatches.
87.n e melhod according to claim 84 whercin t
lle
mat
chescan introducc loss.
M .T'
be mdbod according Io claim 82 tbt step ofcompari
ngcomparessearcbblockswithtargotbl
ockswithiuthe
targetframc' and fuftbcfirfcludisks
g 11
= sdtti
p
tc
rl
i
tin
g
boftb
erfs
snpas
of
specific oncs of tbe r/
oarcb bloc tl
se y
trwelsing tf
w firstand second groups ff'afterj
ajpredeterf
mined portionofllm targetframeiscopared ot efoneso
'
t
beRa
hbt
l
c
teiu
pr
ermi
'
reo
ac
le
ue
ofrcma
co
lz
eks
sr
bees
lul
we
natl
leed
oe
nt
t
seanrv
cd
hgbl
krp
ac
or
dcrn
tbte
cerrespondiug targetblocl
cs.
d#.n e met
bod accordi
ng lo daim 73 wberein lbc:stcps
oftravcrsing travorse tlm targetframo wch thatsequtntial
ditlkrerjt posilions widlin thc targel frazz?r ovcrl
ap one
Ano
t
b
e
r
.
90.'
l'
be metbod according to claim 89 wbereiu thc
sequtntialdiitrentpositioas diii'
erby almostapredeterminetlnumberofrowsofbitsandpredetermined t
zumberof
colum asofbits.
91.'
flm rnethod according lo claim 90 wNerein the predetraninrd nutcbrrofrowwofbillLsouk'and 1beprcdrtrrmined numlxrofcolumu ofbitsLsoue.
92.n emvtttodaccordingtoclaim 73wl
mreilal
eastoae
ofthestepsoftrwtrsingthotargetfxameinthe borizoutal
direction aad traversing tbe urget frame io thc vertical
dkt
cliTb
onttrme
avttb
t
vodsa
Il
mcoes
ti
rg
el
arg
tim
framc
93
c
rdi
n
to
ce
la
92.wllerrioz

98.n emethodyccordingtoclaim 59whereinatl

eastonc
video procesxsortkead isusod inlhcstep otcomparing lo
comparrrefcrrncrfzamesideo datawilh targetframevideo
data and alleastox audio procereor tbread Ls uscd to
eomparcrcfcreoccframeaudiotlalawilhtargctframeaudio
data.
99.3tlcmetbodaccordingtociaim 59whetdnatl
easfolw
rocessorlbreadi
susediu11m stepofcomparingtocompare
P
refercnce framtvideo datawitb tafgetframevideodataand
alsorefertncsframeaudiodatlwithtargetfrm)caudiodau.
100.A methodofsearcbingforpattcrnswithinaplurality
ofsequentialframe.
s rachframocomprisod ofapluralilyof
bil
s Rrranged i
n a matrix array thatcan be traversed in
ljorizontal vert
ical and diagonal dirccdons the Irletlllxl
comprising:
comparingapluralityofdl
x crentsearcbbloclcswithin a
rcferenc.eframetoa(argctfrazuetoobtafcapluralityt)f
comparcdblocks lbereferencefrzme being sclto an
'
illitialframe()6ti
ltpltkrzlity ofsequentialframes :nd
the targetframe inilially being set to a subsequertt
frameofttleplurality ofsoquecltialframes tbestep os
>
compariog including:
traversing tlm targetframoin aborizorualdirection t
o
compare atlemsta iirstgroup ofsearch bl
ocks to
coaesjxmdiug horizoutalurgetbltxlcs withio the
tatgettrame'aod
tlavelsng tbe targelframe in a verticaldirection to
compare alleastasecond group ofxarclbl
ocks'
whicb may or I
nay notbe diEerenltllaa the fLrst
group ofsearcb blocks to corrmspondiog verti
cal
targclblockswilhinthe,
tatgetframe.
1.01.n trmethodaccocdfngtoclaim 1* furthcrincludiag
lbestepsof:
(jetermiaingwl
wtbcrthetravcrsalsinthohorizontaldirection and (ll
e verti
caldirection result in a s'uKc-icnl
sumbcrofcomparisoasl
x ingfoundbetwce;
ntheurget
frameand thoreference framc'
jand
ifaStkzdettfnftnberofcompzrisoasare nofdetcrmf
zmd
to exist, travorsing tbo target framo in a diagotlal
'
Iavtrsingtlm cutirr targetframoilzlhobofizoIltaldirccdiroction to compre atlcastatitird group ofrrarcb

lion includesmaking repeated pa t'

.
siu thehorizontal

blocks whicbmayorm&ynotbcdferentlhanthe;fust

di
mctiooatditerootverticalptxsitionswitbintbolargct
fzame'and
i. thecntire largetfzameintbevertimldirection
l
w sinlhtverticaldirecl
rwcr.
ide
ng.smaking Rw ated pas.
i
iz
lcu ldifrercza horizonlalm slioaswithin tlm target
1
a.
froa
amc

a
od secotz groupsofsearch blocks tocorrospoading
ao osalyargelblock-swithio ttkotar'getfraum.
g
102.'1Xemethcd accordiagtochim 1(K)wherointhoMep

Of COEBPaI'
Z: is fCP6&Ifd On tl3e Plurality ol srquential

#4.'
fh mctbodxccotdicg loclaim 93wlwrekladjacer?!
difercatvort
icalpositio% and adjaccntdiffmrcnthorizotltai

oatwas(lwurgetframe&sdrcdcxiguatingast
lletargel
ffm ca!
lot
bersubsequentframethatfollowslbomzb-

p
orsai
ti
swi
t
bin
&rget
fra
iTe
yla
mo
ecl
ete
z
io
nn
e,
d
numb
lrtb
oe
ft
rows
of
bme
il
sad
nd
pr
reb
de
et
rmi
ns
et
danp
ur
mbe
r
ofcol
umnsofbit
s.
% .Tbcmelbod according lo claim 94 wberein tbepredclermint;
d numberofrowsofbitsLsofl
eand tbepredetcrmncdnumlxrofcolumn ofbil.
sisoae.
'
ffht
mt
zio
c
or
di
ng
tonc
3gwht
ci
aeca
of
bsestc9
p6.
so
tra
vct
rl
s
nd
gai
sci
mp
l
eme
ll
ea
dimms9
fu
adr
i
kr
nc
tb
pr
oct
e
sorli
zread.
97.n emel
hodaccordingloclaim 96wherrineachofthe
slem of lzuvezsing is iulpleamnred usng a pluralily of
diferentprocers
caortbreatts.

Rquenl(ramt'
.an(j
repeating tlm step ofcomparin:
103.'rbemethodaccording toclaim 1* turtberiucluding
thestepsof:
redesignatiag as the targtt fnme another sazbsequeut
frame thatfollowsthomzbsequentframe aud'
?
repcaling tlm steps redcsiguat
ing and repeating so that
each oftbe remaiaing plarality ofsequentialframes
tmcomc the talgelframe oue ti
m e while tbe step of
compariagispedbrmed.

fr'me'
s:aDd furtbcrindl
ldestherb
tepsof:
reaesiguatiugmstberefcrenceframetbesubsequrntfxame

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 12 of 88

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16

104.Tbe method according lo claim 103 wbereia the

refetencc frame retnaiusthe sartm.
1/5.7hetcctl
)od acoardinglclclaim 1(x)w'bcreinllieslop
of comparng indudes traversing tbe targ.et frame in a
diu onaldirectionlocomparecach ofathird groupofthe
plur
.
ality of ditlkrerttsearcb bltwlcs t
o dilltlren! posihions
wit
wela
rge
tofd
taa
mt.
1h0in
6.t
nl
e
tb
cc-ordinglodaim 105wl
w reintheslep
of coluparing furtllcr iocludcs thc slcp c'/ lraversing the
t
arge, frame t
o compare each of a fourlh group of the

119.'IYt mtthod according to claun 116 wherei

n tbe
m atcimsc4niatroduceIoss
la() a e awzod act
xvaiag to clajm 114 tlm sl
op of
swtl
ain
compa'riogcomparcssearctlblock.
switktargo!blwp.
1IIetargetirams aad furtherincluding theslepofterminat'ofthr.searcllblockstl
iog sptcific oncs
se.d by lm stepsof
vaversiog Ibe lirsl' sccontl aud tbird groups if'after a
predttermkmd portionofthctargetframeiscomparcd'otlwr
ouesoftht;search bl
ocksresultin apredctelo i
ned greater
percenlagrofmalcbesbolweentbeonesearcbblock andtht

pl
urality ofJiferetu search bl
oclts to dil
rereut!1ositions

corresponuingtargetblocks.

wiltkin tjle.largetftarne atdiffereatrotatfoualpositlons.

7v
.o
nrso
zlet
bo
cogrr
doiu
ng
im
106
int
s
f1t:
ra
inr
g
h
edfia
rc
;l
p,to
thcelas
eco
ndwl
gmwr
ue
p.
bbees
tte
kip
rt
l
'o
group and tbe tburth group are operatsd ou in parall
el
1ral
8ioas
'
Ihe
l
odaccordingtoclaim l07furtberincluding
opc
.meti
h . fterminaling lht:stcpoftrzvtrsiog oneoflim first
s
d otlrd a.
atlfozlnhgrotlpbeforelerznioaling !besl
eps
tetcx
;str
tl
ep
,
oftravelsingllzeothersoftheIirstseeoud third antlfourlb
group.
1* .n emethod accordingtcclaim 107wr
hereinlheslrp
of cornparing comparos seach blockswith targetbloc!r
s

121.n emethodaccordingtocl4im l wbereintl

x steps
Of CE'
IVt
SI
'
SiI
)?,thc fu'
stgrottp and tbc second grcup are
opcratedoo in paralleloperat
ions.
122.Tbomethod accordingtoclaim 121fttrtbtri
ncluding

wielin tbt targttframe atld furt

imrinciudiug tbo sttp of

tormiuating specific onesoftbc search blfxlkstksed by the

stt
zpsoftravetsing tbefilstasecocd t
hird and founhgroups
if after a predetermined portioo of the target frame is
comparrd,a prvdotcrmned numfwrmal
clles bclwecn lhe
oncsearchblock and tl!ecorrespondingtargclblockstsnot
reacbed.
ll(j n e metbod according lo claim I(F.
? witelois the
predelrrminednumberisone.
11l The method accordiug t
o ciaim 109 wherei
n the
o
aimtch
1o0s9
malchesareItquired to be identt
i
cac
ll
ma
. whcreio lhe
1.
12.'
17le mellxxlaczw drlg
matchescanintroduccloss.
113.The tact
ilod accordiug to claim l09 tbe step of
comparsgcomparcsscarchblocl:
sw'
itlitargclblock.
swithia
tbeutgetframeaand furtheriuclading t
lw stepoflorminaling specifk onesoflbcsearub Nocksused by tbe stepsof
traveofng tl
x first' secoad' tlf.
l
'
d and fosurtbgrou
psif'mee
k
jr
is
a prexletermit
w d portion of tbe targe ame compar ,
o
tb
cuc
htcbll
resul
i
u
ap
er
n
d
gr
ec
ar
teon
rmcs
rco
ef
att
ahgecs
of
ma
eoscks
t
mtwe
entft
)
eon
ercd
seaerl
c
Nmi
bl
oe
c,
k
and ekecorrespouding targetbloclls.
114.n emetizodaccordingtoclaim 105whereiubesteps
oftraversing the firstgroup,the second group, (he lhicd

gt
xmp azr om zultd on in paralleloperatious.

115.Ttm metbod according loclam 114fttrtberncludiug

thoslopoftermiuating tlx stepoftraversi
ngoot;oftbefirst,
sccot!d aad f
ltird group bcfolr lerminalkl
g llx sttps of
travtrsing tbeotbe:softlze lst,stcond aod tbird group.
116.Tbrmel
hodaccordirq toclaim 114wbereinlhostep
ofcomparing complrrs scarch blodcs witlllargetblocks
witlxin be largelframe,aotlfurtheriucludiug the step of

iht
rSIC#oflerminatingtbestegoftraversingoneoftbefi1st
alxlseooudgrol!pbeforetermmaling ll)cstepsoftraversing
tbeolbe:l;Q)fthefifstAnclsecond group.
123.'f'
hemetbodaccordingloclaim 121whereintlx stcp
ofcompazfng comparos Rareh bltxl
cs witlltargetblocks
wilhin 1he largetframc,and furtberinclttding tlm step of
tenninalzg specific ouesoftllc searcb blocka use.
d by the

steps oftravclsing the first&nd secoad groupsitiaft

cr a

prefklermined poztion oftbe targetfrarne Lscompared a

prodetorminod number matcbe.
s belween tllt one x arcb
block and iecoaesm ndngtargttblocks1 nottechod.
j24 n e mclji
oclaccordicg fo claim IJ3 whereia l1)e
predcte
'rlnitled numbfv Lsone.
125.n eimethod According to cltiak17.
3 wberein the
matctms arerequkod tobe idesticalmatcl
m s.
/.26.The mctlzod ac rding to claim 123 wlzcrein tbe.
matcheseanintroduceloss.
123.'
lht tllttbod accordiqg to claim 121 tbe sto? of
compafingcomparcsscarc:blockswilhurgctblockswt
tl!in
thelargctframeaanllfurtborocluding tbestcp oftcnuinating speci
fk onesofthesearcb blocksused by tbesttps of
travcrsinz tle firstarxlrmcond gtoups if aftera predcter>rrd,olbortmcsof
milzedIportitm oflbelargetframoi
scompa
l
hesearchblocksresultin apredtt
crmine.
d greatcrm rceatage of matcbes betwe'eq lhe ouc soarcl block aod the
corrcspoodifl
g targetblks.
128.'
Tbemdbodffordingtoclaim 1(K1whereiuthestops
oftraversing traversetbetargetfranx such thatseqnontial
difl
krent Io iforzs withfn tlm target frame overhp oue
ax thcr'

129.Tim umt
bod according to daim 1:
28 wbcreio tbo

sequtntialditferentpositionsdiEerby atmosta predettrnlilwdilumlxfefrowsoftdlsazxlpredelerrnioedzmml

xrof
colurnnsofbits.
t3(
).'lhc rnothod according lo claim 129 whereiu tbe
predetcrinr.d numlxr of rows ofbits ts onc aud tlw
prcdelrrminrd numborofcolllmo ofbils ksonc.
J1 x eamtbod According toclajm 1(X)wherein:1leasl
1.:

tcrminatingsmci
liconesoflbescatchblxksusedbythe one oi(l
x stepsoftrlversing the urgelframein lbt
stepsof(ravtrmngtl
x Erst,secondandtltirdgrou;sif,aft
er jjorfzostaldfrectfouandtravelsiry tlw targc.
lframeicllle
a palelerminr.
d portion oftbe tzrgetframeiscompared,a
predelcrrnined number matcbe.
s betweeu the one searcb
blo1
c1
k7.
atx
eme
cor
spon
di
gintg
argle
oc
c
l
led.
nlt
ett
tbr
oed
Acc
on
rd
otbl
chi
mks1is
16not
wtr
le
ea
re
n
lbe
pmdctermnetlnumberisone.
1.
18.Tbc method according to claim 116 whelein lhe
marclles ascrcqtlicod ltybtsidcrlticalm atches.

vorticaldimctioatravel
sesthecntu'
tlargotframe.
Fbe mcthod according to daim 131wherrin:
132. '
travctsing lhcealirelargclfzatrl:in tbehorizonta!dkectioniocludesmakingrepeatedpassesintl
x'
borizonta.
l
dirtction atditftrentverticalpositfotzsw'illiulleurgel
frame'Ant!

'

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*

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17

lraversingtbctotiretargctframeiolheverticaldi
rectlon
iucludcsm aking ropeated passesiotheverlicaidftection aldiffereafhot'
izofdalpesilioas withi
zlthe Iargel
frame.

wherciathestepofusingcocnbinesoverlappingcmesoftlc
plurafityoftxlerlpaa dblcclcslc.tkblain aszlpcraelblock lbal
isused forthe fcprosetltation
150.n tmethcxlaccordiagIoclaijn 1G)wi
lereintheslep

133.Tt
w mothodaccordingtoclaim t32wbcrtinadjaecul ofcompariugtucludesthestcpoflfackfngcomparedblocl
ks
dtllcrentverticalposilfonsandadjaceutditfcrccdtO rizoi
atal thatrcprascraani aticalmalcbbelwcenthcsearcbblock

'

posilior)snrilbin 1bo lazgttframedeerby atrnostaprede- andacorrespondingurgctblockthatu istswithintbetarge.

t
lermi
c.n tmethod accordin:toclaim 150 w'hcrcin stcpcf
of
cooed
lumnrmmbe
sofbr
itof
s.rowsefbitsanclpredctetm ine.d nttmtyel fram
151
134.'l'l
w mctbod ac rdiag !t
k claim 133 wborcin tbe sracking is.useflSo pyovdc a dynamic indio tion of an
ptedettrmined numbe.
r of rows of bils is one and tbe amountofcomprersion achitvable lxtween tht rcfereucc
ptedetermiued numberofcoltunn ofbit
s Lsoae.
fraf
neand thetargetftame andwherein thestep ofcompar135.Ttm mdhodaccerdir;gtociaz!
n 132 whcreineachof iu furtlles includes lhc sl
ep of sclecting a compzerx
siop
%
lhe steps c?flravrrsiz)g is nplcmcntod ttsing a dti
k reot largctratio.
processorthread.
152 n eInelhoclaccordingtod airn 150whereiathostcp
di136.Tbemetbod accordirigtoclaim 135wbereineaei
of ofcom'paringksstopped wheu the dynamicindication itk
the Mepsoftraversiug isimplctzlentedusing a pluralily of catcs thatl)w caamjvession largc.
lralio Ls rsacbcd for tlze
dilrorenlprocessortbreatks.
targctframe.
l'l!omctbtxlaccordinzt
oclaim 152whereiotbestop
137.'flm mctlod accordiag t
o claim 1(X)whcrein atleast
153.'
onevitko proceasorlbread tsused ill(hr sttpofcornparng ofcompa
(
j
ul
t
l
e
r

o
c
l
u
de
s
t
l)ostepofseltctfng adesirrd
rng.
lo corapare mferezzcr fzamevideo data witb targelframt artloucklo
loss lha!cao bo St
llcralc.
d within lberrptesentavideodataand atleastoueaudioprocrawrthread isesed to tiou.
com parereferrnccftam eaudiotlatawitbtargelftameaudio
154 n emelhod accordi
aq to claim 153 wlwrtin tbe.
data.
compa.rcd block isconsidcred ldcatical(o tltcsearch bl
ock
138-3Rw mttbodaccording L
o claim lG)wbtrein atleast ifaperceulageofbilswitbinthotatgetblock isatleastequal
one proccrs
x fthrtad is used in tht step ofcomparictg to to thedesired amouatofloss
l'hemerbod accordingtoclako1fX)whtrefntlm stop
comparcreferenceftamcvde,
o datawithtargetftamev'
idco
155.'
dataaad aLso refrrrnceframe audio datawith targctftame of comparing furlhcr iclcludcs thc slee of seleclizlg ap
audiodata.
amountoflossthatcanbe tolcrazd witilin the reprexnla139.'
Ibemethodaccordiog todai
m 1t
X)ft
lrtherinclttding tion.
thestepofusing thepluralilycfctllzlp4re,dbl
ocks!f7oblaizl
156.Thcmethcd accordiagtoclaim 100wtleroin(hcstcp
a represrntAlion of tl
w tatgct flame tbatis cornprtrxsed otcwcpparir)
g eclude.sliw slrps ofr
wil
ut
nyIn
lc
qs
ncgcor
i
ndtr
ec
d.
1h4o0.
'la
he
e
s
bobdei
a
io
ndu
g te
olam 1(K1whereintlm stcp
inilating a pxdictfve processorlbrcad 1t)clblaia an esliefcomparityg compares lhe search block w itllltle target
male of :likelihood ofmatchesbotweea tbe w azch
rramo usingAND operatioms.
block arid tbe b'
trgetframe;ancl
141.'
l'
hcmotilodaccordingtoclaim 1(X)whereinthestep
parw
singthtr
m imzte onto tlemstonecomparingprocesofusingoblaiasflm reptme utatior
nioffl
tcstat
r
gwi
rtt
fb
rai
r
ns
est
llai
lnig
s
1
c
o
be
W f 01fCA(
l tbat Z tlsed t
o compare tht plurality of
comprrasedascornparcdtotheo gina
difrercntscarchbl
oclcswidlin(Lcrefrrescefraam toIhe
introduecd.
Izrgctframet
oobuiu thcpluralityofcomparcdbloclcs.
142.Themdhodaccording loclAimbl1
letr
nbelbe
:aMe
pl
o41
ckwi
wi
hei
1
l
rge
1S7.'l'
lw amtbtxlRccordiagtoclaim 100wlmreintheslop
of comparing
AND
comg
oae
re
ra
sti1
o
11
n
42
s.search
Oft
ximlMri
tlg compares atabitlcvel.
43.
158.Tim melbcd Kcordingtoclaim 1(O wheroinl1m step
fra1
me
unsinegmetiloda
pccordingtoclaim 141whereinthostep
ofcomparing compares tlm seartt
lblock w'
ftlztl
m targct ofcomparing compacesalabyteleve).
framo l
zsing OR opozati
orxs.
159.A metbodofsearchiogforpatornswithinapluralily

144.n e mothtxlaccordingtodaim i41wbercintbestep ofsoqucuti

a!fraumsyeacilframtcomprkse.dofapluratityof
ofcompariug '
compares llle soarch block with the urgel bfts Rrrl
ktlged in amatrix arras 11 mcthtkd oomprising 1br
frameusing XOR opcrztioas.
slefe
aof:
145.n emcmod accordi
ng toclaim 141whercittthestep
compriag aplurality ofdiFez'
rnlsrsarch blcauswilbio a
of complriag compares ti
t searcb block Britb lhe urget
feferenccframtl
o alargctfrauw toobtaiuapluralityof
frameusing add operations.
conapared bi
ocl;
s lbe refcrene.e frame being setto an
1.
46.n emelllodAcw rding 1t
)chim 141whrrei
n thesltp
ili
'
talframe ofti
leplurality ofsequcntialframe.sa!
ad
of comparisg compare.s tbe search block with the large:
frameusingsubtrad operAtions.
147.n emetbodaccordingto claim 141whercin thrstop
of
omp
rf
cl
eti
mpa
ep
se1
eion
scs
a.rch block wilh tbc:large:
frac
mr
usa
in
gcgmu
plyro
rh
al
148.Tbemethoaccordingtoclaim t41whereintheMop
ofcompadng comparms (he search block w'
itll tbc largc!
frameusingdivicl
tloperztons.
149.Themethod accordingloclaim 1.
(K)furtlmrinciuding
lbestepofttsing thepluralityofcompared blocksloobtain
a represcnution of the targttframe lhatis t-omprrssrgl,

tbe tazgelframe initially bdug selto a subsoqueut

frameoftheplurality ofsequenualframes tbestep of
*
comparing including:
travorsing tbe largetframe ii
z aplurality ofdiKeroul
direclfor
xs to comparesearcl
zblocksto cocresponding largelblockswitbin+e largetframe thcstep of
lraversirlgincluding iuitiat
iugapluralityofdijhrent
lhreaclstbatarc proce.
sse.dizlparallel tach dift
kreut
tlzrnd om raling willlal leaslonr of a diffcmn!
start
zb block and adifftrentdireclion'and

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detcrminit!gwhctbc.
rlheIraversalsrttsullit
'
lasullicfcal
I
lumbcooflzlalcbt.
sbeing foupd belweelsthe target
frameandthel'
ofeteac,
esracrle'aad
ttnrfcatmg ccrtaiucflhcpluralily diffelc.
DlIhreal
is'tbe
sltp ofterminating occurringfora patli
culartbread if
itisdetcrmined tllatthetravern lrelatedto t
beparticu1arthread is notrcsulting in tbesumccrdtnutnbcrof
m atches.
161).n emelhodaccordingtoclaim l59whereintbestep
oftravsIsitjg isclude.
sthe stepsof:

lraversiug lhr Iargeltramo in a horizootaldircction lo

compare oaeh of a fitst group of t
be plurality of
difcreolscarchblocltstodiffortmtpositionswalhinthe
targetframe'and
traversiug th targd fratne in a vcrti
caldircction to
compa.
rt eac:
h of a second group of che pltl
rality of
dilrcreetsearcbbbeH tofliflbrenlposilonswitl'
tintLe
targetframe.
161.n omstboclaccording toclaim l60where.
inthestep

'

oftraversingindudeslravtrsingtbetargtframriuadiago-

17* '
1'
1w mell
kcsdaccordipgloclaim 161wbereinthesteps
of traversing tbe hrstgroup.tbt:second poup,tbe third
group a:e oporatedonin paralcloperations.
171 Tbernethodaccordiugloclam 17O wbereintlleslep
ofterfuirlaliag lrrtzyiaalrslheslcp oflravorsng oncoflllc
fifsqsecond aad tird groupbeforeterm matingtlw stepsof
lraversiuz thcothersoftbeNfst secondand li
zird group.
172 ''
l''
1'
)0tnelhodaccordngto'
ciaim 170wtjercintlm step
fcom arirlg compares w arcb bltxk.s wilb lalgelblocks
twj
tttin t
phetargtlframe anJ wbereis tbestepoflerminatiag
terminate.
s speciflc oac'soflt
w search bloeksuret
lby the
slepsoftraversinglberft
rsl sccond audtbird groups1,afttr
*the largelfrarr
apredct
ermisedIzodionof
x iscompared a
prodelcrmiued number l
natchr.
s betwcen tbe one sear'
cb
block and th1correspooding targelblockstsnetreacbod.
173.n e mtthod 4ccordlug to claim 172 wbercin the
prcdetermine
.d numberisone
174.n r Izml
hod according lo claim 172 whercin the
matcbes arerequired to beidentic-almatchos.
175.'
l'
bo melbod according lo claim 172 wbcroin tbc
matches can iutroduceloss

sa!directi
ontocompareeachofatbirdgroupoflhcpluralily
ofdiJcrxmlse:rch bloaks t
o dxerentposilions witbin tbe
urgotframe.
162 '
Thcmethi
xlaccordingloclaim l6twbereinthestep
oftraversingfurtberincludestbest
opoftraversirtg tketxrget
framefo coitlparecachofafourth group oflbc luralilyof
? tilotarjret
dlferentsearchblxkst
o di
lereutpositiorowithm
frame atdilerom rotalioardpositions.
163 Tim methodaccordingtoclaim 162whereirsllx steos
flrav.ersing tlm firstgroup,tllr second gwupxtlle tlii
A
rd
sd 11,, foura group are operatcd on is parallel
O
gK'
'P a
0PeZ
iocks.
1r6at
4.
'
n emet
bod accordiog todaim l63whercin thestep
oft
enuinatiag lermilutestbest
ep oftraversing one ofttle
firsq sef
co
lr
nad,
vex
ts
l3in
f
dga
th
ae
do
fou
the
rr
ls
bo
gf
rcu
tho
pf
bir
cs
ft
or
,xc
e leorn
mi
dat
ablir
nd
ga
lhe
nd

17K.'
Ihe mcthod accordirl
g lc claizn 170 tbe sle?of

ctpmparing comparrssrarchblccltswitlztarge;tblockswllhiu
tbctargetframe andwbereathestepoflcrmiuating tcrminalesspecificonesoftbesearchbltxksusct
lby tbeslepsof
travcrsing the Erst stcond and fbird grotlps if after a
Prcdelermine.
dponionoflhelargelframeLscomparedpother
Oneit)ftbtsearcb bloclcs resultin Rpredelennined gxaler
cbesbctsvceutbeonesearcbblockaadtbe
pcfs
xatageofmal
corresponuing targetblxlcs.
177.'
1X4Ilmlht
?dacording 10claim 160whcreinlcMops
of lravelsing tbe rst gtoup and the secood zroup are
operat
qd on inparaneloperatious.
178.'nltmethodaccordfngto clairn 177whcrefutll
estep
oflcrtzlfnatiz)g terminat
e.
s1best
ep oftraversing oncoflbc
firsl aud second group beforo lepmiuatiug the stops of
traversing tbe othcl
s oftbe t
irstandsecond group.
'V9.'Tbenfthfxlat
lcotdingtoclaim l77wbercintilesttp
ofcomparfng coav4rcs scacc: block.
s writh largelbltxlr
.
s
sl
jstogroup.
,
oeur
witbin lbcurgc;
lframe andwhercin t
lw sttpoftermituting
j 16k
k
5.'Ikemtthodaccordingtoclaim 163wimreinttlestep lermioatesspecilic one'softhe search blocl
tsusec
lby tbe
steps ofttaversing the f
1r.
:1aad second groups if afte:a
o
f
c
ompa
r
i
n
g
c
o
mp
a
r
c
s
xa
r
c
i
l
bl
o
c
ks
wi
t
.
t
t
t
a
r
ge
t
b
l
o
c
k
s
witlliatlTeurgrtframe,andwhrrein11
)5slepoflerminaliug
>ared a
redctefmf
ncd portion oftlm targct'
atne iscomp
tcrmiuate.s sm cmc onr
,s oft
llescarch blocksused by tho p
.ch
predrtermled nllmber matcbes brlween lbe one war
frt
t
ttf
is block *nd 21f O tTCSPODdiP:tatgetblf
xksLsnotreached.
stem oftravmrshagll
x fit
'
sqsecotld' thi
dllarl
dar
foe
ur
bra
gme
roups
lm metbod according to daicn 179 wlmrcin tbe
1. afler a prexl
elermined portion o e g
180. T'
pared a predwtrrm inr,d numbe.rmalcbe-s between qle prtcktermfned numerisone.
' *
oneRarch
block and t
heconmpondingtargctblocksisnot
1:1. n e melhod ac rding lo claim 179 wbexeip tlm
reacbed.
malclxs arerequired to bedenlic'
almatcbe-s.
166.'l'
be method ac rding to claim 165 wherein tbe
182. n e mettiod accordi
ng to claim 179 wtterein lhe
ptmdetennine.
d numberisone.
matcbescan introducolors.
1K7.'lhe method accordng to clai;n 165 whereizllhe:
183 Tbe methtxlatxordiag to cla.im l77 tlm slep of
mal
cbasartroquire,
d lo beidcnlicalmatcms.
compa.riagcomparessearcbNx kswtblargetblockswititin
168.e
fhe method aecordiog t
o chiro 165 wherein the the targetframc,aud whereintlw sltpofterminatin:terrnima
che.
scan intrcducclou.
nale.
s ed:coatsoftlx warcbblocl:
susr
.dbytlx stepsof
.t
169.n e metbcd accotding to claim 165 the ste of travtfN'
smgtbe fi1st&nd second groupsif aftcrA pmdetercompariugcomplressearctkblockswitlllargetblocl
cswl
?tbin miaedprlrliotleflbelargrlframeiscompa're..d olborooe.sof
ttl
otargetframo,andwbereia theslepoflorminalingletmi- tbesearcbblock.
srcsultin aprexletermined grcaterpercent-

naleaslxcificoaesefthosozrc:
hblocltsusedbytbestepsof agt ofmatcbo betwoca tbc one starcb block and tbe
traverangtbtftrst.secondalbirdAndfourth poups117,After

Apredetcrmiaedport
ionoftlm targetframt iscomparcd,
otbcrories olllIe search block.
srcsulliu a prcdelerminr,d
gmaterpercesugsofmatcheslxtweentheoncsearchblock
and thc corresponding targetblocks.

corrtspondingtargr.tblt
x ts.

1#4.'
f'
bcmetbodzccordicl
gloclaim 1f:0w'
hcrrintbcste#s

oflravezxing traverse the targetfrarnesucb thatsequential

diierer)t positions within lbe largct frame overhp ooe
arother.

'

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185.'
lYe Inetbod according lo clakn 184whereklthe
sequcntialditfcrenlpesitionsdi#cr by a!rl
csla pledeter-

thatcaa be cofupressed'and

mineklBuml
xrofr
owsofbitsant
lprodeteruAioednt
llnberof

f()ratleaslcerta.
lnoflheadjaceatcompartdblockstbat

columasofbits.
186.Tlx method according t
o claim 185 wberrin the

can be compresscd creatirlg atleastonc sulxrsel

block ofnon-unifo'
m size tNatincludts tbe ccilain

predetermit
wd number of rows of bits t
s one :nd the
Iprrdelennincfloumberofcolumnofbitsisoue.
187' n emetbotsaccording t
oclaim !60 wbeiein atlea'u
one of
the seps of lraversit?g llw targel framo io thr
borizof
lta.
ldirectioa and lravtr
sing tbe urgctframein the
vorticaldirectiontraversestlzeenlfre targegframo.
188.n emelbod according o claim l87wberein:
'

dctermiaing wbctberadjacontcompafcd biocksexisl

adjacenlcomparedbl
ockstbereia

hod accordiug to claim 195 wllerrin Iho

196. n e mel

certainatl
jaccntcomparr.dblt
x;ksincludesallcerlainzdjaccn1t9c
artd bl
ocks
7omp
Tbe method '
according to chim 195 wberei
na
plurali.tyofsupersc!bl
ock ofnon-unifon'
n size arecrezted*

traversingtl
x entiretzrgetframeint
hohoi
izontaldifectioniucludesmakingrepeatedpaase.sint
lw borizontal

ll
za!rachizlcllltl
e.
scerlainadjacen!cornparetlblocksthereia
and wbtreinlheccrtainadjacentcomparodbl
ockswittlin
machoffll
epluralityofsupcfryetbl
ocksarc:notadjaceal1
0

tsksctiosatdiflkrenlvorticalposilienswithinthetargel
frarac;and

each ot
ber.
198.The mcthod Accordisg lo elaim l95 whcrein tbt

travecsingthecntirctargelframc intbe vefticaldirection

includes alaking rrpraled passmsinlhevorticaldircction at(Iiffercathorizoaulpasitions withiu tbe target
fraum.

189.11tmetbodaccordingtodaim 188wbereiuadjacetli
tliftrentvorticalpositionsandadjacentdiTerci
n:horizoual

posionswitbiu tk
m targelfrRmodifcrby a,mtk
staprctletermitmd nl
tmberofrowsofbitsandptedetcrminednumlxr
ofcolumns ofbit
s.
191).n e metbod according lo chim 189 wheft:
ittthe
predetermined nvtmbor of rows of bits i
s ot
x aud thc
predetormined numberofcolumn ofbitsisonc.
191.'
rhemethod accordil!
g loclaim 188wberei:teach of
tlzr ster oftravr
ersiag is impl
erzmzged ttsing a di
fereol
mssorthread.
Proc
192.Tbcmethod accordfng to elafm 191w lmreineachof

the slepsoftrzversing is implemente.

d using apiuralityof
diif
e
r
e
n
l
p
r
c
u
xs
s
or
t
h
r
ca
t
k
s
.
193.n cmelbod according loclaim 159whereinatleast
onevideo processortbread Lsusedintlm sttpofcomparing
to compare refercnco frame video data w'
if
lltargrtframe
videodalaarz
d atIeastoneaudioprocesstlrthread tsused lo
comparcreferenceframoaudio dalawitbtargctfral
'
neaudio
dala.
194.'
11w mttbod accordingtoclaim l59whereinatIeast
one protxssor tlkrcad is used irll
he strfofcompazing to
compareToferenceframevideodatawitbtArgelframeddeo
dataand al
so xference fgamoaudio datawitb targetfrae
audiodata.
195.A mothodofcompressing abil-siztofaplt
salityof
sequeal
iz frames,oach frame comprised ofa plurality of
bits.tbcmcthod comprisingthestepsof:
comparing zpluraiilyofdxerentsearch blockswilhin a
mferencrframeltz:targctfraeloobtaiaapluralilyof
compazed blocks:lbo refereoce frameboing setto an

inithlframeoftim plqrajityofsoqutatialframmsAnd

cerlaisdjacentcomparedblocksthalcanbecompressedare
represeot
ed using almke
. ,
d Iist.
199. 'Ihc mclhod acct
xdi
ng to claim 195 wbcrein 1bc
certaiozdl
.zceotcomparedblockstbatcanbecompresse.
dare
reprtscnled using a binarytrec.

2* .A methodofsearcbingforpalteraswithinaplurali
ty
ofscquentialfrzmes eachframecoruprisedofapluralityof

'lrix array,themel
bit
s arranged ia a ma
hod compzisog:
2
mz
n
n
e
r
z
pl
ur
a
t
i
t
yofdilfcrentsearch
cotnpariogna10%-.
blockswithin & refererlce frae to a targetframe to
obtain a plurality ofcxympared blocks,lhtlrcfercnc'
e
framebcingsetto afliniti
alframe oftbe pluralily of
sequentialfzames atld tbe targetfv.mc inftially tjcirlg
se;
tto asubsequeutframeoftbepluralily ofsequential
frames,tbe stepofcompe ng inclttding.'
obtaind
.ng forafirstscarchblock afilstwefg:lindfca'vmstbatoxistwilllin
tiveefaapetcentageofcomparL
thclarz
e
t
f
r
a
me'
''
'
obtaining,forasccond searcb bll
xk thatovcrlam tbe
firsl search block. a second weight intlicative of
anotherperceutage ofcomparisonsthatexistwil
bin
thc tafgetframe;and
. iflbe Iirslweigblancslbeseccmdwoiglg bol
.
b bave a
pcrceuugoofcomparisomstha!txcoed adetermined
tllrtshold discardingthatcompartdblockoft
llrfsl
'dw arcbblockst
andsecon
hatbasalowerpercvatage
ofcompArisotks.
201.n e method acoordir
zg t
o clajrs 7.G)wl
w rein tbt
compared blocks tbztcau l
x mpmssed are reprfa nte,d
usiag ali
nkodlist.
202. n e method according to daim 2 wbcrein the
compartd blocks elztcan bccomprtrx
scd are rmprescgr,
d
using abinary tKe.
203.'f'
he method according lo claim 2.
* wberein tbe

defermf
aodlhreslml
d Lsscl
ecablyadjuslable.

thc largttframe initiAlly being setto a subxqt

ztl
n
204.A methodofsearclziugforpattcraswithinapluralily
frameoftbepluralityofsequtntialframes tbestep of 'ofsequtptialframes.cacbframecomprtsed ofapluratftyof
compariag using a pluralily of clifercnl ll
veads for bitsarranged ia amatrix array ll
x awlhod comprisieg:
comparirkg,and tlw searcb blockswithin cach ofthe
. rentsezrcb blocltswritbin a
compariag apluralilyofdde
lhrtads ilavng a uniform size'such that lhe correreftrenceframctoatargtframetoobuinapluralityof
.
spondingcompartdblocksalsobavclbeuniform size'
compared blocks tNerefertncefrAmetming setto an
ark
d
Zitialfraeoft'
beplurzlily ofsoquentizlframes and
using tbepluralityofcomparedblocksto obtai
n arcpredle (argct fsamr isicially beir
lg setto a subsequeol
srnlati
onofthetaTge!framethatLscompressed from au
frameofthe plural
ityofsequenlialframes lhestep of
origjna.
lstate tbe stepofusingincludiogtheslcpsof:
comparing includmgr

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initiatiagaprcdiclivelbrcad lhalcomparcsartumbcrof
differeritprcdiclive search blocks baving ditfcreut
block sizes alvarious positious withkltim m atrix
anuy of tlm rcference framc with vari
otss corrcsporldiogprcdiclivelargclblocksin lhelargelframc
lo oblain a predicted optimum block size and a
predicted movemenldlrccti
on forthe targetframe'
and
initiating atraversaloflbetargelfrarrl
c in adkection
corrcsN nding lothcpredimed movemcntdimction
w'itlla scarch block having asizecorresponding to
lbrpretlicted optimmn bloc.
ksizo.
295.n c mcthod ac rding to claim 204 wbelein thc
prcdictcdopti
mum blocksizeiswitlliaaraogeof8x8bytcs
and i% xl?.ilbytes.
2:6.'
I7le melbod accortling lo claim 205 wbectin the
predicted movemcntdifection i
stmeofborizontal,vertical
anddiagoual.
zf)7.n e mcthod according lo claf
m 211wtwrein thc
predi
cted mov'
emdntdirectit)n i
.
soneofbori
zonlal> vortical
and tliagonal.
208.Themcthodaccording loclaim 2+1wbctei:l(
hcrzep
of iaitiating tbe traversal iaitiate.
s tb< traversal ttsag a
processortbread.
2&9.n emelhcd accortlisg toclaim 204whereint
bestep
of inithting the trw ersalinitiate.
s the traversal usiag a
pluralityofprocessorthreads'eacbprocerx
sortbreadlravcl
'
siog tbc targd framclbe prediclod movemeutdiroctkoc wilh
(ht prrdictcdcptilnum bltxk si
ze.
219.n emethod zccordiagtoclaim 209furtherinciuding
thestepofinitialicg furthertravcrsalsof1betargetframeitj
apotberdimctionlhatdtxsnotcorrespond to tbe ptedfctcd
moveamutdrcclion'
211.n emelhodaccordingtoclaim 210 furt
htrincluding
thestep ofttrmiuating ontoftbe initialtraversalsand tbe
furtbertraversalsbeforcttlaltraversalLscomplettt.
'f'hem ctllodaccordingto clairu21Owllcreirllhestep
of212.
lermi
tl
atiag ot
xmrs wbon a prtdclemincd oumtyor of
matchesofcomparedblocksisnotreacbedaflertravepsfng

ticalifllormation so thata sizeoflhc searcb block

and tbc correspondiug targetblock can bc maiataumd for1* entirrstep oftraversfng.
214.A Irlcthcd t:fsearcbing forpattemscomprising lhe
stcpsof'
obuit
aZgapluralilyofxqulntialandtime-telatedframes
each cot
nprixd ofa plurality ofbits that rcprcscnt
udco information and auother plurality ofbts that
repxsentaudio fnformati
ou'
comparing zpluralityofdilftrentsearch blockswitbin a
rtferentx fxametoatargetframetoolytai
aapluralilyof
coparrdblocks 11w referenceframeiniliallyl
x ingsct
to an initialframe
' of tbe plurality ofsequenlialand
time-rel4tedframcsand thetatgetframcinitiallybeing
sc:
ll
o asubrequenlframeoftl:e pluralltyofseqtlentia!
and lknt-relat
ed frarnes'
'
usngtbeplurzlityofcompated bl
ocl
stoobtaia areprexutatoaoftlle (argd fraam thatiscomprerssed.
zo(jaccortjsogloclajm 214.furtberincluding
ho215.
slemTbc
ofuwt
reptc
akingthe slej
)srodesignatingand rcpcaling
oa
t
o
a
c
h
o
f
t
h
e
r
e
ma
i
n
i
n
g
pl
arality ofsequcntialframcs
so
becoaw tl
w urgetjtamsone lirtm wl
zile (Iw stepsofcornP4ri
ng and usicg are pecferrue.d
216 cmcl
o(j cor(jjsgz cjaim 214 wborekitbestep
ofobt.zn
ining fub
nlmrac
ineludtslbe step otplacing a marker
be
ztween tbe vide,
o informatiou and Qm audio informatiou
within each oftht pluralityofseqt
tentialaqd time-rcialcd
frames.'n e mel
bod accordtng to claim 2.
14 whepdn tht
217
repres.entationofthetatgelframe tbatiscompressed usesa
Eaked EM.
218.'
The mettlod according to claim 214 wherem lhe
plucalityofbilsthatrcprcscntlhe :udio information repre.
stntlbeaudi
oiuformal
ion using Acolorspaceand tbestep
ofcomparingincludestlleslpsof:
trw ersing thr urgetframt, itwludin!r botb thc video
informalionandtheaudio informationvin Ahorizontal

lho targetframewi+ dilrerenisearchblocksrepreseoting a

fjirection to compart each of a filsl group of the

ppedetorminqd portion oftile roferonceframe.

213.A melhod ofscarching forpanernsurilhinaplaralily
of
qu
ru
zlg
lio
au
lfi
rn
azn
x
s,ota
cxba
frv
aa
mo
c
kse
fravp
urd
alii
tn
yo
bitsea
rra
aema
ri
yt
ho
ampr
tcan
bdeot
cl
ac
af
t
leasthorizontalandverticalclirectiorks tIw m cthodcomprm-

lurali
tyofdieerestxarcbNocksl
odifferentposilions
P
wilhin 1)r.largc:
lframe;zsd

ia tbexepsof;
cotnparing apluralityofdt
fltrerl
tsearch blocksn'ithil a
mferrocr frame(o:targetframeleotnain4pluralilyof
compared blxlts.lbe refcrencefrauw being setto an
ilzitia!frame ofthe plurality ofsequentialframe.
sand
tbe targetframc initially beirlg setto a subscqucut
frameoftbepi
urziityofsequentlalframcs> thcstep of
compari!zg ipcludingt
travGlsing tlze targotframe in a.
Il
easthorizonlaland

trzversint ll
zt target frame,ilmluding bol
11 (Ne video
iDformation arid tbo zuuio inforroatioa i.
n a vettical
dinzcdon to conaparc oacb ofa second group oftbe
plulalityofdiEcmntseartbblockslodiFertntpositioas
wtjn tjx ufgu frzme.
21#. n emcflicd acmrdingtoclaim 218 wherein lla slep
o g kmludes travvrsiog tbo target (rame in a
of compzy
di
deo information and
agooaldk.
ection,irjdudingboththevi
tjw audio iaformalionato compareeachofathirtlpoup of
orss
tbopl
uraltyofdilereutxarchblocksto di/ereulpositi
wksjygjelargetframr.
220.'
rim metiltxlaccor
dingto claim 219 wberoiatl
x sttp

verticalJimctiorzsalioczrrntmlslbalaregreatertbau

ofcxh
mparing furti
mrinelude.sthe ste? oftravcrsiag tbe

a singte bit colttmn or bi1 row, respcctiveiy,to targetframe,inclading thoth tlw vidoo mformatonand tht
compare searcb blocks Io corrcspoacling urget audio informalfom tocomparcoachofafeurll
zgroupoftbe
bloclcswitbin lhetargetframe,lhestepoftravelsing pluralily t)f diFcrenlscarcb Nocks lo differtntpositions
rl
cludiag.forthos.
cscarchblock.
sandcorrrslxml
it)g witl
zin tlze targetframe &tdieerenlrotati
onalpcsitions.
targrtbloc.
k'
salan r
xlgcoflhGmatrix array.paddiug
221.*
11m melbodaccordingtoclaizn220whereiutbeszps
bitpositoas witio be search bloclcs aBd corro- oftraveoiug the firstgroupxllx xcoud groupytlm lbird
spouaiagtargetblocltsthalareoutsideoflbe refer- group al
xlflie fourth group arc operated on ia pazallel
onceframoandtapgetframe,rospectively wilhfdcn- operatioas.

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 17 of 88

+

US 2003/0081685 A1

M ay 1,2 3
2l

222.'lhemctbodaccordlngtoclaim 22lfurtheriucludiag
flm stcpt?flcrminaling1beaepofI
ravtrsiugoneofthefirsl
second thirtiaodfour
th greupbeforetermiciating tltsteps
Qftravcrsingtl
x othcrsofthcfl
fsl secood thirdant
sfourlh

22p.
3.XYrmrlhooaccording loclaim 221vbereintestop
g
orfou
couapacuag eoulparzs search blocks 4/1th targetblocks
within lbe Iarge!frame aod furtberincluding tbe ste;p of
ttrminatfng speciflc ot
ws of!hc search Ntxks ursc.
pby l
bc,
slepsoftraxorsing lheNl
'
st
asocond third and fourth groups
if after a predctermined porti
on,of tbe target f
lame is
compared a ptedctermine;d number matches betw er;n tbe
orl
escarcllblockand1becormsfxmdiag largelblockxisnot
vewbcd.
224.n t method accotding lo clAim 223 wberein thc
predeterm irled numberisonc.
225.T'
bc mel
ll
od according lo claim 223 wbertin the
matcl
ws arerequirod lobeideuli
calmatcbes.
226.n e metbc'
d accoltling lo clajm 223 wberein tbe
malcbes can inlroduceloss.
227.Tbe mel
ie accordizlg le daim 221 lbc stop of
comparngcomparessearchbiockswithtzrgotblockswithil
z

arl
dseceadgToup l
xforeltrmioaling1beslcpsoftraversing
tbcotbersoftheEr-;t4nd secondgroup.
237.T'
hemelllodaccordingto claim 235wbertinthcslcp
ofcol
rlparfng compares search blocks w'ilh urgetNock.
s
Avitlzi
zl!hr l
azgclframe and fuftberinduding the step of
1nuAalAg sptciEc ones ofthcsearcb blocks used by tbe
stcps oftravoa1g the rstand secoad groups if afler a
pfcdetcrm ioed poftion ofthe targetframc is copared a
preclermincd number malcbes betwetu 1x one search
bl
ock aud tbe corrtsm ndin targotblocksisnotrcached.
%mg to claim 237 wherein tlw
238 n e metod &ccord
prcdeterruinoclcumberisoae
239.n e met
bod according lo daim 237 wberein the
matcbesaro requircd to beidenticalmatchcs.
24G n e method 4ccording to clafm 237 whcrein (lm
Izlalches caa ialroduceIoss.
241.The metbod accordiug to claim 235 tbo stcp of
comparingcomparessearclzblockswithlargetblockswitNm
thotargetframc,aod furthcrincludiag tf
x stopoftermitlatingspeci
fico< softbesearcb blocks te.
exlbylbostepsof
travtrsing tlx firs:and secod gcoups if,afte;
raprcdetcr.
mmedportiocoflbttargetfrAmeiscomparcdsotl
x ronesof

thetargetframe,anklfurthcriucluding lbektcp ofterminat-

thesearch blodtsresullin apredetenninod grcatecpcsxul-

ottravcrsiog thc fi1stgroup,tl

x second group,thtthird

sequentialdiffercotposit
onsdilfrcbydtmostaprexhler-

ingspecitk onesoftl
zesvarck
lblocksusedby llm st
cpsof
yaversirtg tllctirs'.secondvlbirdandfourthgroupsifzafter
a predelcrmiued portioa of tl
e targelframe iscompared
otberonesofthex arch blocksresultia a predclermiuod
greaterperceutagcofmatchesl
xt
wernthctmestarcbblock
azl
d
1
h
e
c
o
r
r
c
s
p
o
n
d
i
n
g
l
a
r
ge
k
b
l
o
. 219whermin41)esleps
12:.T'
1m mel
ilf
xiaccordingtocc
lk
as
im
groap are operated on in paraleloperatio%.
229.n emrthodaccordiog toclaim 228fk
trtherincluding
tbestepofterminatingtbestopoflraversiugooeofthefkrsl
second arltl t
hird group before t
erminating the stops of
traversiog (hcothtk'
soflhe Iirslscct?rld al
ydthirdgroup.
230.n tnaelhodacoordingtoclai 228 vebercintbestep
of coBpadng conapares seanch blocks vfth targetblocks
vdthin tbe targetfI.nAe aud funheraefudag ube Mep of
(orminating speciconcsefltlesearc: blocksused by 1be
slel:
s oftraversingtheflrst,second and lbirdgroum if,after
apvedettrmirked poltiou oftbourgetfrAmoLscompared,a
predetermtaed uumlxr malciws G tween ll
w;oti
e scarch
block azad tlw cozzespx aingitargel
to cbl
lai
cvm..kszxl
iszlol
wber
reaecbod.
in ttte
z31.x o awthcpd accord ng
pre
ter'
mi
rmmb
son
&de2.
f'
i
wneu
me
tlloder
zcial
rde
in.g to claim 230 wherTia dm
m.l
c'
hesam roquire.
d lobcidenlicalmalcbes.
233.n e mol
hod acttordng to daim 230 wherein the
m ztcbe.scan inlroducc1css.

234.'
llx methcd ccording to claim 228 tbt step of

age of matcbcs bctwren tbe one seatch block and tbe

corrtsponding targotblfxks.
242.'l'bttrmthodaocordingloclaim 2.18wl
w reiutbestops
oftravcrsiug lravtfsc tlke targetframesuch tlt
atscqucuti
al
diffrrcz)t posilmns wjlhin lbe targe.
t framc ovrhp one
ano
er.n e mclbod accordiag to daim 242 wherein tbe
2t
4h3.
mmrd zlumlxrofrowsofbitsacd predetormiuednumlxrof
columtu
sofbits.
244.n e metlod according lo daim 243 whefoin tbe
prtdetormiaed nutnbcr of cow'
s of Nts is ooe and lhc
predclermine;
dnumberofcolumn otbitsisone.
245.RY omctbod according:3c1an 218whexin atlcas1
oac of tbe stepa of lavcrsing lhc larget fnzne ia le
horizonlaldiredion :ad travccsag thc Iaqlel&amr : :>s
verucaldirecli
ontravcv slize entirotazgetfl
auw.
246.n ometbod According to claim z45whereinr
lravtrsing lw tntirotargotfzamci!
ltbolmrizontaldirecQoD iilcludo nakin:rf atedPassesin tbeborizontal
directfonatuifrerentvcrtzcaipcksftionswitnfn tlw target
fta r;atz
m versing (hctatire lazgetfnmein theverticaldireclos
includes(naking repcated passesintlz verticaldirection :1diietcntbotizonlalpositionswitbin the urgtt
fram t.

'

247.n cmcllxxlaccordicgloclaim 24:wbercinatjacrns

comparinzcotnpare.
sscarcllblockssWtblargclblocksw'
ithitl diffoftntvcrticalpositionsandAdjaccnldiietentborizontll
tbeurgetframc.:nd furt
berincludng tbcstop oftcrminatjngs'pecificoae.
sof$h:sezrch blocks used by tbe stepsof

posi
totk
switNintbc targetfzamedilerbyalmostaprexhtennkl
odaumbcroftowsofbfe'andprtdotonnined nvtmt-r

trwersing tbc Erst,xcond and Ihird groups

' after a. cflulzmsofbia.

--

predetermiaodporticm ofthclargetfzameiscompareU,otber
248.'
I'
bo metbod accor
ding to claim 247 whereic lhe
onesofthestarcb blocksresultin .predermine,
zlgreator predotormiue.
d numbor of rows of bits is ooe and lbe
ptrcetktageofmatcbesbetweenthconescarchblock anqlthe prodelcrined numberofcoluan ofbitjisone.
corres> nding tatgetblocks.
24# n c1
:6f
1)% accordiog lochirzl246.whcrrineachof
235.TberzlelhY aco rdinglocl.
zim 2)8hvberrinlbc;stgps lhe strps og tr&versktg s implemenle.d usirtg a dijtkrcut
'
of travcrsug t
he first group znd tbe second gtoup are processorthread.
operated on in paralleloperatious.
250.n emet
hod zccordiug toclaim 249wbcreineach of
236.'
Iheimcthodaccordil!:toclan 235fttrfhcrincludng theslepsoflravcrsii
ag is ialpkrucaled using agluralily of
thestepofterrflinalir
!g 1b(:slep oflraversing oocoflhefjysl difcrcf)tprocessortbrcads.

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 18 of 88

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M ay 1,2* 3
22

251.Tlm methodaccordingtoclaim 214wtleroinallcast

onevfdeoprocessorlhreadisused ic lbeslttpofcoznparipg
to compare refercnce frame video data with taretfracne
! usedto
v
nd
at
lef
zr
s
one
udoioda
pu
roc
cs
or
ci
odre
so
paura
eta
re:
fc
rea
ce
atme
auadi
wi
ls
la
tat
rl
gwe
etad
frals
moaudio
tlata.
252 'n emetbod accortli
ngtoclai
m 2l4wl
x rein atIeast
d is used iillhe step ofcornpariag to
.
esor
fertu
cezaframevidco dalawitbtargetframcvi
deo
ou4t rrtlces
lhr
da
taand
compar
eratso referesc.eframc audiodau witl (argctlkame
iudodata.
253 '
l'
bcmetbod accordingto
mth21
4
wh
er
eain
be
oi
p
iclai
f
tt
ar
gct
fr
t
rl
e
lbs
at
t
s
'
k
ofusirtgobtainsthcrepresentatono
c
om
res
edilur
asocompa
re,d to tbe originalstatt w tboutany
lo
sspl
x
iusg
duced.
z54.n emetbod according (oclaim 2l4 w'bereirlt
hestcp
ofcomparing corupares tbe search blxk wilh liic target
frame usingAND operatiorts.
ZSS.n etlmthtdaccordingto claitn214 w'
herrirltheslep
(jfusingobtainstbetepresentationoftbctargetframolbatls
comprmssedmscomparr,dtotbeoriginalstatcw ithltl&sbeing
iu'
troducetl.
256.n emelbod accor
dingloclaim 255 whereiulhtstep
ofcxjmparing compares t
hc searcllblock witb lhc target
franm usi
ngAND operalitms.
257.n emethod accordiug(oclaim 255whereinthesttp
ofcompating compares the search block will the targtl
frame usiag OR cw ralitms.
:58.TbernethodaccordingIoclaim 255whcreinthestop
ofcomparing compares lhe search block witb the largtt
frameusing XOR opcralioas.
259.'
rl
w method aceordingto claim 255wkmfeinthestep
ofcompariog comparcs lhe scarch block with tbe targtt
fraam u.
siz)g addoperalions..

267.'l-befnetbodaccordingtoclan266 wherefntlycstcp
ofmparirigfuElheri
ncludeslhostepofseloctiugadesired
amountofIoss tbateanbololerated wittkiu the repteseat
ali
o26
n.8.Tbe metimd according lo claim 267 whctein tbe
compared block iscoasideredidouticalto the searchbbck
ifdPercmntai;eOfbit.
wilbinlbolargelblock isalleastegual
totlw desired amountofloss
269.Tlm methtxlaccordinglocta;m 214wlmrcintlestcp
o compaziug flrtbtr includes tbe slep of selecting an
amtmnoflosstbatcanbelolerated within tbe represenlatior
2i.
70 R'
be rrl
fthtxlaccordingto claim 214wberciilthestcp
ofcomparing includoslhesttpsof:
irgtiating apredlctivoprocessorttwead to obtaia anestiwate ofa likeliboocloftnatcbe,
s bctwoen tbe sezrcb
block alcltbetargetf
zame:
'and
passingtbemqimattonto atleastouccompzringprocessor throad tbatfs uscd (o comparG (
he plurajty of
differeutsearchblockswithintlm referencefraa)oto(he
bargctrametoobLain tbtpluralityoft'omparedbloclls.
:.
71 n erj
w rhk
.
xjaccordingl
o claim 214wr
berelzllheslcp
ofcom'pariag compzrosalabitlevel.
z72.'
nm mclhcxlaccordingloclaim 214wheroi
ntbeste:
p
ofcomparing comparrs al3bylelevel.
273.A mell
odofcomprcssingabitsizeofapluralityof
sequsntialframes eac.
llframe comprir,d ofa plurality of
bits llzemetboclcomptising tbestepsof:
comparing apluralityofdi
ffertntsearcb blockswitkiu a
refereuc.
eframetoalargetfrzmetoobtainaplurahtyof
comparcdblocks llxlrcfrrenczframriniliallybringsel
to ao initizlfram'e and tlw targotframeinitiallybeing
xt to a substquent ftat
ne the step of coavaring
'
j
nautsng 1heslcpsof: '

260.e
n emetbod accordingtoclaim 255wbereinthestep
ofcompariog compares the search block with th: targel
frame usiz)gsublractoperations'
261.'n emothod accordingtoclaim 255whcreinthestep

delermining whetber a dtsircd compression rat

io
betwten ttm reference frame and tbe subwquent
framcL&reached'
*

ofcomparing compares the searcl&block with lbe targcl

frat'
nt usingroullitHy operalions.

fthedtsit'
edcotnprtssiorlratic isrcacbcd.thca lerminllti
ng tbestcpofcomparing;and

N 2.n emetbodaccordingtoclaim 255wbcrtinthestep

ift
llecjcsiredcomgrossiourationisnotreacbed,tben

ofcomparing compares the search blcsck with lbe target

frame usizl
g divide operztions.
263.'Ihcmethkxlaccordingtoclaim 214wberti
n l)estep

usiug tNe plurahty ofcompared blfx;ir.s to obtain A

rcpresonusi
onoftbetargotframetbattscompres.
wd
ascompare:
d to anoriginalstato.

ofusing combine.s overlapping oncs of tbe piuratity of

274.n tmcthodaccocdinglodaim 273furtl rincluding
comparcdbbckslooblais asuporselblock tllatisusedfor thestem of:
therrpresenution.
redesigaatingasslzcrdereoctframeLbesubwqutntframe
264.n emethodaccordiugoclaim 214wilexintim step
jjjatwastheurgetframeandredesiguatingaslhetarge!
olcomparirl
g irmltzclestbeatepoflrackingcompare.
dblocks
&alllf alH j> rsutwcqurx framrlhalfollowstbe subt
ha
t
c
e
pr
m
%n
t
a
a
i
d
e
n
t
i
c
a
l
ma
t
c
b
b
o
t
we
e
!
z
t
l
m
s
e
a
r
c
k
b
l
oc
k
sequenlfyal
r,
e.
and:colrcslxmdingtargetblockthatoxi
stswitbinthetaqet
'ariqj
fzalr.
'CPC3IZ:lbe:SpsOfcompiring and detetmining.
ku t or
275.Auapp&ratusfotpattcratecegniouot
lapl
urali
tyof
265.'I*hcmethod accordiagto claim 264 wbere sep
smueutialframes oacb frame compriscd ofa plurality of
tracking is used lo ?rovi
de 1
t dynamic iodicuion of an
'comprising:
l
s'theapparatus
.oo achi
amour)lofcompressl
tvable between tbe reforcace bi
frameandthetargd frameandwhereinlhestep ofcomparapeocmusorwbicbusesau applicationprogram to initiate
ing furtherinclutks the step of selecting a compression
aPredfctivethreadt
o dct
crmincadefaullpatlem direclzrgctrauo.
tion,makecompal
ixmsbotweeuvarioussearcbblocks
256.'lhemelhodaccordingtoclaim 264whereintl
x step
from a teference frame witb corresponding targtl
ofcompariug Lsstoppedwhenthe dyn4mic i
ndicalion iudisearcharcasofalargelframeioarlras!bozizootalancl
cxew
s lhallhe comprer
xsion targekratio isreaclle,
d for the
vertical dirctions using a diffelctltlhread for each

tar&tlf
.rame.

dircction obtain comparisonmatchcsasalfrjkedlfsl

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 19 of 88

w m

'

US 2003/0081685 Al

M ay 1.2003
23

procrsslbe EIZCr
..
CIlistto obtain asupersetblock thal
includcsoverlapping comparison m atcbe..
s aildstorc a
rcsultiug couapressed franae'and
amemory forMoring tllcresultfag compcessed ff'
axrlc'
276.A computerradablcm edium operablc witb aprocesa?rcomprisiog:
a computerprogram store.
d on the compule.
! readable
medium om ratlle (o pcrforrrtpattem rctxkgfuli
on lbat
initiates a prctlictive thread to dctcrmlw a dtfallll

patlerndirection makcscomparistlusbelweenvazious
search blocksfz'om arefereucefralnewilhcorrespood.
Zg targclsea:ch areas ofa target 9ame a aliemst
horizontal and verticaldirectioas using a diffcrcnt
thread foreachdirection obtainscompafisou matches
as a linked lisl,process' Ihe linked listto obtain a
supersetbl
ock ttlatndudes oveflagpiug comparist)cl
matcbes andstoresa rosullingcompressed frame
+ @. # + *'

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 20 of 88

No.()V06-00114

ETREPPID TECHNOLOGIES,INC.
VS.

DENNIS MO NTG OM ERY,ETAL.

Ad
Ex.
t/tted:Fvbruaa 7 2006
ml
RONAL

ONGTIN R.,CLEX U-

By

.
,'
J'

-,Deptlt;

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 21 of 88

Pleasetum recm ledlo:

Pt
n> H-P
NklsboryW i

AW Ci
kt:(142* 3/0261929
Cl
e tReh EW .(X)2

xth0 ,EaslTc11 N- YOA Averun,N.W .

Wasblf> ,O.C.2* 5.3916

M SIGNM ENT
OfU .S.O rizin PatentApplication

W HEREM , the undcrsignot to wit: DENNLS L MONTGOMERY, (bereinaer

ASSI
A GNOR),hmsmadean invenlionentitled,uM ethodflzl#W#llflrl/lt/brStreaming .
lM/4 Using
.

tlftlffrl: Cryptgraphlc A'

c.
y forw hich an apptication forlxetlel'
s Patentofthe United Statesw as

filed in tho United States Patent and Tr

'adem ark Oflice on M arch 29, 2001,undvr SerialNo.
:9/823.278.
,and
W H EREAS,e'rreppid Techuologieay IULC,ASSIGNEE, a corporation duly organized and

existingtmderthelawsoftheStateofNevadaandhavingitsplinciyalomceandplaceofbtlsiner,s
at94l0 Prototm eDrive,Suitc 18s Reno,N V 8951l,desiresto acqulre an interestthereini
* *+

N O W . THEREFORE,for good and valuable comsidmatiow the receipt and suffk ierkcy of
which arc hereby acknow ledgeds said A SSIGN OR does hereby sell, assign and tnan.
qfer unto
ASSIGNEE,itssuccessors,assignsand lcgalrepruentatives, the tillland exoltusive right title and
intercstto the said invention in theUnited Statcsatld allforeijn countries, as described in the
aforesaid application,and to the said application and to a11contum ations, divisions,reissues and
substitutesofsaid application, togctherwith the riglztofpriolity underthe lntcm aticnalConvention
for the Protection ofIndustrialPropmly, Inter-Am erican Convention Relating to Patents Desin s
,
a
And lndusttial M odels, and any other intem ational agreem ents to which the United States of
im erica adheressand M SIGN OR hereby authorizes and requests the ComrnissioncrofPatentsto
sue said I-etters Patentto A SSIGN EE, for itq interestas ASSIGN EE, its succe-ssors assigns and
lrx
,
egalrepresrntatives.

AND ASSIGNOR hcrcby agrees to execktte any papet

's requested by ASSIGNEE its
,
successorsyassignsand lcgalreprescntativ , deem ed essentialto ASSIGN EE'
S fu11protection and
tte
il itzand io theinvo tionhmvbytrmusferred.

A SSIGN OR ftlllhennorc ap'

ee,s upon request of said M SIGNEE, alld without further
rem uneration.to cxecutc any and allpapers de-sired by said ASSIGN F-E for the Gling and granting
offoreign applicatiors and the perfocting oftle therdo in said A SSIGN EE .
W

NOTE C'
l'he undersigned hereby authorizesPillsbuzy W inthrop LLP, ofthe above addresszto
Se'
I4 fuzthcridentification neceswary ordesirableforrecordation ofthisdocum ent.
Executed on the datebclow indicated.
K

Sl ature

' '''

Date Siane,d

W im e

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Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 22 of 88

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US 20020141590A 1

(19)U nited States

(12)PatentA pplication Publication (jvjpub.No.;IJS 2002/:141590A1
M ontaouler'y

(43)Pub.Date:

(54) METIIODANDAPPAIGTUS FOR

O ct.3,2002

(52) IJ-s.cI....................-..........................380/277

STREAMING DATA USING ROTATING

CRYIV OGRAPIIIC KEYS

(57)
(76) Itlvenor' DennisL.Montgoluery.Rono,NV
(US)
CotresrxlsdelyceAddrer:
Pill
sbury W lthrop LLP
1.
600 .PysousBoulevard
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SIpartment

ABSTRACT

A mcthodofprcdudngast
ream ofdigitaldata.'n emetNod
fncIudes dcznuiuf
llg 4 pl
urality of porriocls w'itllia lhc
streatn ofdigitaldata,such ttutaporlioa ofllestream of
digitai data fs cncryjlt
ed wfth arlence'pfon kcy tllal i
s

Capableofbeingdecrypted by Adecryptiou keyaud the

ponfon induding lhereiuanolbordecrypti
onkcycapableof

(21) Appl.No.E

09/823:278

decryptingasubxquentportionoftlzestrcam ofdigitaldata,

(z2) l7iled:

Mar.29,2.
(Kj1

encrypted witb anotbtrencryplion keyttlaliscapableof

and tcsubsequentporton oftlze stream ofdfgifalcl

atas

Publication Clarxsification

(51) nt.CLT.................................--.......H> L 9/

bein:dtcrypted bythe:Anothtrdecryptioakey.'l'l
m metli
txl
atsoincludeslrasmittinglm strcazn ofdigitaldata,includ-

fngtheportionandthcstibsrquentporti
oo.

190

Set-up
decrypterkey
192

Encrypted
decoder
194

TestData Sequence '

196

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 23 of 88

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Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 27 of 88

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PatentA pplication Publication

O ct.3,2002 Slleet 5 of 9

User

US 2002/0141590 A1
Server

Send m essage to serverforservice.

510

Transm itdeclyption software and

linking m odulestoend user
520

Receive and installdecryption

software and Iinking m odules.
522

Send m essage indi

cating installation
com plete
524

'

Determ ine set-upencryption and

decryption keys
530

Obtain testsequence,encaderand
decoder,and encodedtestsequence
532

Encfyptdecoderand encodedtest
sequence usingset-up encryption key
534

Transmitset-up stream
536

FlG .5A

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 28 of 88

'

- :

PatentA pplication Publication

x-

Oct.3,2002 Sheet6 of 9

U ser

US 2003/0141590 A 1

SOW O r
- -

Recei
ve setup stream

540

Deted decoder set-up decryption key,

and testsequence
542

Installset-up decryption key,m onitor

tim e needed to install
M 4

Decryptdecoder,m onitortim e needed

546

Decw ptand decode testsequence,

m onitortim e needed
548

Transmitmonitored result
550

FIG .58

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 29 of 88

w

PatentApplication Publicatitln

Oct.3,2002 Shcet7 of9

User

US 2002,/0141590 A1
Server

Receive m onitored results

552

Determine key length and keyrotation

period
554

Transm itmessage regarding desired

stream

558

Recc nize userrequest

560

No

Go to 510

Yame Machine?
562
Yes

Obtain stream and associated encoder/

de der,encode and encoded stream
564

FIG .5C

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 30 of 88

PatentApplication Publication

()ct.3,2002 Sheet 8 of9

US 2003/0141590 A1

User

Server

Encryptdecoderand initialportion of
encodeddata slream using set-up
encryption key
566

lkansmitencrygted decoderand initial

portitm ofenclypted and encoded dala
stream

568

Determ inesubsequentencryption and

decryptionkeys
570

Forsubsequentpackets,include headers,
m arkersand subsequentdecryptionkeys
572

Transmitsubsequentpackets asrequired
574

Receive packels from step 568 and go to

step 582 orreceive from step574 and go
to step 584
r>8o

Decryptdecoderusing set-updecryption

keyandinstall

582

FIG .50

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 31 of 88

Y e

US

w ..

2/0141590 A1

()ct.3,2002
1

M ETHOD AND APPARATUS FOR STREAM ING

DATA USING RfHWTING CRYIVOGRZYPHIC
KEYS

HELD OF 'I-HE INVEN-I-ION

(*9I Tbo rcset
u inventioorelatos acaotbod and appa-

asptct,comprcssioolcchoqucsaretypicaElyusedinorderlo
elcaivclyMream more conlsnlon aper-transmissioo urzit
basis.

R0(j?) Takingintocnsidcrali
onaIloflhe7% issue.
srtsull
in cor
uplcx sctlemes lo ensurc jyotjjtj
io qualjty oj ybe
ffprfdtxcd es
vtntandRcttrity oftbe trausmi
xsion

( )
p
'
ratusforstroamfngdatausfngrotatingcryptogzaphfckeys. ptjtk:! I(Ijbe context of digital collular plones,for
iostance.asequcntx ofoblained digitaldata which rcprc-

BACKGROUND OFTHEREI-AIED AR'l'

sentsthespokeavoictforthatpcriodcocrcspoudingtotbe
sequonee,a lypicaBy encoded vdtb : rotatlag psoudoranj
)(K*2) '
l'be ust ofeacryptioa is welll
tnown.Various dom ut
ltnberAstimeprozressesllzepseudorasdom numbcr
.

encryptionalgorithmsarcwollknownwtt
icbtbecapacitylo
encrypt data'which encryplod data can then be safdy
t
aaas
in
rleb
drt
aryspl
ccc
ur
tiz
nia
ae
tio
wigl
wh
t
map
cra
lr
l
zi
e
doec
delode
os
bl
ation
bacl
koc
lh
or
nae
lrd
tao.rtit

'lation
to tl
change
.rswil
b lberebe'ing=acorre
aorolationoftbe
pseudoraudom numbcrand thctimethatbaselapsed.Ifthis
scbcmcLSl
ooked alfrom tbcx
rsl
xctiveofoucrvo
on tbat
gk
'
*bti
pseudotandom nufutrrisaslc
key.siryceotzce't
atk'
eyis

((*03) EncryptionofdigitaldataLsal
sowellknowo and

determined traasmasiocl
swhicbxcurtllereaftercanjyol
ea-

wlzatisknownasa.ukcy,-whicbisasocrttsoqucnceofbits
Lsttsedto encrypltbedigitalclala.Tbatsam ekcy.orversioo
ofil can tben lx:trausforred lo thesecuccdestinatioo Rnd
IASCJlodocrypl1bedalalbalbasbexn transm ittodafteritllas

li&lly be determined.n e fact lbal it will take lime to

doterm inewhorc icktherotationalsequcnce tbe pseudoraudom numberif
idoesnotchangethatcbaraclcristicofsucha
Systcln.

lyeenencrypte.
dusiegacorrespondingdtcryptionkey.
(00091 Furtherconveoti
onally.whcnaudioandvideoarc
((*()4J Separat
canddtstinctfrom encrypti
onistbtstrei
am- slreamedfrom ascrvertoanead-usorcomputertbercmay
ingtranstnix
ssionarld reproductiou ofascquence ofrel4t
od
digitaldata also called an eveuttloroifl.Any sequenceof
ligilaldata wlwlhcrtllatdau ispartofalorx
slessotlorssy
transmission.can be considered to ma
.kv;up aa tvent.
Examplesoftberesultsoflypif
zalevents&r:movitsbaving
srqucnces of visualimages w'
ftllorw'
ilNoulcontiauously
cbangiog audible sounds and songs witb cootinuously
changing audibles'
ongs.Conlinuousevents suchasastrtam
oftoxtdat.tizatc:angesfrcquently,stock markctquotcsfor
examplepcrealso porx
sible.Standardssuch asMPEG havt
beeadevelope.
dr,othatdoviceswhich receivethestreamng
traasm iu ions typcally an end-usorscodnputer.can pzcog-

bepasswordprotectfou aodolbcrregtstratiooproccdaresto
verify t
battbeentlty recei
ving and reproducing the trausEui.
uiotli
sautborizefl.Tberemay zlsotyecodesombedded iu
tllc digitalclata which only allow thatdigilaldata to be
mproduced on a ccrtain typc of player,or cven more
spccilicailyon aspccilicplayetofacerlaintype.W bilethis
can prtven!unautborizzd accesstosomc cxtent thodigiul
data lhatmakes up the eventis in alostitwtauces I
x)ncg
lcfyptod.And ifcoctypti
oaexists lhateru ypti
on isprt
vidcd basod upon akcy tha!resides althe end-usercomPutcr.Accordiagly.such assyslem carlbe umpered with
Particularly lo the sopG licate -backen

nQe.
CIthctypeofsequenc.cofdigitaldata and t
ucy
eitto

g0010) Also,encryptionofstreamcddigitaldataisalso

reproduct tbedesircd images.sounds>effoctsor(l

w likc.

pcrfortncd in orderto sect/rv i1. Tbus n'bctlbeing rclpro-

(1K*5) wjth resma totbostreaming lransmissionofthe ducod,thatdiyitald&u willuced tobedecryptedpriorto

digjlaldalaconterltthatmake.
sup aoysucbtypeofcvent

securily challengts havo becomo ever morc apparent.In

panicular,dueto tbe easc witbwhich digitalf
latacaa be
copie.d and rcproduce.d lo thotusands if not roillions of
persons,systelnsw hichIaoviclesocurityonthcconteullzave
bctn introduced in orde.
r to prevcnt replication.Furtbor
sin the stwam ofJala wia exku forpt
alentially alrnglby
period oftimt ifan unautlmrized usereaostudy aninitial
partoftbeeck
tircstream auddeterminethesecurilyI
ncasalre.
s
takonto ylrovotltunautliorfzedaccmss thatuaautllorfzeduscr

rendering ofthsdigilaldataoccurring.And ifcompression

tectmiqur.
s art used,then dtcompression mustafso take
placcvm tentialiy along with cncfyption,before the digital
dalaisavailablcrorrcadering.Iaconventionalreproduclion
procea s,tbcdccryplion,decompxrxsion and readering a:e
performed in asequentialmarmeron eacb packet.In tl
ze
conL
extof a digilalvideo rtproduction each packet is
lypically oneframolkalisreccivcd.Tl
w entire proccr
.soa
thatpacketmtkstbocompletebeforeasubstquentpackotcan
thcOlleralrd ttlxm .

caupot
oatiallygainunauthorizcdaccesslothertmaindtrof g0t)11) Accordinglypiftbeteproductionprocessbccomcs
theevma'pwlliclzcanbedamaging.Forilzstattcc,d
-duringtl
w
fit
m fiveminutesofamovie'cluriugwbichtimecommercials
arebdngrzasmittedytkterminetbesecuritymeasurestrn
t
o prevea'unautborized accessxthatunautborized usercan
polentiallygainunauthorizcdacceasto theentiremoviothat
willtxkshown thercafter.

ovmrly complqx tbcprocer

x
sofom rating upon aparticular
packctofdigita'ldat. may notbeeu compltled priorlo a
subscquentpacketbeing reoeived-In such case.tlzatsubse.
' 1.)* of
queutpackelwozd bcdropprd rasulling insome
.in !ho rperceivr,'
undcsi'
redublipr
d cvent.

(*061 Anothorchallengehasbeenthebandwidtbrequircd

j0012) Itwould be l
hereforr.desirable t
o implement
mooods asd systems'lilatcould more rcadily roproduce

in ortk;rto lxth transmitdigitaldala and then reproduco

from the transmitteddigitaldatasaimciuntcontentinorder
to mako tl
m ovcst cxm lience realistic aod appeating.
Ac
c
c
g
d
i
n
g
l
y
,i
nc
trul
bcc
lra
ssb
ion
foa
documeclors
ing
leon
ima
ge.to
whl
i
bca
aixs
tmi
hea
creo
pr
dus
ci
eu
dol
at!

streamed traasmucxsiofjsofcncryptcd andcompresseddigilal

dala, as w ea as s rljley xcuj
.e ljlr jransmisson ofsucb
djgjjaj(jata.
SUMMARY OF TI
'IE INVENTION

anyspeedandtbenviewed.lhotsmpor4laspectinheret
!tin

(0013) Itisa!lobjectoflbepreseutinventi
ostoprovide

the(wentexperienccmuslbecimsidered.M aresultoftbis

methodsand apparatuslhatcanreadly roproduc.

estreamcd

'

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 32 of 88

>e

>

US 2002/0141590 Al

OCt.3,2002
2

transmi
ssi
onsofencryptcddigitaldatathatmayormaynot (08231 FIG.4illustratesablockdiagram oflbeend-user
also be eucoded wilh sometypeofcomprc% iou routiue.

I
)(*t41 Iti
s afurtberobjcctofthe presentinvcnlionto

rovide m etbodsand apparalus lhalallow fortlle furttmr

P
securing oflhetransm isiouofencrypled digitaldata.

(@j15) Theabovcobjectspandotbcrspwbetbertakensingiyorincombinatiou areachievcdbydilferentmt:thodsand

apparatus,iacludng,bu1notlimited to certain muthodsand
apparatusfortransmirx
si
on,andolhermethoctsandapparatus
forreceptionpasw'
ellas acombination ofboth.

compulcrand in particular tbe various softw aro modules

used forttledecodia!.doc-rvotionandrenderineooeratious

accordineto the pre%

'
s
'en!ia
'v
*cntioa and i
heir'
>
rcl
*
atonsl)ip
-

Withcon=
v'tntional'snd-usercompule'rsoftwaremodujes.'aulj

(1*24) FIGS.5A-5EIll
ustrateflow chartsoflbeprocesses
accorf
jug t
heplesentiuvention.
.l
ol
DETA II-ED DEscRlFn(.
)N OF 'ITIE
PRISIZRREIIEMBOIMMEN'I'
S

1#925) Il
zaccordanccwithtbepresentinvrntiou. astream
g(*161 Oncmeihod accordingtothepreseatinventionof ofdigiuldau isdescribr,d asbeiug traasmittod in tbe
producing aslream efdigilaldataroquiresdettrtzli
naliouof
apluralityofpol
li
oaswithi
nlhestream ofdigitaldalaysuch
lhal:portionofthrstteam ofdigitaldalaisencrypted with
anoncryption koy tha!Ls capablo ofbeiog decrypled by a
doclyption keyatld tlm portionincludesanolberdecryption
kcycapableofdecryptingasubsequentportion ofthestream
ofdigitaldata.A subsequentportionoftbestreanlofdigital
dalaiscucryptedwilllanotberencryptionkcythaliscapable
ofbeing decryptod by tbe anothcrdocryption key.M so
enclryple-d.tlm strtam ofdigitaldatai
stransmitted,includ-

ingthcportionandtbcsubr
equeatportion.
E(*17) A mtthodofdtcryptiug astrcam ofdigitaldata

includes recciving a Porti

on ofthc Mream digitaldalaxtllt
Erstponiorlbeingencrypledw ith a.
ntncryptionkeycapable
ofbeing devrypted by a decryption key antlincludiug a
subscqueutdecryplion kly capable ofdecrypting &subsequenlportion oftbc strczrnofpacketsofdigitaldata.n o
portion of1lzt.strcam ofdigitaldataistlxndecryptedusing
tbedecryptionkey.'1'llcsubsequeatdecryplionkeydisposed
within llze portion of tbe sr.ream ofdigitaldata is lhett
identified ptiorto completiou ofdecrypting the portion of
tlx stream ofdigitaldataandtheninstalledpriorlocompletion ofdecryplingthc Iyortion oftbestr'zam ofdigitaldata.
Andanothe.
rportitm oftbestream ofpackel
sofdigitaldata
islhea reccived and decrypted tusing asllbsequenldecryption key.with the aoothorportion lxing cclcryptod with
anotlxrencryptionkGythaliscapableotbeingdccryptcdby
tbcsubsoqueptdecrypt
ion kuy.
'

e.d embodimenlfrom aserverto a remotely located

Prefen.
end-user com puter.W hilc described in such terms,ilLs
urxlerstoodthattransfo:sfrom aremolely located-end user
computorto asenrer. orbetweenothcrdevicms,iscoutcmjyed andbeing withinlhcscopcoftheprescntinvention.
PA
Andthepresentinveution willbave many potentialapplicato as. such as, forcxem plary purpo-sesonly,applicatious
tj)atporform routing, oEsitodatastorAgt.Inovie oraudio
djstubulion, pay-pervicw programming,ortransmirx
siooof
(jatabetvvcen r
sourccs such asbetween anautomatedteller

IDacl
neaudacomplteroftboirownerbank-

getctij 1:isundcrstood however,lhalastrcam ofdigital

datacan aLc
,obc traasmittedlo &remotely l
ocate;
d end-user
com putcrfrom locatiortsothertban ascrver. suclzasaIocal
co orotbermemory storagc device. Transm issiorlfrom a
scrveris uonethcless preferred, siucx asdescnlx d herein
the decryption koyscan be retaincd witb greatorsecurity
lllanifthodigitaldataisstorcdinanencrypt
cdform on &CD
orothcrstorage(Ievice, sinceinmany situatioasitmaybc
rsquired to storc tl)e decryption keyson tlm CD orotbor
stotage device. W hile il is lxr-kdblo Lo dcsignate as Gbad
lracks''locations which storo the docryption keys, thatis
noncthelcss not as securc a.s having Ibem stored ore
socurclyonaserverpreferablymainl
ained inaNighsecurity
area..

(9027) Assllown in FIG.1,according to the present

invcnlion,1stream ofdigitaldatacan beprovided from a
server3% to anum boroftnd-userclientcom puters4* -1

!r
K 18) Otbermcllzodsandapparalusarelescrlbed asset

to40:-n pacticularlyoveranetworksucbastbelnterl
wtor

BRIEF DLSCRIPTION OF THE DRAW INGS

lhati
snotneccssarilyncedod.AswithconvGntionalstrtam-

foflhbrrein.

a com pauy Iutranet.And a w ired Imtwork bas particathr

advantagesin(becoot
extoftllepresentinvention although
ing applicatiorsy asequcace ofdau packotsm ak.e up lbe

g19) n eabovoand otherobjocte

sfeatures,andadvan- stream accordingtotl!epmsentiaveotion.withtbeseparale
tages of lhe prcsentfnvtntion are furtberdescrilxd ia tbe
detailed dcscri
ption which.follows>with reference lo the
drawingsbywayofnon-limi
tingoxemplaryembodimenlsof
tllepxstmtinvention.wheroin likr refereucenumeralsrcprcsent similar parts of tbc prmsentnvcntion througl
xmt

(jata pw kctstypically being ordered in ryome rclationstdp

'ajmovjo,foriastaoce,
with rcspe.ctto caclaotlw r.Ioad'
lpt
tj)atorc
lcrrclateslo temporalsequeoce offrames required
forproperreproductiouofthe moviccontcnt.

according to theptcscntinvention;

yccd notlyrfurtbc;
rdescfibed.
PIace alth1slcvclI

scveraIviewsandwl
wrein'
.
(20) FIG.1llustratesanovcrviewoftl
m overallsyslem

(00261 ilsbouldbenottd ll
zaltbopmrenlinventionoperatesataltvelthatLson top ofthetransportlaycrprotocol.
such as TCP/IP orVPN.Accordingly,operations tal
cing

(*21) FIGS.:
lA and28 illustratcdiagramsofaslreams

g0()z9) Inoperation,as Lsknown auxr*411irdliallybe

g(*22) HG. 3 illtkstrates a block diagram ofthe server

soflwaremodul
esthatwillIiIA witbthedecoderthalwillbe

uw d ia accordance witb the presentinveution'

roquiredtopx -iastallcertaindecryptionsoftw are aswellas

and.inpadicular'lbevarioussoftwartmodulcsusodforthe
cncodng andcncryptionopcralionsaccordingto Ibf:prcscnt

transmi
tlrdwithtbeinitialportionoflbedigitaldataslream,
a.
sdescribed furtherhercinafter.

inveoti
on and theirrelatioaslip with conveationalserver

(0030) n edocryptionsoft
ware asisknown isoperable

softwaremodttlesi

to clecryp!anincom ingoncrypteddatastream based upon a

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 33 of 88

+

US 2002/0141590 A l

'

OcL 3,2002
3

dccryplloflkeyassocialedwrhicbmuslberomcknown l
o lhe
decryplioasoft
ware.Accordingtothepreseutirl
vefztiou itis
aottbecctcryption/decryption soflwapetbatisnovcl sioce
manydilcreutlypesofeucryption/docryptiou softw areean
beust.
d asdescribez:
lberein butapanicularlyadvaalageous
teatttre of the prtsenlfnvention is the fnanner fn whfcN
decryptionkeysare used zndwhere theyaIelocated aswi2
bc dcscri
tvd furtllerhcreiaafler.

decryptioakeys252each hzvcacotrcsppudiflgsubscquenl
elz
clyption key aud wil have acorresgondiug key lenglh
suchtbaltbc encfyptioa keyaodcorresporl
dingdecryptiou
key witlcbange t
o operatc upon the samc corresponding
dala.Thiskoylengtisdcttrttlirledbascd tzponflctoissucb
as (6e desired lovelof sek-ugity,exjx)rlrestriclicms anJ
lypie:1processmg power aud cau thus varycoasiderably
szl
sllas fzom 29 Io 256 blts,orhighor.

()
(#B1) n e xftware moclules tbat w1
11lnk with the (0036) Inoncspeciik aspeaoftbepteseatinventioa the
decodqrarealsoconvcnti
onafaad asiscouveutfonalpractice,arcpreftrablyJavabased modulestl
zatareprogrmmed
to illstalltlm lransmilled stkflaarc-basot
lt
lectyder,aad lhea
allow fortheopcration,througl
zrunning tbtoxecuablcfkle
lbalmakcsuptbedccoderasdescribed bcreinaher.Itisalso
uotedthatwhilethepreferred embodimeatcontemplatcs!he
usyag<ofdataencoded by an encoder,whfcl
zisthen subse-

Iengtliof (l)e subsequentdecryptiotlkeys 252 can v'

ary,
cithtrduri
ng tbclransmirxsionofasingledigitald&tasl
a am
2* tv dt
?riag thc transmir
s
'sifm of vzrious dfgilal dala'
streams2* .Oneadvantageofusingdifferenllengthkeysis
that lho key I
oagtllcan be varied depelxling upon tbe
performaoce charactodstic,
.
sofa particularcnd-uscrekicat
computcrs400.n ms,iftbe l
foananceoftbtparticular

quentlydecododbyadoi
zoder,asdescritxtdlmreirltNattho

end-uxrcl
ietttcomputcr4% lslower,thenlsbortecsub-

mvontion can tye practiccd without data having been

dedlndll
zusrequf
ringd=odfng.

CRCO

sequentdecryplioakeylength isprcferably lz
sed such tbat

fortleperformance(llaf(I
m parti
ctdacctl
d-tl
sv compul
er
400 can provide tbc decryptioncan take plweattbe rate

(
il
u
srt
ra
e
e
amlar1y90
h
e- nccded':sire,as'
iskrh
own,foralongerI
bekryltngth'more
c*3
cdo2)
stl
w FI
diG.
gitaZ
lA
dat
al
sz
o
at
r
os2a
%xt
anup
d es
xt
or
mp
pot
r
ta
iot
np
sr
of
thccig

iilaidatastrcam 2$
)0areiilustralcdiuFIG.211.

P
fcxfssifl
: L%refluircd.F0rc'
xllmpkpWhilta
XW/ffUI
Pentiuax bascdcomputermaylx ablctouseJ
tmaximum

(*33) n e initialsot-up strcam 190 includcs aset-up

ofz56bitl
.andthuslmve(btkeylengthvarybetwerrl128

correspoodiag sel-upencryption key(uotshown)uscdto

cncrypttlm le.stdztasequtcce196 andprererab.ytliesellavr
ch wl
'11allow l
ower
a sbort lelv th,such as 20 bitsy'wlli

belwoen20 alxl40bits.
(00371 And,witbrespecttotbkssaam aspect,ifasl
zorter

decodetbltestdatasequence196,willcachbernonitorod

E(jtjzt;j Iurjuer(
joscspuou regardingthcencrypti
otl&nd

d
ec
ryspet
io
kceey1
ncencsr
yput
e
te
s
dpt
ecio
r
xihaat
sat uan
25
6b
lalt
ss4p0ow
fu
M6
pu
le
nyayIcb
ahbvle
to
da
ta
q
un
en
19
9z
6.a
Th
updd
ccl
ry
od
nt
k1
e9
y41a
9t
2
se
wda
ma
xi
it
mum
of
bie
tsr
,
al
nd
th*
usc
ho
am
ve
tl
cr
kr
e
no
gt
ar
y
erformaace epd-user compulezs lo proce.
ss tbe lestdata
p uence1.96.n elestdatasequencet96 i
sapredet
ermised
s ueoce ofencrypted datatbatisused to testtbe enc
l-tu
ser
comp
cst
eq utcr's4(* abilitytodocryptlm recdveddau.n ist
data soquezce t96 is prcferably of a flxod lenjtth and
inciude
.sacorresporzinglestcl
ecryptiou kev.'
n e tfmetuat
theenduxrcomputer4oarequirestoinstal1
-thetestclectypIioflkey 192 tkcq'
pltheles!dccederl94 acddecryplarl
d
and used to obl&in amoniyorinform ltionthatirldlcalesthe
performanceofthatend-usercomputer which LsSbencommuaicated10thcserver1e0antltusedindotcrmioinghow to
encrypttbe data packcts240 as willbo described f'urther
bercinaftcr. 'J'bc biam tbat titc cad-ux r com pulor 4(*
requiresfofustalltllctesldtscrypfoakcyl#2canaLe;obcparl

of 1he monitor informalion and will provide a latency

easxremea! iadicating lbe amoum of limr retpired lo
docryptand iastalltbe;decryptbnkey.

keylcngtbLsused itisprcfcrzblttoroutetoanew keymorc

.on ofkeysis prtfcrably baxd upon the
frequentl
y.Rotali
numberofbztstralzsrnittodbeforeaaotherkeyistransmilted.
'
lhu-s,forsll
ortcrkeylengths,tllckeysarerotatedmoreoftcll
tl
aofOrlimKe:
fkcy letkgthrswilhthe;choiceofkey leugtbs
aadrolalicznI'crit
xlsbcing flelermiurxlbased upontbcrohtive kvelofsecuri
ty dosired with tile morc key rotations
3Dd lonverkCy length.
:offering greatersecurity.
decryptitm keysisa(>1belicve,d ueczs%ary.

(0039) '
Tlm clecoder220dtcodesthedatawil
hinthepackets240 thatcontains tlecontentrecognfzedby tlzedecoder.
'l'hedecoder22Bcanlx foroxamplo anM PEG doooderin
lllrcasctkfvide.o anM p3deccderinlhoc.aseofaudio aGIF

drecodtrin tlr casc ofstillifnages,oraW INZIPcncockril

z
tbccascofdata.aswollasotbcrdecoders.'l'
bospecitict.ypc
otdecoderisx t bowever sigaicantwith respectto tbe
prosentinventioa sinc.c no mattorwhal manocrthe data

( 34) n tdkitaldat.stream 2* prcftrablycontainsa packejsz4()areui

1)ce ed,Thedecxxkrwillporform acorro3
lwaderporti
on211)thatincludesadatastream characteristic

sx nding dot;
cdcoperatkoa,asjsknown.

po
nion 21
2#*a
idc
rllie
tuof
arzl
(c
sk
t
lc
s
MPEG
MP
orlWI
NZI
Psa1
nhdott
hyp
ein
mbs
el
rreof
pa
el
tl
sa
ia

E(Kk*) Alsosbownal'
etbedatayackotsM()-1 248-2...

tkcedingtbedatapackots240-1240-2...240..
nwltl
ziullw

pqrlioa242 isanunoxryptodbitsequcnce,pmferablytwo

(*35) Atvo df
sposedwithfn tlw digitaldatasrcam 200
aremarkers250lbatidenl
fyasubsequontdecryptionkeys

(0:411 Asmentioned.in certaiu ofthedata packeu.a

skear:, qo decoder 2z9 vzhich decoder 1 capabl

e of
digitatdataMroam 2* .and the GUtinterfaco230.wicb
as Lsknown,allowsforthe application asdescribed berein
to inlerfalx with tbe operatiug system of the ond-user
computerO 0.W NI
etlll
wzcxcmplarystroam 2t)(1fsdescri
bed
in tlm contcxtofadiitalmoviecoataiaing I
xlth audio and
videoiaferruatitm:ilF
tsur
xlcrst
oodlhatt
hepresen!inveation
carlbe applied teothcrtypesofstreams asnolcd above.
252 tllat f'
ollo- irnqmdiately llmreafler.,
17zc sabseque/!

24-5.ln eacb dala packot 248,ua a data packet hcader

blL& identifying the decryptionkey tobeused.Tbisidentihexs wlmtherthtcurlxmtdecrypti

on key orthesuu quent
decryptionkey willbo mwd when deccypting thalpackot
244 asrvlll
x dcscribed furlherherrirl
afler.Tbedalal
atiN
ex odedand oocrypted relatesfo tbeccmtentoftbestxam
2* azldisolherwisoconvenl
jonalexceptasescrl
bedwitb
respecttotleinclusiooofmarkers250audsubsoquentkeys
252,asdescrbed hereinafter
macker25: ofprcfcrablyfourbits isiascr!e,
dinlo1b0data

'

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 34 of 88

US 2002/0141590 A1

Od.3,2 2
4

Packeta.
tsome afbitrary location.Thi
s markcr250 is a

redetermincdbitsequcnce w'
Izi
ch willEl
cqelherwi.
cr occur
P
in tNt uncncrypted digitaltlata wbich cloes nottlavt arjy
'
tbodatathallho ruatker250
c
lzadri
a
eci
st
ha
t.
ar
i
mi
(or
is
sc
pt
os
es
dtic
wi
l
Nin
'e
l'
hs
s
I
nla
ar
rkc
250,asdcscribed further
hereiuafter tsused lo identify thattbe nextstringIafdau p
baviag a bit-longth corresponding to the lengtb of lbe
decryplionkcy witlbothesubscquentdecryptionkey252so

(00451 Tbepresentmveationincludcssoftwarcmodules

ll
zatarepreferablyJavacopliauland zllow for1h0various
modulosto interact,inam anncrasw111bedcscribodherein.
Wilhin(heend-usercomputer.aaativodecodermodulewill
bepre-inslalled by a userin A conveationalmarmer.n e
nati
vedecodermodule indudts llle hooksinto otlmrprogralusllaatallowstbeproreutinvcntiontocom muuicalewitlz
otbsrstyftwa:cprogfams.asnoted alxweaod L%known.

thattllcond-uscrcomputcr40bcanrecogniz.
etbesubwequent (8046) Stillhmbermore,inauyend-usercomputer400,a
decrypti
oa kgy.W hil? the localion oftbt markcr25@ and

certain N rtiou of tbe random-access memory ks use(jor

subsequeutdecryptfoa key M Z I'

s arbitrary*!(isnotcd (hat
lbe markcr 250 and subsequeutdecryption key 252 is
prrferablylocate,
d inam sitionrelati
votolholater-recei
ved
packet240 lhalwillbedecryplcdusing lhissubsequcutkey
252.rso tha.
tcnd-usercompuler400m asdescribcdhereiaafter,
bas suflicienttime to ready idsdfto auually decryptthe
later-received packelM 0 usiug lhesubsequonlkey252.

oroeram instructions. and arm thorportion is ttscd forasso*iazd

'
> data.Accordi
'ng to tlm proscut invention set-up
c
'yption
decryptionkcy192 and each oflbc stt
bsequeatdecl
kevs 252. descn-bed prevjousIy.ax preforably asigned to
4krerztme
' morykxatioas sucb tllataflilferen!addrrssis
dll
'Thus ont
used fortbestoragcofeacb.
x akcybasteenuse.d
fordccrypliogaponi
=' ouoflb<dat
'a,thepointerbdweenthc

(*42) From tl
ztabovedcscriptioapitwillIx apparentthat decodcrard thatkeyisremoved suchtbatthcsubsequent
oneaspec'
tofIlm prcsentinvcntion isll
x usage ofd'
derent

kty isej
fectivelydcstroyod.

decryptionkeysfordecryptirtgvariousporti
onsofthedata

(1(hl7) FIG.5 illustrates aIlow diagram ofoperations

Mream.Inanotherasped .themultiplekeysaronolresideul
cm tlx ond-usercomputer110' butarcresidentatsolneother
looalion,whetbcrtbatisaserver100,wlu.chisprcfcrrrxl,or
a CD> as describe.d above.Furthennore> itf
s prcfcrableto
use A real-time tncrypting operation asdescril
x d hereinp
w hich can thcrcby take inlo coizsideratiou the processing
capabililics oflhe cnd-usercomputef4:0'alllmugh itis
apparco!lhalmaz)yaspoctsoflheprcsonlnventioncouldbc
implemcnled if lhe enclyption wtre preproccssed.In a
furtherxspect,subseqtientkeyscan bo transm illed atarbitrary locatioas.Real-timeeneodingcan also be performed.

perfonoedby1beservecM 0znd iecnd-usercomputer4*

inapreferredembodimentoftbeinventilm whetlexocuting
k
orus associ
ated witb' tbo oporatioas
lbe program instnlcl
describcd berein using the software Inodules described
alxweby lhe prcsentinvenon in orderto implcmrntthc
prcxntjuveutorjand create ad'ecrypted and decodexldata
stream 44o thatcan1x)outputforfurtlmruse a'
gi
skoown.
edesooamo
'ut.itj
W hilcthfs'
fstNcgrrsentjygresa.
snolecl
thatm any ofthe stepscao occurin adilh roulmanneror
sequenccthanasdescn'be.d pafticularly thoscstcpsrelating
' tjm particulars of thc set-up
lo sel-up opertions, skjce

f* 43) n esenrrr3* incluesconvenlionalsen'

erbard- OPtrationwillalsobeiallucncedbytlk
eparticularappli
caware componenow sucb as a procmssor,taomory,intcrface

tion tvingPerfonued.

cllipsaRd tbeEke.Similacly,theselvop300 canopcrate

i)
tjtj4gj Illitially,assbownbyslep51@inHG.5.theuser

usirlg a convenlionaloN ratiag systcm luch asW indows'

Linuxvorembedded operaling systems,along withconventionalsoftwareapplkationspsuchasstroaming vitleo orIP
telephony.An illustration ofthevarious layersofconvonlionalsoftwarrthatarctypically prcscuto!
zaserver3% tbat
willusetheproseutinveationisshownin FIG.3 toassistin
exvl.
tiaisg llkalll)r applicatix program lwplemelztiag ll?e
presentiuvention frorn tlm servrr3tm aa doscn-beillkcrein
beimplemented using callslo con'vent
ionalsoftware.'
GQD

Wgjxntlamessagctowcvcr300requostingservice.Iuthat
mlrh
sagcy W hj
oljcas bean HTML merssage,forcxampl
c,it
Ls proferabjc to iucludc ideutifying information,sucb as
rlamcy a.ddrr.ss1buliug uformatioaycrtditcardnumberznd
the likc. Atso. svitun thatmcssage w.
11be tbeTCP/IP or
otI)er oet
work addreas thatcorresporuts to the end user
computer4f)()tjkatwfllcorfjmuicatowifllflm xrvrr3t*.

'

28$1491 M S'
IDWRbyMep520,tbeserver.upoareceiptof
the merxsageiaMep 5t()a willprocesstbe requestantlwBl

((*44) Theetld-usorcomputor490includesconvtrltional thcntrausmitdocryptionsoftwareaad linking1n0A1r.

s,as
caam pulrrlzardware comfxm ents sucb asa micropmcr- r,

descrfycd abovc to lhatend ur.erc'cm ptlter4Nt

memory,interfaeochipsandlllelike.Anillustrationofthe

(t/(j50) '
1Xeendusercomputer4* asshoFnbystep522,

various layols ofconventionalsoflware lbalare typically

presentonaenduK rcomputcr400thatwillusethepresent
inventiooissbowninFIG.4 to ASSLM iuexplaining tlzatthe
appli
cati
on program implcmenting thc present invention
from lhe endux rcomputerzlf40 asdcscribed berein canbe

.
w111rcccivtdecryptionxlftwaro and'linkl
ngmodulr.
strarrm
mittedduringslep520andiustalltllcrn.Preferably,end-uxr
c
omputer4* (lleasend amessdgeiadi
callgto tbeserver
in
step524 indkatingtintthisiasullation wassuccessfui.

irnplcmentedusingcallsloconveotionalsoftware.'
IXeead- E0051) n ereafter.tbeservor3t
)0 instep&% ,willdel
eruscrcomputrr4% can operalo using aconventioaalojxrating system,such asWindowm Liuux oremY dde,d oG rating systems. along with couventoaal software
applications.Havag parucular perncncc to the preseut
wentioa are soflware applicatioms tltatalow fora.
u coduxrto trark
smit aod recei
vc data in aecordancr witb an
eslabl
ishod protocol.such asTCP/IP.as nottd abovc.n e
pmsrntinvention is lhus ablclo hook into and lhascommunicato wilb sucb softw&re appl
k ations using known

mine tbe set-up encryptiou key and corresponding sel-up

docrypfioflkty (
192,based ulx)n 11= ideatifyipg dalaof1l=
user.And assbowninMep 532 w111obtlinadelerminodlest
sequence 196 vzbch naay bc predzncodcd and Qm conmsm ndiuglesl-xquence euderand tmstsequeoce (lecoder
194.T'
hattmq xquence and tbt teslsequonc.
cdecoder194
willtben,inslep 5M ,b rncrypledmsing oncryplonsol-up
key.Slrver300 willtbrrcaftcr.iu step 536 trark
smit1h<
unencrypt
t.
d sd-up decrypt
ion kly 192 the encryplr.
d

teclmiques,in orderlo ol
xrate in conjt
mction withsucb

decoder194 andtbGencryptedandeocodedte< rzquence

sofek
varc applicatfons.

196 as set-upstream 1O .

'

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 35 of 88

* '

<> .

US 2002/0141590 A 1

OCt-3,2 2
5

(
(P5Z) '
l'bccuduKrcomlmter400willtllenpas.show'uin
step 540 rocseivelbt:sctup stream 199.'fherl assllown in

s
lrtaln2* isdecrypttd.Afterdecryption.docisiotlStcj
l566
follows and thcoud-tzsercomputez'x arclles fora marker

step542,itwtlldetecttheunencryptcddecryptionkey 192
andthedecrypteddecodor194aodsel-uplvstsequeacc196

wilhia tlle packets of data.onco that packet has boc.ta

dccrypted.

inamannectha!isconventional.Step544follows,atldthc

(00571 ztsshownby586ifno(narker250isfound,tben

ecduseroemputer400willtbeniustaillt
lesd-updecryption
key l92*mooitoring thl time needod perform lbemstallation.n ereaftsr*theendusercom puter400witl'instep546>
dccryptthodecoder194usingthcrm -updecryptionkcy.and
monitor the timc taken.S2p 548 fol
low, and end uscr
computer400willdecryplanddecodethetestsequence l96

step 588 followsand tbedatatberein isdecodcd using tlzt

deioder.Oncodecrypted = J decoded.tbetlata canlhe.nIx
usedasitis inteodod and asisconvcntionallyknown.such
asforbolb audio &nd vidco preseotation in the caseofa
video.

similarlyIrlcmil
oringlbelimrzredet
llf
)df,thW.A.
DJDSlef' g005:1 1f,bowever.aarker2.
50isfoundirlstep5#t;tbe!l
550, lheend ttsercompuler4* willtransmit11
w rtsalltsof
llw decodtriastallatioa asdoperationsasdescribexlon the

step590 follows.lIjstep590,tlm markcr25@isiocat

edxthe
numberofbitscorrespotxli
ng to a sujyscquent(jx j
sptjoyj

tcstscqueacetotbeserver3th0.
(s31 Thereafler.server3* wilkinstcp552,receivethc

kryarclocatcdioordcrloobuintllc:subs/uenldecryptioa
key,and tbalsubsequentdecryption key ls lben installed.
Prefefably jnpaz'
ajj
tuwk:tl
w oporalion ofstep590,stop

tostsequenceresultsand,asslzown by step 554.usethese

results to dctermioc thc maximum key lcngth arl
d key

586 isperform ed on tbedatathatneedsto bedecxxle.d-

rotationpcriodthatsllouldbeassociatedwithltt
isparticular (0059) Once11w dalailmsbeeodecodmlfortlw packelas
e
lxw e.
a

nd-user compuler 401)y usiug tbc criteria ms doscribed

aresultofS4.
eIy586'theend-usercomputer400 wiilawaita
Subsequrntly lransmitted packetfrom tbe server M 0.As
sbown by step 592 w ben roceived asubsequenlly trans-

(*54) Solver300willassodateth1 maximum keylength

mitted dalapackelisdecrypzd base.d upjm lbe Neader

aod kry rotalien perfod wilh lhc particwlaread-ttscrcnm puler4% and slorethisinfonnationforusagewben (
ll
eend
userdcsirestoobtainastrcam ofdigitaldala2% .Whenlhat
occurs,lheenduscrwilltransm itam crxsageviaanend-user
computerZIOIIto tlm server3* roquestiag asN citicMrtam
ofdigiu)dala,asshownbyslep558.Insttp560.lbeservor
recognizos tbc user aad the requost,and tben itlstep 562
checksto see i
fthe rcquestsLsfrorntl
'
l
e samecomputeras
'hecompulertha!forwhiclltlokeylengthandkey rotation

fnformaffou. Iftlle hcadernformatfon s'pcc'i.

tie,.
s lllc R t-up
clecryption key,tlwu that willbe use
.d or if the headcr
kjformatjonspecifiesasubsequerdccryp
'tio'
nkey,thentbat
vzglbeused.n usxforthe:rstpackctthatLsreceive
.d witb
tbefirstsubscquentdeceptiookoy, tlwn tbatpackct* 1be
Jocrypted ttsiagtbesubscquerl!decfyption kcy,ratbortbau
thesel-updecryplioakeythatbadtheenu.sr.dontheprevious
packet.

peri
odbasbeondetermioed.Ifsolhcnslcp564follows.If W06B) n ereaftef.llleprocrr
ssreptatsfrom stop586'with
not.thea thekey length and kty rotation mustbe recom-

i direded back to step 510 altbongb

!;uted,and lheuscr s
,
zpformaliooalready sl
oredwillprefcrably notnecdto be
entered again.

(1*551 In Mep 54,thesorveraccesseslhc digltldala

stream froualhe requestaswellasthe arxsociated eocoder

and deccder'and willtbon use the cncodcrto erlcocle the
stream.Of course tNe encoding m ay almady bavc been
performod.iu which case oaly lhc.encfxled digital data
stream and tlze associated deccderw illneed to be acxxssed'

maxknum key length and key rolation peri

od.Slep 566
follows.whrretbc server3* cncryptstbe:doccderand an
initialportion ofcncodod datastmam using set-up tncryptionkcy.n isistbentransmittcd instep5* from tbexrver
300 to th end-use;
r comput
er 4:tl.Tlm rerver willalso
delermiue.assl
mwnbystep570'thesubsequentencryption
and declyptionkeys.base.dupontbeproviouslydetcrminod
maximum keylength and key rotationm riod.And inMep
572. tbeserver.xtsing tbedetermined encryptionkeys.will
enczypltbe remaincleroftheJigiuldalastream andicx rt
beaders242 markcu 25@ and lhe encrypted subm ueu
decryptionkeys252msaa ropriate.Slc:p574tlzeailluslrates
traasm itting thescsubsoquen!packctsasrequircd.

(* 56) n eendusercomputer400willtimnrcceivethe

transmittedportioosofthedigitaldata2X ,from eit

herthe
traasmissioas from stcp 568.in which case step 582 w111
follom or.ifrectivod from st
ep 574 thcngotostep584.In
slcp582 theencryplcddccoderisdocryptcdusing!heset-up
decryplion key 1.
92 and tl
ze unencfypled decoder is
installcd.In slep S84 thr:initialportion ofthedigitaldata

tb* CBd-ttscfCOl
I1PIItCE Rarching for a markerwithin thc
decrypted datalbathasIxen transm itted.

pgt;1J Allhoug:tlx prescatinvezltianb,

'
zsberadescribe.
d

jyj detail w ith rcfcrenct to 1be prcfen'ed embodiumnts

tbereof lbosc skilled inthc artwillapprecjate tbatvarious
substitu#tionsandmodicatiorsscanbemadetolheexamples
d
escribedbereinwbilercmainingwitbinlLt
ospiritandstope
ofthe invention asdelinod in tbe appendod claims.
I claim:
1. A m cthod ofproducing astream ofdigitaldata cem -

pri
sing tbc step of:
det
rnnirting aplurality ofportions w'
ithin tlm strem of
digitaldata,suchtbat
am rtionofthcstream ofdigilaidataisencryplr
.dwit
h
anencryptionkeythatiscapablcofbeing X crypted
byadecrypti
onkeyandfbm rtion includingtletrin

ariothordrcrptionkcycapabk ofdecryptingasub-

sequentportzoa oftlm stream ofdigilaldata,and

tbe subsequenljxlrt
ionoft11e.stream ofdigitaldata is
encrypled w ith Ax tlmr encryption key tbat Ls
capableofbeingdecrypledbytbsatotherdecryption
key;and
trarl
rs
m itting the stream of digitaldatax including the.
m rtion aod tbesubsequentm rtion.
2.A mttbodaccordingt
o claim 1wl
xreintbeportioaa.
1x1
aplurality ofsubscquetltm rtions comprix tlx plurality of
portions andeacboftbepluralityofsubsequeutportioasis
encryptedwith acorrespondinganotberencryptionkcy,aed

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ON.3,2* 2
6

withiocachofthepluralilyofsubsequentportions,cxcepla
lastsubsequentm rtion,tberc is inciuded tberein acorrespondiag anotberdecryplioukoycapablo()fdecrypting tlze
corrospondiag subsequcntporrioa oflhostream ofdigilal
dala.
3 A motbod accordingtoclaim 2wll
erointheencryplion
key'and cacb anothercncryption key isdiilkrentand lhe
docryplion key aud each auotberdcce plion key iscorrespondingly dilferent.
4 A methodaccordiagtoclaim 3whcre;
incackenernltion
k 'eac:banotlwrcncryptioa key,eaeldccryptionkey and
tc
.
yb
,decrypl
a
ioa kcybavea samekcy leaglh.
e
5.A m orhodac
cl
einat
eucr
icor
kding toa
iaimn3
eswohe
ftrl
m
nbe
otl
w
reypt
ncri
yon
pkoyanddecl
yplon oy
ccr! t
n
o
d
i
o
n
k
e
y
s
h
a
v
e
a
d

/
e
r
e
n
t
k
e
y
tioakeysard another ecryp
length.
6.A mothod accordiog tochim 2wherein111cdecryption
keyandeacbanotberdeclyptionkeyisIocat
edatadifferent
locatiortwi111in elc:portiotz.
7.A motlxxlaccording to claim 2 wberein each portion
basadiffertntbitsize.
:.A metbodaccordingto claim 2whemin t
bepluralityof
por
t
i
c
ps
a
r
o
t
r
a
a
s
mi
t
t
e
d
i
n
a
n
or
d
e
r
c
o
r
r
e
s
pondiag to a
layback sequcnce.
P
9.A mctbod accordingtoclaim 8 whem inthecllcryptiou
key
and each anothereoclyption key is deerentand (
he
d
tion key and eaclauotlwrdecryption key iscorreO P
spondinglydiforenl.
1@.A method accordiag to claim 9 wberein eacb ofthe
portions coatains a pluralily ofpackef
s' and eacb of the
packetsconl
ainsanon-encrypcd hezderidontifyingwhich
decryplion key to useto decryptthatpacket.
H .A methoclaccordf
ng to claim 2.furfbcrincluding a
marlmrlhatim mediately preiccdos the dccryption key and
tach znotherdecryplionkey lo allow idenliflc4tionofeacb
anotberdecryption key within tlle m rtion and subx quent
portions respectively.
12.A metbod accordinglo daim ltwbcrcineachmarker
and thecorme ondingdecrypti
oukeyoranotbtrdecryption
keyiseucrypted n (110same mannerasdleportfon iow'
hicll

itiscontaioed.

13.A melbod according to daim 1whereia tlw anotller

decryption keyisoncrypted with theencrypton key.
14.A mot
bod zccordingtoclai 13wherciutbeplurality
ofportiorm are transmitte.
d in an ordercorreslxmding to a
playbaek sequenoe.

l9.A roethod according to chim l ft

m hcr i
ncluding a
marksr lballmmedialely precedesthc anotberdecryplion
key lo all
ow lclenttfl
calion oftbe anothetdecryption key
will
'
tio tbe;porliou
2t).A mrlbod according l
o clzim 19wherein the marke:
andtbeanetbcrdocryptioukeyisencryptedwilb1hetucrypkey.
(ic'a
21.A m cthodaccordingloclaim 20wbereineacbeucryp.
lfol
zkeyisditl
krentand cacfldecryptoa kcyL
scorrespond.
ingly tli
flkrcnt.
22.A trletbod according to claim 21 wberein tbecorreSr ndil
)g tlecryplion key ia eacb dilroeotportiortis not
located atasarnc partoftlw portion.
23.A m/tbodaccordingtoclaim 22wbereincachporlion
b1.
%
adiferentsize.
24.A tuerlloclacccrdinglo cl
aim 22w'
bereic !hepluralily
ofportiorss are lransm itted io aa ordercorresm ndiug to &
plazy5
back scquence.
A mcthod accordingto claim 19wherei
n tach oftlm
.
portions contairl
s aplurality of packtl
s,and each oftbe
packetscontairlsanou-cncrypte
.d beaderidentifyingwhich
decryptiou key to useto decrypllhatpackot
26.A rnclbodaccordinglaclaim 1furlllsrjuaudfag,prior
(ofl
beszpoftransmittingtbestaam ofdipitaldata'ttloszps
.
o.
lransrrlidlit)gaJecrypliopkeylhatiscapablrofdecrypting
thl Portlonoftht;stream ofdigitaldata'and
'
I'CCCivingan acltnowledgcm entindicatiugthatlh<decrym
tion kcy has bcem prom rly installed on ao end-tkr
xcr
comPuterthatwilireceive tbe lransmitted stream of
(j'
Ijtaldata.
27 A mcthod accordingtoclaim 1htrtboriacludiug,prior

t
ostep oflransmittfnglhcsream ofdigjfaldata tbt:stcpsof:
transmllting aset-up stream includiog anencryptod tesl
decoderand an encrypled aud encoded tcstsequeuce;
alld
rocciviagan acknowledgemcntwitb monitorinformation
indi
cativeofperformanccofaucnd-uscrcomputcr'And
determining ake lerlgthand akey rotationperiodbased
I
upc)n the monltor iofbrmation
2.8.A method according lo claim 27 wberein themonitor
infprmalionprovidesa!
lzmotmloflimerequiredtodccrypt

all(
jiugtallthe deception key anddecryptand decode the
testsequenc .
zk Amethodaccordingtoclaim 26whoren,anencrypte.d

15.A umtik
odaccordfnglocla.
im 13whereutheeocryp- e
ucttabledecedtrisiocluXdfntimjyortionoftll
estream
ofdglal data, ll1e eucrypted cxea table decocl
er,wben

tionkeyandeachanothercncryptionkeyisdilerontand the
doctyptioo key and each Raotberdecryption key Lscormsm ndinglydi/erent.
16.A methodaccording lo clakn 14wberein eachofthe
portions contains a plurality ofpackcts,and oach oftbe

decvpted ancliasullod.being capabl

e ofdecoding data
coslenll
batLsalso iacluded irltheporlionoftim stream of
digitaldata.
3: Amelhodaccordi
ngtoclaim 29whereintbccncryptod

Packotscontainsarlon-encxyptedheaderidentifyingwhicb cxecqllabledecodcrcanbodeeryptedusingtbedecryption
docryption kty o tlse(o decryptthatpacktt.
17.A metbod according toclaim 16 furl
berincluding a
markerthalirnmediately precede
.s tho decryption key and
cachanolherdccryptionkey toali
ow idenlift
catioa ofeach
atkotberdecryption kcy within tlm portion anclsubsequent
porlions,respedivdy.
18.A Elwthod accordingtoclaim 17wbereineach markcr
audthecorrespondingdecryptionkeyorauotherdecryption
keyLseacrypte.
diutbesamemannerastheportioninwhich
iliscontained.

key.
31 A method according toclaim 26wbereialht portion
audapluralityofsubsequentponionscompri
re ti
m pl
urality
ofporlonsgaodeachoftbeplurality ofsubsequonlportiol
zs
ksoncrnAle
.d with aeorresm nding znothercncryptionkey.
and within each oflho pluratily of subsoquentportioas,
exceptaIastsubsequcntportiou,thcrti
siocludingtil
fl'
ein a
correspondinganotherdecryptf
onkeycapableofdecrypting
thecorrespoodingsubsequeutportionoftbestream ofdigital
data.

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7

32.A method according lo clai

m 31whcrein
theaaotherdecryptionkeyislocatcdwithialheponionat
a localioa that precedes the ead 1be porlitm by an
amouol tbatwill ensure the rom ainillg trallsmissioo
time oftt
le portiot
'
zafl
er transmirsion ofthf
z anotbc;
decryponkcy i
s grealerlhan a Iatency measurcmcut
indicating an amountoftime roquired lo decrypland
installtlw decryptioakey;and
each anotherdocryptiou key islocatcllwitllineaclzsub.
M uontporlion ataootherlocwation thatprecedes thc
cndtl
w subscquentportionbyaootl
wramoaattlntwill
casux tborcmainin: trarlstuisx
sion timeoftllatsubsc.
quenlportion afterlransm issioa oftbe corresm nding
alzolher decrypton kcy is greater lhan tbe latency
m easurement.
33 A met
bodaccording toclaim 31wbertincaclletmryptionkeyisdilrereatandeachdecryption keyiscotrespondingly diToreat.
M .A method accordinztoclaim 33whereineachencryptionkey,eacb auotberencryptionkey,cacbdecryption key
and eacbdece ptionkey llave asame kcy Ienglll.
35.A m etbod according to claim 33whereinlberacryptionkoyanddece ptonkey anclccrtainonesoftbeax ther
encryptiookeysand anothordocryptioukeysttaveadiffercnt
koy lengtl
a.
36.A method accordirlgtoclaim 31whercinoacbportion
lzasadiflerentbitsize.
37.A metbodaccording toclaim 31wbereintbeplurality
ofporli
ons aretransmitted in an ordcrcorresm nding to a
phyback a quence.
38.A metbod according to claim 31wbereiutachoflhe
Porlions conlains a plurality ofpackcts,and eacb of(ho
packetscontains anon-encryplcd hcadcridentifyingwlzich
decryption ktylo use to docryptthatpacket.
39. A m ethoclaccording to claim 38 furtborincluding a
m arkerthatknmediatcly prca dmsth< decryption key and
CaCb &nOthe.
rdecryption key to allow identification ofcach
anotberdecryp:on key udthxtbe portion and subsequent
podiouw rcspectivoly.
48.
A naethod accordiug to claim 39 vzhcrea qbe each

packclscontaiasanon-encrypled headcriderltifying whkh

decrypliou keyto use to decryptthatpacket.
48 A mcthfx'
laccofdiag to claim 1wherein:
th=portion irtamcdiatelyprecsdestbcs-ubrequeutportion'
aod
lheanoll
wrdecryplionkeytsIocat
edwithlintheportiona.1
a locatioa thatprecedes tbc cud tlle portion by an
amounl Illatwill ensurc the remailing tcassm ission
time Ofthe portion aftertransm issionofthc anotber
decryptioakeylsgreaterlban aperiodoflime ueeded
todecryptandinstalltbeanotherdecryptioo key.
49.A l'
nelhod according lo claim 48 whtreincacb ofthe
porlioascoatains a plurality of packels a:xleacb ofthe
packetscontainsanon-encryptod headcri ntifyin: wlucll
declyptionkeyto use lodecrypttbatpackel.
50.A lransmi
ssion metllod comprising tl
w stepsof:
scgmentiog astrcam ofdigitalconlcntinto apl
urality of
portjons.
m
inserting,into eacboftbe pluralityofportionsexcepla
laslportjon'oneofa pluratilyofdecryption ktystbal
wllbetusable fordecryptfng asubsequentportfon to
obtain amodifiedstrcam'
'
encrypting each portion ofthe moded stream with an
oncryplionkeycapableofbeingdecryptedby acorrespondng one of tho plurality ofdecryption keys to
oblan apluralityofencrypted porlioav,
d youjou,almadecidelzl
iatta
hnin
onolo
ae
ch
rp
nl
cr
fe
yi
ggt,
hc
need
cry
ioy
npt
ke
eyI
corresm ndingthcreto to
obtain astrram ofagjtaldata.aud
'
tranbmittillg lbcstrcam ofdigitaldala.
S1.A methodaccording to claim 50 wbcroinconrecutive
PoFtioDs areencrypled witb &diflkrenlermryption key and
capabloofbeing decrypted withadifereutdecryption key.
52.A m ethodaccording to claim 51w hercin eacb ofthe
Pof
1ions ctmlains a plurality ofpackets'al:d cach of tho
packcz contansthe bcadcr idcntz'ying vzhich deeryptfon
key
5310us.0 decryptthatpackel.
./
kmetbod accordzg to claim 52 furtherxcluding a
uaarkerthalimmodialely precodeseacb ofie plurality of

mukr:
rand thocorrcspondin!:dccryptionkeyoranothcr dxryptionkeystoallow idemicationofeachofIheplu-

'
tion key Ls encrypted lrl tho same manller as the
portion m w lxicllitiscontailzod.

41.A Izmtl)od according (o claim 26 wllercirltboanother

dece plion keyksrncryptrd with tho eucryptionkey.

4z.A metlzod according to claim 26 fullherincluding a
ularkcrtllatimamdiatly pfecedes lbe atl
otberdecryption
koy t
o allow identification ofthc another decryption key
.
w iflnnthe portion.
43.A Inethod accordiog toclaim 42 wherein1hemarkrr
arxltheanolberdecryplionkryistmcryptedwitlltheencrypti
onkey.
44 A mothod according to chim 43 wlxrein tlm corrosponding decryption kcy in racllditrerenlportion Ls not
bcztr.d atasameparlofthcportion.
45.A mdhod accordingto claim 44wherein eachportioa
hasadiFerentbitsize.
46.A methodaccording loclaim 42whorein tbeplurality
ofportions are trausmitted in an ordercorresm ndirtg to a
playback xquence.
47.A metbod accordingtoclaim 42 wberein eaclloftho
ptm ions ccmtains a plurality ofpackcls and cacb ofthe

ralityofdecvyption keyswitbin each m ction.

54.
A methodaccordingtoclaim 50 whordn eacb oflhe
m rtious conui
ns aplurality of packcls*alxlcach ofthe
packetscontains tbe beader idontifying which docryption
key touw Io decrypttha!packet.
55.A method according lo daim 54 whcrin eacb oftht
ytious contaias a plurality ofpackets. and each of tbe
po
packe
ts contains tbc headeridentifying wbich decryption
key to uscto decryplthatpackct.
sl A melj
w d according to claim 55 furtlmrincludiug a
mark'
e;
rt1
,atimmedately precedcseach oftbe plurality of
decryptjon keysto allow identicatiou ofeacb oftbeplu.
raljty ofdecxyptionkrysw ithia cacb m rtiotl.
57 A method according to claim 50 wherein racb oftbe
Porlionsconuins a plurality ofpackets.alxleach ofthe
Packetscoutaias the beaderidontifying wbicb decryptiou
key to useto dccryplthatpacket.
5#.A rtiottl
od accordiug lo claim 57furllmriodudiug a
markerthatimmcdiately precedes cach ofthe plural
ily of
decryption keysto allow identification ofeacb ofthe pluralilyofdecfyplionkeysw ithin each m rtion.

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59.A method accordiogloclaim 50sslxre:lneaeheacryplicm kry oacbanotberencryptionkcypttachdecryptionkey

and each decryptiou key have asame key lcngth.
60 A.metbod accordinglo claim 50 whcrein thcencryption koy and decryption key cettaia ones of thc anothcr
encryptiou keys znd anotherdlcryption keyshave adifferent
key lengtb.
6l.A mcthod accordiag loclaim 50 wbcrcincacl
xofttlo
pluralityofdecryptionkrysLsIocated atadiffcrcn!Iocatioa
itbin oach portion.
62.A method according toclaim 50whcrcineacbportion
basa dilferentbilsizc.
63.A methtxlaccording toclan 50w bereintlleplurality
ofportioas are transmilted in an ordcrcorresm nding lo a
playbacksequence.
64.A method according to daim 50 hzrtlmrincluding.
priortothestopoftnnsmittingthestream ofdigilaldata tho
strr,sof:

ideatlfylng lhe; subsequent decryption kcy dispose.d

wltbinlbcporllonoflbestream oftligitaldatapriorto
cotnpletionofdocrypting tbeportionofthoslream of
digitaldata;
installing lhc subsequentdecryption key data priorto
com pletionofdecfypling lhe portionoftlm stream of
djg.l(aItata.
,and

recieiviag an acknowledgementwitb (nonilorinformaliorl

ndicativeofpcrform anceofanend-uscrcomputcr*.and
X termining akey lesgtb andakeyrotationperiodbased
ueon tt
w monito:informatioo.
66 A metl!od according to clakn65 whereinIhem onilor
informationprovfdcsanamountoftimcrequiredlodecrypt
and installthe decryption key,aoddecryptanddecoe!he

recelving atlot
he.
rporlion of the stream of packets of
digitaldala the anotberporliou being eucryptod witb
another encrypli
on key lbal i
s capablo of being
dccryptcdby thosubx quentdecryption key;arkd
decryrptlngtbeanotherportionof(bt.stream ofdigitaldata
using the subscquentdecryptionkey.
7;. A melbod according to claim 69 wbereintheportion
arl
d tbeanolberpoflioneach includt aplurality ofpackels
and eacizof lhc packots contains a Ilon-ectcrypted lloador
idcntifyiog that thc decryption key and the subscquont
decryptioo key, respectively.should be used during the
respecliveslepofdecrypting.
71 A m ethodaccordingto claim 70 wbereintlx step of
.
idelltifying includes tbe step of Iocating a m arker tbal
im medialely precedeslhesubsequentdeczyption key.
72.A mcthodaccording to claim 71 whertin llm step of .
installingstorestbe,subsequcutdecryptionkeyatamemoi'y
addfer'
.
ilocation tbati
'
scl
iTerentfrom thotl
ocryptionkey.
73.A metbod zccording lo chim 71 furlher including
addltionalsteps ofrecciving and decrypting the another
portion and for cach addilionalanother portion tberc is
includcd
a stcp ofidentifying each additionalsubsequentdecryption key:and
astepofinslalliugcachaddilionalsubsequeatdecryplion
kcy,lhestepofinstalliog includiagthestepofstoring
eacbadditionalsubsequealdecryptionkeyatamcmory
addressl
ocationthatisdt
ffereatfrom tbeimmediatdy
PfcG dinijSllbsequcntdecryptionkey.
74.Amttbodaccordi
ngtoclaim 73whereineacbmomory
addrerxslocalion foreach addilionalsubsequentdecryptiou

tcstsequerxx .

key is dilferent.

traasm iuingaclocryptionkoythatiscapabloofdecrypting
aa ilzitialportionoftheslream ofdigitaldata'
'aod
receiving anacksowledgementindicatinglhatthodocryption key hms be-en properly installed on an erld-user
com puterlhatwillrecsive tlm tralxsmittetlstrcam of
digitaldata.
65. A m ctbod according to daim 50 ftl
rtberincluding.
Pri
o
r
t
o
s
t
e
p
of
t
r
a
a
s
mi
t
t
i
n
g
t
h
e
s
t
r
e
a
m
o
f
digitaldata, tlw
.
slepsof:
transm itting aset-up stream includiug anetlcrypte.d test
decodorand ancncrypted andenrrde,d testsequencc'
(j
'
aa

67'Ametbodaccordingtoclaim sowherein% ancncryptcd

exemzlabl
e docoderLs included ia an iatialm rlion oftbo

stream ofdipaitaldata,theoncryptcd oxecvtabledecockr,

w lzen doccyptod and installedyboing capable ofdocoding
datacootenttbatisalsoincludedintbeportionoft
l)estream
ofdigita.ldata.
68. A method according toclaim 50 wbereineacl
zofthc
subsequenldecryptionkeysinduded in oneofIhem rtions
isusedtodecryptanotbcrportionthatimm e-diatelyfoliostbe
onem rti
on.
69.A elhod of decrypling a xreal
'
n of digital (lala
compl
ising tlzo slcpsof:

recciving a porti
on oftbe stream digitaldata'the Iirsl
portiorlbeingcncryptedwitbanencryptionkeycapable
ofbeingdocrypted by adecryption keyand includng
a subsequontdecryption key capablc ofdeclypling a
subscqucntporliou oflbestrcam ofpackels ofdigital
*
data.
x
decrypting tbeportion oftlm slream ofdigilaldatausing
tbe decryptioo key'

75.A melhod ofcommunicaling aslrcam ofdigitaldata

comprising tllc stcpsof:

transm tjugtjjrstream ofdkaiuldatawitllinapluralilyof
potions eacj,poruonbeo gex ryptodwitbadiforent
'nkey;
encryptjo
Fcfci
ving eachPorlion of11)estream ofdi
gitaldzta''
decryptingeacllporlionwitb adiffcronldocryption key
,
eacN differcntdecryplion kcy correspooding toonrof
thediTercnlencryptionkrysandcrrtainoftbediferent
decryplookeysl
xingtrammitt
edinoneoftl
w m rtions
thalpre-cexlesthatportion irlwhi
cb tbecertaindiferenl
yption key Jsuxd fordecrypting.
76decr
. A met
hod accordingto claim 75 where;ineacboflbe
ce
r
t
a
i
o
di
t
r
er
enldecryptioo kep are locate.d ata diferent
locaton withi
rrtho portion.
77.A method accotding to daim 76 w herefn theslep of
mceivingincludraslheMepofIocating amarkertbatimmediat
ely precedcseach ccrtain dzrentdccrnqi
onkey.
78.A method according to claim 77 whercin tbestep of
receiving uxtherincludes tbe step ofMoring each ccrtain

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 39 of 88

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Oc1. 3,2002
9

dilrercutde.cryptionkeyatamcm oryadtlressIoca!iofl(l)atis
tliikrefltErom tbe from tbc imnediat
elyprecedlng certain
tlilferentdecryptionkey.
79.Atnotbodaccordingloclaim 78whcreineachmecuory
a
dld
orlkeyis
di
frmssIocation (oreacbccftain diltkrellt(lecrypti
erect.
80
hod according Io claim 79 whereineacbportion
i . A mot
nclude
.s a plurality of packds,and cac.
b of !l1o packets
c
zryptt;tltwadeidentifying tbt.ikcryption
kontaias &oon-ont
ey
tsbouldbe uredduring the step ofdocrypting.
81tha
. A met
hod according toclaim 75whereia thestepof
r
iving furtherincludesthe stop ofstoring each certaiu
de
ic
Tc
ntdocryptionkoyalamcmoryaddre.sslocationtbatis
diTor
cre
entfrom lh from theirl
amcdiat
ol
y prcceding certain
diFrenldtcryptionkey.
&2.A metllod accotd
t)gtoclaim 81. wbereiaeachmtmory
acl
tlressIocatioaforoach cerlain di/erctl!decrypttonkey is
tliferent.
#3. An apparams forproducing a sa am ofdigitaldata
com pcising:
meamsfordoterm ining aplurality ofN rtionsvvithinthc
stream ofdigitaldata sucb lhat

apoctionoftlestream ofdigitaldalaisencryptcdwth
anoncryptioakey tbatiscapableofbeingdccryptcd
byadeQTyPtionkeyand(bem rti
onincludiagtbereia
aoote rueoeptionkey capable ofdecryptiogasut,scquentportion ofthcslroam ofdigitaldara and
lhesubsequeutportion oftlx slream ofdigiraldalais
erk
cxypted wftlz laotlw eu yption koy tllz.t is
capableofbeingdecryptedbycr
theanotherdectyption
key'
and
*

means fortransmittiug tl
x stream otdigiuldatap indud-

ing1hcportion &nd thesubsequenlportion.

84.An apparatus according to claim 83 w hcreirithe
m rtionanda pluralityofsubsrqucnlportioascompriK tlo
pluralityofjyortioas,andeacboflbepluralityofsubsequcnt
portionsisencrm tedwith acerrespondiag anotherencryption key,and within eacb of t!le plurality ofsubsequent
portions'cxcoptalastsubsequontportiollthereLsincludcd
therein a corresponding anotl
> key capabl
x rdecryption
e of
tlocrypliag tle corrosm nding subsequeut portion of the
slmam ofdigitaldata.
85.Jdl zpparxha aceodiag to clakn 54 vvbortkk io

encryptionkeyand ewlzauotberencryptionkeyLsdilcront

and tbedccryption koy and cacb auotberdecryptieokoy s

corresN ndfngly dilea nt.
86.An apparams according to claim 85 whorein tbe
TDCrYPtion key and decryption key certain oues of tl)t
Aootbcroncfyptionkoysandanotherdecryptionkcysbave&
dx erentkeyleazlh.
87..
An zpparalus ac rding t
o claim 84 wberein the

decryptionkeyandeacbanotbcrdecjyptionkcyislocaledat
adiFerealj
ocalion wilhinoachportlon.
% .Aa zpparatus according to claim 84 wbcroin oach
ortioo basadifereobitsize.
P

#9.An apparatus accordin! to clam 84 whorein tl

x
jluralityofportionsarelrarzsmruldinanordcrcorrespoud-

mgto aplayback sequencc.

90. An apparalus according lo claim 89 whcrtia lht
cncryption keyaade#claanolboreacryplioukeyisdi/ereut
and1bedtcryptiouk&y alxleacb anotbertlecryptionkey is
corresm adingly dil
ferent.

91. An apparatusaccordingto claim 89 whoreioeachof

l
beporlioa'
scontainsapllrallyofpackets andeachofl
be
packelscontaiosauon-oncryple.dbeade.ridentifyingwki
ch
decrypt
ionkey t
o ustt
o dccryptlhatpackct.
92 Anapgaratmsaccordiagatoclaim 84(urtlmriucludillg
am arkertbatim l
rlcdialelyprecedesfhcdecryptionkey and
eachanotherdecryptioakoy lo alloe idontificationofeach
anothordccryption koy wilhin the Ixlrlion and subsequenl
ons,rcspectivdy,
Porti
9:
3 A.
n apparatus accordiog to claim 92 wherein each
I
r)ark'
orntjtl
w corrospouding deception key orauolher
(jeCI
XPtjo
jn kjejyjLs cncrypted in tbc saam manner as tlle
portion n w 1c)i!iscontained.
94.An apparatus according to claim 83 wherein the
aaothordocrypti
onkeyisencryple.
dwkjj)tjjoeucl
yptiookey.
95.An apparaltks according lo claim 94 wherein lhe
pluralilyofporlioasa.
ro(
ransmilted inanordetcorresponding to a phyback sequtr
lcm.
96.M appzxztus according. to daim 94 wkleveia im
encryptionkeyand eacb antlthcrencryptionkey isditremnt
arjd thedec yptionkey anJ cachax thcrdccryption kcy fs
correspopclir
cgly dilemrlt.
97.An apparatus according t
o claim 95 whcrcinoacbof
1b*Portioie CfmlainsaPlltfalityofpacketsm andeachofthe
Packetscontaimsanon-oncrypte
.d hcadcridentifyng wbicl
doctyptiouk=y to useto decrypttl
n tpacket.
98. Anapparatusaccordingtoclaim 97furtberincluding
a markerlhatimmedialelyprecedcsll
zedtcryptionkoy and
cach aoothcrdecryptienkeyto allow identiticatioa ofewh
ari
othordtcryptioa koy within the I
xm i
oo and sulv qunt
portions'respectively.
99.An apparal
us according to claim 98 whcren each
l
uarke.
v an tbt;eorrmsponding decrylgiorkkey or notber
decryption key Ls encrypted iu the sam e manner as the
portion io wbicb itiscontained.
1()0 A
saccordingloclafm 83funberincluding
a m arkc
' napparattl
rthatimmedialely preccdcsthcanotberdecryption
key to allow idt
zntifl
cation ofthe anolherdecryplfon key
witlliu theportion.
1:1.An at
*ma
* ratusaccordinz
%-to claim 1* wbereia the
m arkeratxltNe anotberdecryption key Lsocv yptcd w ith the
encryptionkey.
192.Anappant
usaccordirtgtoclaim 101wborein oach
cncryption key K ddIerent znd each decryption key 1
correspondinglydi/ereut.
103.An Apparatus according lo claim 102 wherein (be
C'orrespondingdrpcryptionkeyineachdifferentportionLsI
lol
locale-d atasamepartof(hc I
xmion.
104. An apparatus according to daim 1O3 wbcrein oach
Portitm llasa. di
Fert
ktsizr..
105. An apparatus according to claim 103 wberin tl
ze
pluralilyofportioasare. trm smittedin lnordercorrespondiz)g to aplaybacksequenco.
1:6 A
pparytusaccordingloclaim 1tX)whereintachef
theIx)f
'lioaaa
scontaiasapluralityofpwketw and each oflhe
scontaiasanonencrypte.d hc&dcridcntifying wllich
Packet
dec tiookeytouw odom'
ypktbatpackes
.
1
0
7
.
An
A
p
p
a
r
a
l
u
s
a
c
c
o
r
di
n
g toclaim 83furtberincladj
yjg:
mealtsfortral
ssulittingadecrypl
ioakeytbalisc'apableof
dccryptingthcportionofleMream ofdigitaldata'apd

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 40 of 88

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US 2002/0141590 A1

Oct.3>2002
10

meansforrcceivitlgan acknow ledgem eotfndicatlngtbat

11)c;dectyplioa koy laas tyeenproperly installed oo aa
cad-user computer that will recclvc tbe tfansalittcd
slroacnoftligila!data.
1(j8 A napparalusaocording lo claim 83 iurlhelincluding: '

'

mcans for transmilting a set-up strcam ix l

uding an
encrypte.d tcsldecoderand an cncryptodand cncoclcd
teslseqaence;aud
meansforrecxi
ving an acknowledgementwith monit
or
informati
on indicative ofperformanco ofan end-user
com puler'
and
,
meansfordotermining a kcy lcnglb and a key rotation
pcriod basedupon the moaitorinformzlioa.
1:9.An apparatus according to claim 108 wberein tl
x
monitorinformatioaprovidesanamountoflimerequiredto
decryptand iustall the dtcryptioo key and decfyptaod
decodo thete-stsequoncv.
.
110.An apparatus according to claim 107 whereiu'arl
encrypled cxecaltabledocotlerisincluded in the portionof
lbeMream ofdigilaldaa,lbc.encryptcd executablcdecoder,
wlwlz dccrypte-d akwlinstallcdsbeing capable ofdecoding
dataconlentthalis&1soincludedintheportionofthcstream
ofdlgitaldata.
111..An apparatus accordiug to claim 110 whereia tl)e
encrypted executablcdecodercan be decryptod Insing the

decryplion key.
112.An apparatus according to claim 1t)7 wherrin tho
portion andapluralilyofsubsequenlportionscom prisethe
pluralityofportioos,andeachofthepluralityofsubsequent
portionsisoncryptcd with acorresponding anotbcrtncrj'ption key,and witbin eacb ofthe plurality ofsubscquent
portions'except&1- subsequentIxm ion>tbereLsmcluding
llwrein acorrespoudipg anotberdecrypliorlkeyeapabltof
decrypting tbe corresm nding subseqttenl ponion of the
stream ofdigitaldatz.
H 3.Azlapparatusac rding to claim 112 wherein
'
tl
zeanotberdecrypti
on kcyislocatcdwithintheportionat
a locat
ion thalpre des lhe cud tbe portion by an
amount tbal will easure tlx rom aining travusm ission
timo of lhe portion afler transmission of tbc another
decryption key Lsgrcaterthan alatelm ym'easurem mut

indicati
ng au amounlof tinw required to dccryptand
inslalltbe decryption key;and

oach znollzc:
rdecryption key is located willin each subwquetl
tportion atanother location llatprecexles the
endtbesubsequentportionbyanotheramounttbatwill
easure the rcmaining transmissioa timc ofthatsubx qucntportion aftertraasmission ofr
llecorrcsr nding
arrtllcr ckcryption key is grcater than tbe latency
m easuxm ent.

114.An a.
pparamsaccording to claim 112wherein eactl
cncryption kty is diFerent and eacb decryption key is
corrcspoadingly diferent.
115.An apparatuszccording to claim 114wherein cacb
enclyptioa key,each aaotherencryption key.tach dccryptonkry and eachdecryption key baveasame keyk nglb.
16.An apparatus according to claim 114 whertin the
.1
encryption key and decryptionkey andccrtaiaonr.
softbo
auotbcrencrypli
oukeysandanothcrdecvyptionkeyshavea
dlferentkey leogtb.

117.An apparatusaccording to claim 1l4w hercin lach

portioahas aJiferen!bitsiz.e.
118.An apparatus accofding lo claim 114 wherein the
pluralilyofportionsaretransmittcd inanordc;rcorrespotldirlg to aphybacksequence.
1l9.An apparatusaccordingtoclaim 114whereineachof
thcporlionscoalaifksapluralilyofpacktls,And eachoftlm
yjg wl
yich
packctscontainsanoa-cncryptr,d headeridcntjfyj
decryptionkey touselo decryptthatpacket.
120.An appartus accordirjg toclaim 119furtherincluding amarkerlhalirnmediatelyprtcedeslhe.dccryplionkey
ackd each anot
befdocryption key.to allow i
deutificalioa of
ezcbanotherdecryptiookey within theportionand subsequentportions.rcspectively.
1.21.Aa apparatus according to claim 120 wherein :he
cach marker a.nd lbc correspoading decryption key or
s cnci'yptca kjtjm same maurlc.ras
auotberdecryptionkey j
llleporli
oo inwhi
ch itiscontaincd.
122. An apparatus according lo chim l07 wborej.u (lw
rlotjwr(jxvypjjookeyisoncryptedwithlhooncryptionkey.
12:5.Anapparatm;accordingtoclaim 107ftlrtherincluding amarkerthatilunwdiatclyprecedtsthcanotherdecryptionkeyloallow idontificati
onoftbeanothcrdocryptionkcy
witltin tbeponion.
124. An apparatus according to claim 123 wherein lhc
markerandtbeatlolherdecryptionk:y isencryptedwitbthe
encryptioo kcy.
125. An apparatus according lo claim 124 wlzcreiu the

correspondjng(
jxgysionkoyiaoachdiFeren!portionisnot
located atasam epan oft1:oportion.
!26. Anapparatusactording to clam 1zswherein each
portion basaditfcrcntbitsizz.
1.27.An apparatus accordiag to cIaku jzrjwherein tlw
pluralityofpor!jorlsaretraosmittediu anordercorrespondingtoaplaybacksequence.
128.Anapparatusaccordingtoclaim 123w bereincacbof
lheportionscontainsapluralityofpackess aud eacboflbe
packelscoatainsanon-encrypled headorid'cnl
ifyingwhkc1)
decryption keytousc to decrypllhatpackct.
129.An apparatusaccordinglo claim 83 wberein:
tbeportjon kmmedjat
elyprrcetl
esthesubsequentportion;
and
theanotlzor(kcryptionkeyisIocatodwithiotbeportion at

. location tbA.
tProcedu tbe ttld the portion by =
amotm tthatwill enmzre the rcm aining lransm ission
time oftbe portion aftertransfnissioa of tbe anotlmr
xjoftiam aeede,d
cryption key isgrcatertjlanaoerit
todecrypt41 installtbtanotbt'
rdt;
cryjltoa kcy.
13:.Anapparattl
saccordingtoclaim 129wbereinoachof
theportionscontainsapluralilyofpackcts,andcachofthe
packetscontains& I
xm-encrypted headeriderdfying wu ch
decryptionkey touseto deceptti
la:packrt.
131.. A trans.m ucxsjx apparattlscomprisingr
meansforsegmeuting asl
rlam ofdi
gitalcontcntinto 3
Pluralilyofm rtioas;
.yofportions
meansforinserting,into eachoftbcplutaht
exccpla1* Iyortion,oneof&plurality oj.decrypuon
keys tbat*111be usable fordocrypting asubsequenl
x rtion toobtaina mocl'fie.dstream .
A
'
meansforeocryptingeacl
zportionofthemodifie,
.
dstrcam
witllanencryption key capableofIxingdecrypte.
d by

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 41 of 88

'*- >#

*> .

US 2002/0141590 A l

Oct.3,2002
1l

acorrejpondingoneofthcpluraiilyofdccrypllonkeys
to obtam a.pluralily ofencrypled portions'

means for atlachingpoato eaclz cncrypted poftioa> a

beaderidentifying tbeonedecryptioo kcy corrcspouding.tbereto toobtain astream ofdigttaldata'and
mcansfortransmittingthe stream ofdigitaldata

132.Ana?paratusacoordingloclaim 131whtleincon-

rncansforrccclvinganacknowledgementindicatingt
bat
thedecryptioa key hasbeen plojm flyinstallexlon an
end-user cornputer tbalwillroeeive thc;trarjsmittcd
stream ofdigitaldata.
146. Anappatarus According to claim 131 farther:
mcaas for traremitting a set-up stroam includiug an
cnce pted lcsldeeoderand anencovttd andrncodcd

ltulSeqtlcllf7
c:
.and
y

secuti
vcportlousare enccyptedwith aditlh enlencryplioa
keyand capableofbei
tlgdccryplcdwilhadifferentdccryptionkey.
133.Anapparatusa ordingtoclaim l32wbcroineacbof

means forreceiving an acknowlodger

nentwitb monitor
informatfon indicaivo ofpcrformanceofanend-uxr
C'Omputcf;afld
'

tbeportionscorttainsapluralityofpackcts.andeachofthe

mearksfordelerminiug akey lendF(h andakey rotation

packets conlains thcheaderidentifying whiclldecrypliorl

key tousetodecrypttba.
tpacket.
134.Anapparatusaccordingtoclaim 133furtbefix lud-

Irrio(1based upontbe. mortitorlnformation.

j47 k
f
klapparatus accordiug to chka 146 wl
lerein the
mooirorinformationprovidesan amountoftimerequiredto

ingamarkortbalimmediatclyprecedeseachoftbeyurality

decryptaad installlbe decryption key.and de

-cryptand

ofdecrypt
ion keysto all
ow idcnliticati
on ofcacb of tl
w
lurality ofdocryptionkeyswitbin cacbportion.
P
135.A.
tu
ssac
di
tooc
13
1wb
crc
cain
of
tiuappara
la
in
acpolr
u
ranlg
ity
flz
pi
amcke
ls
aud
clt
aa
ocfbt
h
e
thcIxjr onscon
'uch dccrm tion
packets contains the headericlcnlifying w
kcy lo uso l
o deczyptl
halpacket
136..
M apparalusaccordiugtoclaim 135wbereineacl
of
thcm rtionscontaiusapluralityofpackcts'alxleachoftbo
packets coulains the headoriderltifying which decryptiorl
key to ux to decrj'ptr
hatpackeL
137.Azlapparatsaccolxliilg (odaim 13t;ftrtllorincludingamarkertbalimmediatelyprecedeseachoftheplurality
ofdecryplion kcys lo allow idcntification ofeacb of lbc
pluralityofdecryplioo kcyswithin each N rtioa.
138.Anapparatusaccordingtoclaim 131wberelneacitof
tbem rti
onsccmtainsa pluralftyofpackets andeachofthe
packet
s contains the beaderidentifying whi
ch decryption
kcy lo use to decryptthatpackcl.
139.An apparat
usaccording t
o claim 138 furthcrincludirtgamarker(latimmedialelyprecedeseachofthepluraliw
of decryption keys to allow identitication ofealzh of the
lurality ofdccryption keys witbin oacb porlion.

decotle the testsequerlce.

148.An apparatus according lo claiin 131 wbcrein,art
oncryptedexecutabledccoderisincluded ia an initizlportion Ofthe Mream ofdigitaldata,thecncrypled executable
dcrcder,When decryplod and installcd.being capable of
decodiqgdatacontentthatisalsoincludediatheportiortof
tbcstream ofdigilaldata.
$49.Anapparatusa ordingtoclaim l3lwhorcintac.hof
tbe subsequent dr
-cryptiorl keys i
ncluded in onc of lhe
portioasisused todoctyplanotberpottionthatmmodiately
foliosthe:oncportion.
1.
s(jxaapparalusfordccrypting astream ofdfgitaldata
comprising:
mealtsforreceisr
ing aportion ofthe stream digitaldata
the&stportionbeingencryptedwithauencryptionkey>
capable ofbeing decryplod by a decryption key and
including a subsequenl decryptoa key capablo of
dccryptirlgasubsequontportioooftbostream ofpacketsofdigsitaldata.
'
meaasfordccrypti
ng lhe porljonogtj
w stream ofdigital
datatusing lbc dccryptit
jn key;

144.An apparattusaccordingtoclaim 131wbercin oach

encryptioakey,eachznotbtrcncrypti
otlkoy,eacl
zd

tion kcy andeach X cf

yption keyhavoasamc key l
caglb.

rCealls for identifying the subsequcnt decrK!tion koy

disposedwitbiatl)eportionoftlxestream ofdlgitaldata
priorto corclletion ofdecrype g tbe pollion of tize

12aldata'
stream ofdipt
'

141.M apparatusaccordi
ng toclaim 131whcmin the
eacryptioa key and dccryption koy certain onrsof the

moausforinstallin!thesubscquentdecryptionkeydata
Priorto com?Ielhon ofdecf
ypting tbeportionofthe

thoIjuralftyofdccryptfonkcysfsIocatedata.difrerent

e
ncxl
ymg
yloddewi
tl
zanotborc
ncruybpstci
o
nkeythaliscapablc
ofl
crypttclby ll
w s'
queatdecvyption key;

anotbrencryplionkoysand anotherdecryptionkeyshavca
di/ertntkey lengtb.
142..
* apparatusaccordinglochim 131s
vbereinei
acb of
locatmn within eachm rtion.
143.Aa apparalusaccording to daim 131 wbereia each
portion bas atllrerentbitsizs.
144 M apparatusaccordin to claim 131whorein tbe
lerali.tyoflxkrtionsare (l-aasml
!,
ttedinarlordercorrcspoud?
lng to aphlz
backsequcnce.
145. Aa apparatmsaccording to claira 131furttmn

meansforlransmittin.jadeqypt
iookeythatiscapabltof
decrypting an i
lzitzalportlon ofthe stream ofdigiul
data;and

stteam ofdigltaldata'and
means for receiving anotherportion ofllze strtam of
packcts of di
gital data, the Auottler poltion boing
aa(j

mC:atl%f0fdecrypting tbeanollmrportionoflitestream of
digilaldala using 1% su
enldcczypt
ion key.
151.An apparalus according to claim 15O whorein lhe
Porliol
laDd tlle aoothtrportion eacb include aplurRlily of
Packcts.aad each ofthcpacketscontaiusa non-encryplcd

beaderideutifyingtbatlhcdccryplionkey aod lhcsubse-

quentdeception key.respeclively,rxbould be used during

the respccuve slep ofdecrypting.

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 42 of 88

US 2002/0141590 A1

Oct.3,2002
12

152.An apparatusaccording to claim 15l wllerein 1he

stepofidentifyingiticludestllcstcpoflocatf
)gamarkertbat
im mediatclypiecedes tl)csubsoquentdecryptlon key.

153.An a.
p?aratusaccording toclaial152whorci
n lhe

slep ofinstallmg r
'
tore,
s thesubscquentdecryptioakey ala
.
memoty addressIocation thatLsdlffertntfrom thedecryp.
tionkey.

154..
An apyarattusaccordin! l
o cl
aim 152 furtberthe

mtansforrecmvingand decryptlugarccapablcofrecei
ving

anddecryryptingaddllionalanotberporllons,anfltbemeans
foIloslall
ingstorescacb additioualsubsc ueutdecryptiou
key atamemoryddresslocationthattsdx erentfrom the

i
mmcdiatelyproccdingsubscquel
u decryplionkey.

155.Anapparatus according lo claim i54whereiucacN

memory address location foreacb additionalsubsequent
dccryption key istlifferenL.
# # 4' + #'

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 43 of 88

.

No.CV06-00114

ETREPPID TECHNO LOG IES,INC.

VS.

DSNNIS M O NTGOM ERY,ETAL.

Ex./&

Adm itted:February 7,2006

RONA
ON l
., LERK
By

,Deputy

'

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 44 of 88

x

'v

Fsoaso rottzm rpcordedto:

Pll
sbufy W inthropLLP
1G)t
)TysonsBotgevar
Mct-ean,Virglnia 22102

Al
tyDktJ042503/02/3332
Cli
entRef' e7'
V-O12(U)

M SIG

V.P S.Orip'aPatmitApplication
W H EREA S,theundm'
si
p led

to wit:DENNIS L M ONTGOM ERY ,

lasmadeaninvention entitledGD zATA
herAN
einaCE
fter'AS
GATH ERIN G IN G AM ES O F (
CH
' SIGNOR),
.

application forLettersPatcntoftheUrkited Sbatesw astiled in tl

orwhich all
,f
Of5
zeUnitedStatu PatentandTrademark

ceonNevember21,2001,underSmalNo.09/991,531'
, and
existiWHEREM ,G reppid Teclmoloses,LLC,ASSIGNEE. a cofporatitm duly organized atd
ng underthelaws oftheState ofNevadaand haviag itsprincipalo ce a

94 10 Prototype Di
ive.Suite 1B

rld place ofbtlsincssat

Reno,N V 8951I,desircslo acquirean intetesttherein'
,

***

NO W .TH EREFORE, forgood and valuableconsideration the mceiptand su cicncyofwhich

,

arehcreby acknowledgc said M SIGNOR dou hereby sdl, assign and transfer1111t0 M SIGN EE
,
its succcssors

,a
ssigns mld legalrepresentativcs, the fulland excltzsive rght tide and interestto the
said iaveation in the United Stata and allforeign countries, as(I= CZIXIIin t.be
aforcaid applicxation
mld to the said application and to all contilluatioas, diviorts. reissues aad substitutes of said,
a
Ipplication,togetherw ith thelightofIxicxity undcrthelntem ationalConvcntion fortheProtection of
ndustlialProperty,lnter-A mezican Convcntion Relating to Patcnt,Designs and 111(1% tz1a1M odek
and atty otlm ' intem ational v 'eernents to which the Unted States of Am elioa adheres ,
M SIGNOR hcreby authorizesand requese theComm issionerofPatcntqto issate
, acd
to ASSIGN EE.foritsinterestasASSIGNEE
said Lette:s Patent
tss'uccusors,assigns and legalrepro entativo
,i
AN D A SSIGNOR hcrebyagreesto executeany papms requestedby M SIGN EE
assigns alld legalrepresentativcs
tssucc& sors,
.i
ialto A SSIGNEE'
S fullprotection mld title in and to
, deem ed cscnt
the invention hereby transferred.

ASSIGNOR furthennore agrees tg m request of said M SIGN EE

rtmtmeration
, and wi
thout further
,f
o execute any artd a2 papefsdc ired by saidM SIGN EE forthe Gling and gfanting of
foleign applicat
ionsand the m fecting oftitlethereto in SICIM SIGN EE
.

NO'l'
E:
n e undelsigned hmrby authodzcsPillsbury W iatlu'
op LLP oftheabove address
,t
inseftfilrtheridcntilication necessaryordesirableforrecordationofthiqdocu,me
o
nt
.

Exeouted on tlledatelxlow indicatedw

Si atur

DateSigned

is

W itucss

M ERY

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Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 45 of 88

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I1Il
I111111111pIIIIl
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us 2003* 96643A1

(:9)U nlted States

(1z)PatentA pplication Publication (ln)Pub.Nm:US 2003/0096643AI.
M ontgomery

(43)Pub.Date:

(54) DATA CATHERING FOR GAMKSOF

M ay 22,2003

PublicationClassilication
(51) lnt.C1.7 ........................................f;Ih6F 17/00
(52) U.& t7l..................................................463/11

CIIANCE

(76) Iavcnt
or: DcvlnisL.Morll
gomery.Rcno,NV
(US)

(5X

ConrspoodenceAddreas:
PILI-SBURY W INTIIROP LLP
,
RO. BOX 10,500

ABSTRAW

A mcthcd ofmonitoring agatne ofcbancc.Tbe motbod

includesoy ratiagavideocameratoobtainastream ofdata

M CLEAN VA 221@2(U&

tbaliacludrsarll
valilyofrtpelitivoaclifmsslored thtreon
relatingtotbegamcofchanco aadautomaticallyparsingthe

(21) Appl.No.:

(19/991,531

strtamofdatatocounltlzeplur&lityofrcpetitiveactioas,thc

(22) Filed:

Nov.21 2.
01
)1

gameofcbanct.

countobtaised providinganindicatorusabletomooitorthe

# 100
110d

110

ll0c

110f

110b
114

11%
11()a

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Setting

Com puter
115

Ne
116

112

'

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 46 of 88

PatentApplication m lblication M ay 22,2003 Sheet 1 of5

US 2003/0096643 A 1

Figure 1

# 10

llod

llB

lloc

110f

llob
114

llog
11@a

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Figure 2b

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Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 47 of 88

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PatentA'pplication Publicatien M ay 22y 2003 Sheet2 of5

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74

US 2003/0096643 A1

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Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 48 of 88

* e*'

PatentA pplication Publication M ay 22,2003 Sheet3 of5

US 2003/0096643 A 1

Figure 5a
500
0

00

1-18
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Blao

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d
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A 510
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Figure 5b

Figure 5c

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 49 of 88

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PatentApplication Publication M ay 22,2003 Sheet4 of5

US 3003/0096643 A1

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Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 50 of 88

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PatentXpplication Publicatlon May22,2003 Shtet5of5

D IerID

Table No.

12345

124N

Haldsplayed during Averagenumberof

period
llandsplayed
darirm period in
lmstmontil
24
32

23456

12m

20

22

78998

126'
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30

30

74

28

Total

US2,
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M gure 7A.

TableNm

Ha
ndsplayed ... Ha
od:playedduringperiod Ha
afksplayed
darin erod 1
z:
forentire da

124N

24

:$3

55Q

125N

20

25

602

126N

30

28 '

435

ToL<

' 74

86

1587

Fgure78

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 51 of 88

'

lJs 2003/0096643 A1

M ay 22,2 3
1

DATA GATIIERING FOR GAM ES ()F CHANCE

4.RRIEF DESCRIPTION OFTIIE DRAW INGS

1 FIELD OF THE ISVENTION

(0009) n e presentinvention is illuslrated by way of

example,andoollimitalon,intheIiguresof1beaccom?a((*01) 'f'
hoprclrntii
lvcntioapeftainsjynorallylogames uying dra.
wings in Wbiclllikc rdcrences dcnotc simtlar
.

ofcNal
zcc.M oreparticulatlyxllm pl
rsentInventi
onrelalesto
methods and apparattm for gatheriug dara on games of
chancc playe.d in'forexam ple'casincks.

tleme:
nl
.and iawbich:
ftml9l FIG. 1illustraresagam ingtablo accofdingto onc
'
' xldi
em enloftilepresentinventioa.
emt

2'BACKGROUND
(
(K
ntedsga
armb
e mu
bi
li
la
i
ndnugst
ri
os.Evon
lh
o*2)
ugh IoCa
gas
lii
z
lnl
gti
is
al
ro
en
lald
i
vol
el
yr
you
i

ft*tll FIG.2illustratcsaplayerplaccrettingllavingabtl
reaand aplayarea.
(8012) F'IG. 3 illusfrates axquenceofrepetitiveactions

thiscountly itcontinues lo grow.

lhataro possiblc irlgame played in accordarice .witb au

Tmtodimentoflhepresenlinvention'
(00131 FIG.4 illustratcsamask foraplaycrplaccselting
n which no cards asd betsare presentand a mask fora
di
oalcrx ltinginwllich oo cardsare preseut'
'

ndust:y in

(
*03) A ck
ecessarytlcmcntforzncleclivccasinoojxra(i
nis.asecienlcasinomanagementandxcuritysystem.
Co
asinos sperd subsfaqlial amounls ofum cley to observe
gamblvas.tleahrs and ot* ts in tttticasix using txyttl
ticctronicsurveiilatux cquipmeatand liv:persormcl. El
ectronic survcillance usually takos I
he form of dectrouic

(0Q141 FIG.rvlillustralesarouletlelayoulandmaskfor
usagcwitb !he roulttle hyout;

cameraglobesorvisiblccamcras (coll=tivsl! cameras) (t*15) FIG. 5b illustrAtesa rouletle wheeland m ask for
wlzich blanketI
lm wallsand cdlingsoftheca nos.
usagcwith theroulettc wbeel'

((- zq Anotlmrasactofe/ective casino opcratbn is

using dtalerswho perform wtll.Dealers arcscbooled and

uained in teclmiqueswbkbarcsupposed lobtharmonized
tbroughou
llbcinduslry,focusiugontllesNume card handiing, and playorassocialion and relation.n e'interaction
botwccn tbc dealefs and thc gamblors is tNc scrutinize.d'
sincc itfs in thatintcraction thalmoucy passcs from t
he
dcal
cr,md thustl
xecasino,to 11
:
* player.

(G*5J n edealer/phycrinl
eracsionis forthemom par'
q
monit
ore.
d using elcctronic sulvcillance monitorsthatare
vicwe.d by individuals ata centrall
ocatioo and by roving
olv rvers.W hile videocassetterecordi offrom lbecamerasexistsailcanaotbeeTectivclyusedm arsscssingdealer's
performance,orinotherwi.
semonitoring garnesofchance.

((*06) Existingmoaitoriagsyst
cmsdo notailow tbem f
'
bore,casinosto know objectvelybow many gamcsbave
cenplayed byaccrtainpointintimeataparticulargaming

tablc. V us, Ijlotdloring of gaming tables bas rcquirrd

r00161 FIG. 6illustratosa Rqutncr ofrcpetjti

voacti
ons
%
fora roulctlewhccland ball.
'

(017) RGS.7A-7B i
llustrateexemplary reporl
sgenerate..d fzom repetitiveactionsbeing monitored

5.DETAILEo Dllsclufrnox oy '

I'
HE
PREFERRED EMBODIM ENTS

(*18) Tochniqucs forgalhcring data abouta gameof

chaace ar der
erlxd.In thc following dcscri!'t
ionyfor

purposes ofcxphnation.numcrousspecic l
ktaklsarc ret
fortb in order Io provide a tborouglzuaderstanding oflhe
prcsentinvoation.Itwilibecvident bowover tooneskille.d
in thc arttllallllcprcnscntirlvcntion may bc practiccd in a
varieit
y ofgames,cs%cially card games.witbouttbe:
se
sm c ju (jetags. In otlwrinstances,well-known operations.
steps,functioasAodektncnts&ruotsboo.
k
j
d
e
r
t
o
a
v
oi
d
cl or
()twcuru goejl
wexon.

l
mmanRmnitoliag,wbicbisnoyonl!pronetomislakcs,but EO19) Part
s oftbedescription wil bepresented using

addsanotlzerdegrecofuacertainty,szneetllo bumanEnonltor
canbo irlEumnced.

term inolog.ycommoalyemptoyedbytloseskillod intlw arl

loconvey thcw bstaoc.coftbcirworkloolhcrsskilledintbe

((*(r/) ltwouldlx zdvamagootts,Ihcmforc,to lx ablcto

.s
, xt
. a
a
ucbaa
spariawhp
attcr
nr
l
i
onns,d
ca
me
cn
*an

ou
sec
oo
mgu
rai
t
i
o
w1
1l
1c
br
et
descg
rbc
do
af
s
fldx fort
.W ri

monitorcerlain aclivitie.
s thalrelale to games ofcbaoce

phyed atgaming tablcs aulomalically,witloutr uiring

bumaaiotel'
vet
ltion.Forexample*automaticallymonltoring
the nutnbcrofgamesorhandsplayod atapm iculartable
du:ng lhe shi of a padicular dcaler vddx lbe szsulls
oblained bming ausdulindicatorofthceFectivenesw
softhe
dcalcr*ofthephyers,and,ultil
xlatolyyofthe.casinoopcralion
as aw > le.

cjuwretestejsjyorforme.din turnin aroanperfhatis

mujtyl
mosthelpfuliu undorstandiug thepresentinvontion. Howevcr,1hcorderofdescriplioo sbouldnottx construr.d asto
imPly(hztjl
w.seoperatioasarcnccerx
sarilyperformedinthe
order tNat they are preseuted, oreven order depcodent.
t-astjY.x poztodusage oflllepllrascs'iin one ombodim ent,
'u.an utertlativr emlxxiiment,''or an Rallcrnate tm bediment'.doesnotnrrxsar.
jjy rcfcrto llx sxame cmbodimrnt
almougilitmay.

3.SUMMARY

(* 2:) FIG.1illustratcsdat:gathcringsyslem according

(t*(l8) A metbod ofautomaticanymouitoring agameof to oneembodimcnloftl
'
eprevntinvention.System 1(*

chan isdoscrilxd.n cmcthod includu om rating avi

deo
cammraIo obtain astream ofdat.tbatinclttdmsapluralityof
rtprtitivo Actions stored tbtroon relzting to lhe game of
chance,and aul
omatically parsing tbe str
cam of data lo
counttl:cpluralityofrepetitivo acl
ions thecounlobtai
ned
providingpanndicatorusablttomonitorthtgaux ckfclxance.
7

inclu s playrrplaco setling,s 11tkI% dealerR tting 11Z

camera 114 computor115, xtwork 116and lerminal117.
Czmrra114fiknstablt180atxlplayerplacescltings110J-g'
and dtalerselting1.12 toobtain astream ofdigitaldatatbat
includcs thc repetilive actioas ll
aatoccur. 'Ihe repotitive
actioasueactivitie-stllatocctu itktlleplacescttingsllQa-g

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 52 of 88

'

US 2003/0096643 A l

M ay 22,2 3
2

anddnlcrsetling 112.'
fhecamera 114 Lspreferablyfixed,
and Ls prefcrably set a: a samc zoom position for aI1
comparison cvorationsperfofmod as doscribed Neteio so

belween themask 402 and thatportion ofLbedigitaldata

stream corrcspondiugtothelocationofttm Inask402dttt-ing
lhe playing oftlm gameofchance.n e mask 402 in such

thatasmucbconsistoncytvtwccnadjacealframesin the

compariscm opcrations i
scsscntiallyancxterilalpattcrntbat

asbetarea202andplayatea2.
> .Duringacardgamesuch

ofthcstream ofdigitaldatarepresenting tlzeimage.Couventioualpatleru reCF:

'
Jitioosystemscanlx tusecltooG rate
ufxm theslream ofdlptaldataandobtaiulbc indicationsof

slream ofdigilaldalaaspossiblc areoblaincd.

((K)21) M shownitlFiG. zb'aplayerplacesettingll()a-g
b

msblackjaclqforexamplc'aplaytrwillplacebelss,uchas
c
psorjrlonsinbetarca202andcardsof1bcplayershand
inhi
play area2> .Astbe card game devclops.a()d acard is
addedtotbebandorthelzarl
dLssplit,activilytakesplace in
play arra 204 and m u ibly in bd area202.Similarly,thc
dcaler.shandwillboplaccdindoaler,shandarca206.% thc
c
ardgamtdcvrlopssacardorcardsmaylx addcdtodoaler's
hand arez206.1..IG.3 illustralr
.s a sequel
w.
e ofrepetilive

thc mask402beingwitbi
n lhcstream ofdigil
aldatathatis
obtaioed.Furtber'themaskarGacan bcfuirtherrequked to
a
astbavtrecognizedwitl
inilanobjectofsigncanceto
ittle
'sucb a,a card ora cNipeia orderto prevenlaa crrant
o
,suchasahaud'lhatappr-af
sinthemmskareafrom
ibjoct
ncorrcct
lyindi
catinglbatagameisundcrwrayorhasI
x cn
complcted.

aclionstllalaropoasibleinagameplayedinaccordancewith

(00261 M d while a mask asdescribed Ls a.prefcrced

otberplayerplacesottings.

(()(u7) n eabovedewripl
oowasmadeintl
zecontextof

(*221 Bylakin!hestream ofdaalhalcmcrgcsfrom the

OnGPlayerplayingwithadealer.Itshouldbeappredate.
d

trzasitioas thatoccur lbc nttmberofllands tbatarobeing

Playodataublocanb'edoterm ix d.n isLsjyossibleaccordinglo oneem bodimcntofthe prex ntinvenlorlby asing a
masks describe
.d furlber bcroinafter, lo dctect traasitioas

dezler.lnlllrcventofEnult
iplepla.
ytl'
sareplayinga.
latable
aod aplaytr'shand fmisbesbeforotlza.tofotberplayelsylbe
Playet's hand whiclzEnisbes isdetecle.d wlzea tbe player
clears tbeplayer'sbetarea and play area.Eaclltime itLs

an om bodimeutof!he presen!invenlion.At3024 eacb of

playcr'splacesettingll8fz-g arcclearofanycarclsand1v1
and al3e21:tl)tdeal
cr'ssclting 112 are cloarofanycards.
A sthecard game develops from 302/ lo 3:12/zaad from
3025to312#cardsAreadded Ioplayarea24)4 andlodealer's
band aroa2% and bets are phced on botarea 2:2. n o
sequencrolrrprtilivc aclioas3:2/-312a arercpresenlativo
ofwhalhaplxosloneoftbcplayerplacesellingsllotz-#.
A sequencera
'milarto tbatsbown in FIG.3 can occurfor

cameraand parslng itatcomputcr11s to determine the

'

isbcingsearcbod forin aparticularIocatioaofrach frame

Inannerofcomparlson forpatternrecognitionptkrposes,itis
noltheonly(nanncrinwllichthecomparlsonscanbemade.
Colnparisortsbetwepea frzmcscaa zlr,
o bcmadc,sucl
xtbat
continucddurationsofan zctivitycau gtnerateacount.For
Zstanco,white space oa a dealercard area thatexistsfor
greatertbaaapredeterminedperiodoftknecouldboused t
o
generat
c acounq with anotbercountnotbcing geuerate.d
unlilaherelatdcallrcardarcahasbadc'atclsplacedtlwreon
foranothcrpredel
ermil
wdperiod oftimc.

lhatmorelhanoneplayorcanbeplagngatonetimewitllthc

botweeabands(.
e..theendofabandorlbebeginninzofa

detected tbalaplamr'sbaodhasended,abalz counler(a

n
edwicahta
ned)
war
cmb
ll
l
w m2k is
in
iv
o.
fAc
apl
cdi
en
sg
ctlt
io
ngon
incwb
ichod
ni
ome
car
r
d'
st
and txtsare

Of
twareregister,no1shown)canbeincxmontcdatcomPulertl5.n ekinfonnation aboulhandsplayed atagaming

prcsont.However. olhcrindicalions ofthe lxginoing ofa

bamlorlloendofahand canbcuscd.FIG.2ailluslrat
osa

'ab'eandotbcrinform ationthatcantm gatheredbasedontbe

PfcKntinvenlioa LSprovided viaoel
w ork 11.
6 lo terminal

mar
.
kforagaminglablaccordiagloonecmbodimoalofthc
presentinveution.Mask2 includcsmasl
csforplaycrplacc
seltings21(k-g andmask fordcalerplacesetting 2l2.

117orotbefterminals(notsbown).Network116canl:
petl
m

lrltcrnfl
valzotberdislributcditltenmlnctwork,oradrdicatcd
nNWCKI:.

((x)23) computer115stoxsmask2:0anduscsittt)dctoct (0(j28J FIG.5ailluslrat

ssarouleltelayout.Layout5* is

Iraasitionsbelwoen barvh . FIG.4illustrateslhe;masksfor

playerplace x ttings and tlw ualerplace w ttiog in greater
detail.M ask 402.isforplayetplacesettiag210J-g inwhich
nocardsandIIeM am prescnt.aadamask4@4isforadealer
selting 212 in wbichno cardsarepreseot.Bycomparing at
computer 115 eacb ogtlw rcpetitiv: aclions to thc convsm nding mask ilcan be dctermincd wbetbera harxlbas
ended aniora now baod i
s aboutlo lxgi
n. Ia betwecn
handrstlzccontinuousframestbatm-11illustralethcmaskare
noteach counted asascparate hand'
'

di
vided inlo50areasforplacingbtts.n e fundamrntalaroa
of layoul .
* e Ls the alternating area of red and black
numt'el.
s1-36anddigits0and(x)tintarecolore.d groerun e
rem ainiag areasare m rm utationsoflhe fundam eatalarea:
aroasforrvcn numbcrs'txklnumbers'rcd numlyerrsblack
numbcrs,Erst12 numbers'SOI
JOCKI12 numl
xrsxthird 12
ntunbcts.fkrst18num lxm>andIast18 aum brs.Onecanbet
on
number(slraightup),acombinationofnumb anyxingl
erw rod,black*oddorcven.Faclloftbeox losixplayers
attlw routettrtable ksgivon diferent-coloredcbipsso thal
kxpingtrackoftlx numberson theh youtorkeisbrtting on

(X24) Forcxample,bycomparingmask402to3024itLs
cleartbatahand isaboutto bcgim Ifthcprogrerx
softhe

Lsm rx
sibl:using arcftrtocctotbmcolor.
(
j
a
zp
j Fjc stpgltjstrate.saroulcltewboel.wlzeel51:is'
(
dividod kjto .
38 slots 512 for a ball lo Iand i

gameisfollowed and thestrcam ofdatafl

pm thecame.
rais
parsedand tbemaskiscompared t
o subsequentframes,itis
uotuotil3104 thatmask 402 and 31X are idcntical irxlicating thatz hand has brca completcd.A1 lbalpoirlq a
countertha!keepstrackofhandsbcing played atlable100
canbeincremenled.'rbeprocessofcomparisou coolinues
w ilh repelitiveactioas312/ and 312:.

n aad i
nu
mbcmd 1Iuoug:36 0 aod(x).Eacbroulcltcgam'ebogins
jleojjx (joaurspkjs,tlw whocjinolw direcuon and tlmn
'
rojlsasmallballzlongtbeilmoredge514 ofwbee1510 in
ljw oppcsiledirectioa. n ebaleventually fallsitgooaeof
lj)enumtmredsloks512.n a!nurntyeristhedeclarodwinner
t'Oftjjatgame.

(*25) Toclmically,theabeve-describcdpatterncompari- (()(B(q FIG.5cillustratesamask520foraroulclt

ewheel.
solysrequirepattern matchng opcrations to be porformcd
7

w hlc can easslmploastracking tleslolarea512thalthe

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 53 of 88

< .-'

w-

'

t;s 2003/0096643 A 1

M ay22,2* 3
3

ballrolts into.M a'

gk 520 isslorcd in acotnputersucb as
com pulorl15ofFIG.land isuseclto deurcttbetralwitions
betwocn roulelte games.During asingle gam e tbs ballis

rollcd>thewhee;lisspun>andltlenlbcballland/inolw of
theslotq.512.A camerasucbascamera11.4isplaccdtovicw
lbewheel5l0andisused locapturelherepetitiveactionsof
1beroulettcwbeel4ndball.Inparticular'each timo tbeball
rollsintoaslot*thisindicateslbalthegamciscomplete'aud
cac bc recordcd as a repctitivc R quence.n atc-amora'or
anotlwrcamrra'can also beuscd lo capture thereprlitive
acti
onofchip.beingplayedoathetable witbeaclloftl
4e
separatotttliog ateas baving itsow nm as'
k area'wbichcaa
be quoried fqr rcpetitivo clivity using the techniques
descn'
.
lmdatxwo.Similarly.thc actiorksofclup
slxingtakcn

awayfrom losing1
7c1bythcdcalerandotbcrchi
psbeing

provide.d lotbewinnerfrom tbedealer arerepetitiveactivitieslbatcanl

aeusr.
dto countthouumbcrofgamesthattake
placc in agiven period oftimc.
(:
51! FIG 6 illustrale.s axquenc,c ofrmpetitiveactions
foraroulette.wbee
land ball.By com paring atacotnputtr.
s
uch ascompuler115'm ask 520 to tlw rcpetilive aclions
602
'
l''
hi608tcanIx determ inedlhat2gam e.shavtbconplayed.
s
skaowu inthescquonceoffourframe
.s(wilbother
f i
ramcsinbetweennotshown)'sincewhentl
w ballcomr.slo
rostonanyslot512canbeusedasanindicationtlzatagamc
llasbcencompleled'which actionissbown by aclions602
a
nd &W.Allcrnalivcly.cach lime lhe ballappe
als in tbe
ina
.
eredge514ofwheel510canbeuwd Io indz
catcthata
ncw gzm e i'goccurring.By kceping lrack ofthe time the

eficiencyoftheroulettedealercanbetrackod.Furthcrby
tracking botlztbe mask 520 aud tbe mask associated witlz
each scparate bolting aroa,itcan be determ inod lhatthc

cxpcctedposftionmoncyLsthetllaidouttbere.Iftboro isa
deviationfroln lltis wbicb cau al.
so laetilue based an alort
caobe trigsgered.
(00361 Asanothcrcxamplo, camerasia ballwayscan bc
u
od oflimotl
zata lauadrycart
ixd to kccp trackoftlw jyeri
sirlfroulofaspecilic r* m'using a mask thalcontains a
piclurtoftheroom witboutacartinfronl.Wbeaanobject
appcafs fora por
.iod oflirne grealertllatt3 m iautes'for
cxamplcsthe oblrclcan be ioterpreted lo be tile cart.'Ihe

periodoftimcunliltbatobjeclLsrcmovedfrom thesccne
c
fan beused to monitortbeamoustoftimethe.cartwasin
ronloftf
m room.andtbereforeobtain anesllmatcoftbe
limeyljatwas neodr.d loclean tlleroot
u.

(0(B7) In Millanot
lmrlxamplc.tbe t
rpttitive acti
onof
makiagmoneypayoutsbyaealercan beusedto couotthe
amountoftnoneypaidout.SincetypicallyacameraLsabove
atablc am cspcctivoview oflheracktbatcontainslhcchips
tbatareusedforpayoutscannotbeobtained.Si1)c.
e bowever.itislypi
calte place asilvcrcoinbctwccn cve%
l
y five
.
chim ,Eacb l'me asilvcrcoinsceainan Areacorrcsm ading
to zparticularcolumnofcbipsbeingpaidoutappear.ic-anbe
usedtoeslmatethatfivechipstimosthevalueofllxlsochips
hasbeenpaid out. 'Ihtts counting the instances ofrccog-

sizing thalsilvercoin i
Pn an aroa corresponding to tbat
colum uofchim allowsalotalestimate ofan amountpaid
out(obeobtainod.n us>lhc:rtpetilive actionislool
dug for
t
b
e
i
n
s
t
a
n
c
e
s
t
h
a
t
s
i
l
v
e
r
a
p
p
e
a
r
s
i
n
a
ma
s
k
a
r
o
a
c
or
r
c
sponding to thalcolumnofchim .

(0038) Ofcouum otberrepetitive activi;escaaaLsobe

inonitored automatically using the techlziques describe.d
lloroin.

dcclaredwieneraltlm tablecorrcspondslolileactualwioner (00391 n lm molhodsandapparal

usfordalagalhcringfor
a.gdetenninedbywhich num beredslo:512tbcballactually
fellicto.

ga
l mesofchancc>aswrllasothcrropctitivc adions*lzave
zeen Jescribed.Althougb tlle presenl inventioa has been

1)
* 321 n lprv ntinvention can be adapted forother describod with reference lo spoci
fic exemplary cmbodirepctitivr gamcs.such as poker 3-card m ker pai-gow
Canw an stud baccara Aodolherganaes.
(33) Futtber'relyorl
scanbogeuerate.d basr.d upon the
statisti
csoblailzedbytbeprcsentinvention.Bykeepingtrack
ofqie paliculardealtr aloacb ublo fora predetermined
period thc nunaberof hands dca1ta ti< peHod can bo
obtained.Andbycom bitting periodsforaparticulardealers
tbaldealer'saveragec ciencycaubedelerm ined.Furtber'

sttisticscanbekeptforaIablclocationbasis'forexample,
so thatitcan l
x) tcnnined which lable.
sarebusimstdtll
ing
varbus G ri
ods oflime,which can then allow agaia for
examplevslaKngoftbebusiestubleswilbtbemosteKcicnt
Gealep-;.FIGS.74 and '
;B illtkslrAte two differenlreporl
s.
direclod to ztIcaleraad auble Ixati
on,respoctivcly.illustratingtlw statisticsobtained ovorasingleshiftofaprr l
rrmne.
d ducatbn.Added security a!so is obtalncd sincr

mcnts itwilltyocvidenttooncofordinarys1.111iuthoarttbal
vari
ous n,od'
dcations and changes uaay bc nxado to thcsc

emtxldknentswithoutdcpartingfrom thcbroaderspiritand

scopcoftbeinventionassetforthintlx:clairns.Accordingly,
t
speciEcalion and drawings are to be rcgartled io an
il
ll
le
uMraliverauierlhaa arestdclivcsensc.
W cclaim:

1.

A mctlxxlofmoniloringagal
noofcbancethatcontains

a mpelitiveaction'llm melbodcomprising:
obtaiaing a stroam ofdigitalimage data tbatinclude.sa

pluralilyoftborepctilivcactioasstoredtheteonrelating
lo tlx gaam ofcbancc;aad
AutornRlicaily mfsing tbesl
ream ofdigitalimagodau lo

veec
ationthalpayoutswertmadetoadualwinnisczn
r

OU
Dttb*PlltrzlilyfKlmtitivcactions.tbrcount
obtairle.d prodding an iodicatorusablr to moitortbe

(*34) Otbcrreprlilive activiliescan also bemonilored

(
) vnw metbcxjofclaim 1.wbercin lb step ofautomati-

gameofchance.

usil
v the tecbaiqueseftl
w presentinvention.

cally
' parsing tl)e stroam I
xrfonns pattem recognition on

(*35) FoCexample incasincesmoneyisalwaysccmntrd

flMdlxations.

in tbcsamemanntr,withmoncylvingIaidoutonatablein
exactl
yt
hesamemanncr,typicallyinincrtmentsof&20IKK)
in lhe Unile.
d Slales.Eacb action can bclracked ifdmsiretl,
sucb tlzalateachposilionw herethe nextam ountofmoney
islaid tbatLstracked and then i
tistracked tbatallhenext

3.'flm method ofclaim 1,wberein thestepofobtaining

tl
ae:stream ofdigilalimagcdatausesavideocameraftxedin
Positioa thzldotsrx)tzoom .
4.n e ethod ofclaim 1 wherein the refhelilivc action
includesan actioi
lofadcaler.

'

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 54 of 88

*

'

US 2003/0096643 A l

M ay 22,2 3
4

5.n oInethodofclaim 4,w hereintherepetitivcactionof

tbe dcaler coamspontis to an area of the table w hore tbo
tfralrrdeuls.

6 n c mottlod ofclaim ! wherein1bcrtpetitive actioa

includc.
san amionofaplayer.
7.n erl
ztr
lhodofclaim 6pwhercinllw repetili
veactionof
tse playercocrespt
m ds to atkarea of tbe table wl
xre tllc
layerbets.
p & n ocwthodofclaim t;whcreintlw rcpcuti
veactionof
an area oftbe table wbere the
il Iayorcorresponds to '
tIc
;
p
ayerplays.
P 9'
nm awtldod ofclaim 1 wlzcreio tbe repetili
ve action
includx actiousofthoth atkaloraud apjavcr.
10.n cmethl
xlofclairn l wbrtciote
hoW
rcoctitivcaction
inc1lu
d
e
,
s
a
n
a
c
t
i
o
n
o
f
a
n
o
b
j
/
c
t
.
'etitiveactiota
1 n etuetbc,
d ofclaim 10 wllercin tbttre*
p
'

o
t
x
of
bj
alt
l
a.
ndiugofamarblei
naslolofawlleelina
gf
al
nl
eo
ro
odulo
o
12 n em ellx)dofclaim lifurtheriacludioztbcsteo of

23.n e mcthod otclaim 20.whercilltbc scene con'

espondslo anareaofatablewherebets aropla d.
24 A metlt.
yd of molu'tclcing a repgtftive actiou,(l1e

(
nelh'
cd comprisiog:
obtaising 1stroam ofdigitalimage dala tl
atincludes a
pluralilyoftho repetitivo aclionsskzred thereon.and
'
automaticailyParsing tbcstrcam ofdigitalimagedatato
C'
AI'Dtth* Plurality of refhclitive aclioas, tbo couol
Obtained Providing an indicalorusablo to monitortlle
re> titfve acfcm.
25.'
f1m melbtd ofclaim 1 wbereintbestcpofautomatically parsing the:stream pcrforms pattero recogsitioa on
EXC
IIlocatiol
bsofframes.
2
6
.
'
1
l
l
t

n
e
ali
mra2
3
fn
ll
e
mpo
of
d
i-zit
afl
imagedata inl
cb
lo
ut
dl
eo
sf
acl
p
u
li
tywb
ofer
fo
ra
me
so
ys
at
or
da
a
rt
ion
o
tach frame iscomparedlo amask.

27.n cmttbodofclaim 23wbereiuadjacen!t'

ramestbt
btxh ntaintbePorlionthatconw pondslo llxem askdonot

compariI!g1slotwberctlw marblelaodswitk-kplaceme
*ul iodicatearepctitiveaction.
ofAmarkerotlatabloposition.

28.A rrmthodofcountingapluralityofobjeclscompris-

13.'rhersell
x:
,clofclaii
w 12 fact
eriaaudicg tlzesl
ep or
triggerknga:lovontalarm iftheslotwhevethemarblcIaaded
and11x tablcpx itionw horc llw markerwasplaceddo uol

corrc-slxmdtocac.
lzotl
mr.

inz;
obtainisg z stream ofdigital im age data thatinclude.s
therein arepetitivosequence tuatexistsw its respectto

thepluralityofobjects.and

14.'
l'
lm I
tmf
llod ofclaim 10 lllerojxlfitvc acti
on ofthe

objtctLstbtmarblebeinglocaledataninncrodgeperlion

of.wbeolin agameofroulottc.
ls '
Ihemetl)ca ofchim 1 wbereis t
ilegameofchauce

automatkanypalsing tlx strtam ofdigitalimagedalato

couoj11
. apejitjvesequeac.ethalexistv and

*
usin: theeountodrepctitiv:sequeac.
e thatexis!
s to esti-

isa
rd
me.odofclaim ls'ywlmrointl
leeame
zmmt
rc
,b
eim
plu2r7
al
vo
oi
b
et
cl
ts.plttralityof
1:cj'
I
'
hoga
mdb
xrepetitjveactioa
29ma
'Th
tbo.
dz.
Oof
la
,it
il
zef
re
ii
w
isa
nkbxnceofcardsatapreaeterminodlxationofatable. t'bjrctsincludezpluralilyofvortica
llystackeuchipsxpa.
17 n emetl)odofaaim ls wllcksintbcrcpctitivcacuoo rated by a spaccr .t repotilivc nt
ervau anu tlw stop of
.
isari'existenc.eofobl
ectsata-predetermued l
ocalioo ofa
yabu
18'
Tlm meftx)dofclaim 15 whereinthecardgameLsooe
'
ofblackjack, pai..gow,3card,pokcr,andbaccarat.
2:'Tbornotbodofcla
m 15 furtberiocluding hexep of
ri
Iorofacardag*ainx acolorofadeckbeing
com
pa
deatt
tong
aa
isco
tiaensurinetlattueeardksa10.1.9.
-,-.--..
,

auye.atically parsing coustseaclldiyerorltspacer.

x .n e atoood of claim 27 wlwreia lw pluralily of

ObiffY iatrludcaPlurality ofobjectlocatioos.wberein a

Pftdelerminedvalueamountisplacedafoacbobjectlocafitm.anflWhereinthc stcp ofautomatcaljy parsfl)g counts
e'
K b Placementofanotlwrprcdetermil
wd valuc amouutat

anotherxqucntizlobjectIocation.

21Tbernelbodofdai
Wm 1-)wh
easnlheslez
f
W
l
Z
w
n
1
'
1
- tri3
1l
1
be
l)
dtt
;f
ip
rth
udi
eat
te
o
mparo a scer'c '
JJnW
J'
Ja
su
'
r
x
'o
nW
(Il
-a
i
-'
s
sg
e.r'
iXe
a:aIn
ntct
v
n
a
lacrl
mlim
if3
ts0
ef
su
te
oe
fr
ai
utl
tc
ol
ma
tn
iJ
lb
lyepsa
ru
rsogf
callyparuI,gusesam askto(x
.

to aIx ation on afxam ew ith the m ask-

dotxxsplacruw x ofavalue amour,tata Ix ationtbat> os

zz n . metle ofclafm 2o wuereu tl,escenccormsm oe lo an aroaofa lablovzherocan;sarrplacod.

notcorrespoad to lim nextsequentialoux tIocation.

@ + A * e

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 55 of 88

No.cvo6-oo114

1
:

ETREPPID TECHNOLOGIES , INC.

VS.

DENNI M ONTG OM ERY,ETAL.

Ex./?

Adm itted:February 7,2006

RO NA
LO N TI JR ., CLERK

By

..f

,Deputy

I
y

.
.

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 56 of 88

&

Pleaso retum rocordod to:

Pii
lsbucyW snmfop CLP
$68
QGTyw nsBousovar

% (X:t:042503/0273340
ClionlRef:E'I
-V-OI4IU)

M ct-ean.Vlrginla 22102

ASSIG-NM EN T

# U.S.fhiginPatentApphcaon
h W H ERBAS,thetmdersigned.tow itDENNIS L MONTGOMERY,(hereinaftrrASSIGNOR),
.

as m ade an invenion m16*

'

RM ETHO D AND SYSTEM FO R SIZE AD APTATION A o

.

STOM G E M INIM IZATION. SOURCE NOISE CORRECTION AND SOURCE

W
IN G O F DIG ITAL DATA FRAM ES'' for whiclkan application for 1.v%1=
P ATE
a
t
e
nt
of
t
he
Uni
t
ed
Stateswasftled in the Urtited States Patentand Tmdem ark Office on Novem ber
z1
.

20B1,tmderSerialNo.f)9/991,51!'
,and
.

W HEREA S,erfreppid Teclm ologiea Ltf . M SIGNEE,a cerpotatiotk duly organizod and
exi
st
i
94l0ng
P tmderthe lawsofthe State ofllevadaand having itsprincipaloK ce and place ofbusiness at
rototypeD riveaSuite l8.RcnoyNV 895ll,desirestoaoquirean iuteresttherein'
,
*+*

N OW ,TH BREFORB,forgood and valuablecorksid= tion, the receiptand sufficienc'

y ofwhich
are hcreby acknowledgedasaid M SIGNOR dtu hcreby sell, assign and transferunto M SIGN EE
itssuccessors,assigas and legalrepresenbatives, the futland exclusive right tide and interestto the,
,
said invention in tNe Unitcd Sf
at and atlforeigrkcountrics, asdescribed in tlle aforesaid application
and to the said application and to all continuatiorls, divisioas, reissuu and substitutes of said,
a
fpplication,togdhm'w itlAtheriglltofprioritw tmdertbeIntsvnalionalConven:on forthe Protection of
ndustlialProperty,lntcr-M elican ConvcnEon Relaling to Patents, IH igns and IIIIIUSZ aIM odel
a
nd a
ny OR
othe
ASSI
GN
hr intem ational ap.een1en1 to which the United Stato of ykm CIiO aIIhG'G , and,
errby authorizesand requc tsthe CnrnissionerofPatents to issue said Ldters Patent
to ASSIGNEE,foritqintelu taqASSIGN EE, itssucco sors,assigns and lcgalrepresene ves
M ID A SSIGNOR brreby agrecs toexecuteany palxrsrecjuested by M SIGN EE itssuccc sorsy
assigmsand legalrepresentMivu , deem ed esscntialto M SIGN EE'Sfu; protedion and, title in and to
the invention hereby transfclrea
.

ASSIGNO R furthennore agrecs upon requcs't of said A SSIGN EE , and widlout ft11t11+

remunezauon,toexecuteanyanda11pajxzsdesircdbysao ASSIGNBE fortbeftlingandgranlingof

foreign applicatiors and theperfeding ortle thereto in SYdA SSIGN EE.
NOTE t
n e undersigned hm'eby autiloriz= Pillsbtuy W inthrop LLP, oftbe above address,to
i
nsertfurlheridentiscation necessary ordesirable forrecordation ofthisdocuznent
Ex

ted n the date below indicated.

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Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 57 of 88

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(19)U nited States

(lz)PatentA pplication Publication (1n)I>ub.No.:US 2903/0095180A1
M ontgomery

(43)Pub.Date:

(54) METHOD AND SYSTEM FOR SIZE

'

(22) Fued:

ADAPIWTION AND STOM GE

MINIM IZ-ATION SOURCE NOISE
CORRECTION,ANI/SOURCE

M ay 22y2003

Nov.21,2001
Publication Classi
lication

WATERMARKING OF DIGITAL DATA

FM MES
(76) Inventor: DennisL.MontgomeryyRenopNV
(Us)

(51) Int.Cl.T .....-.......-............................HO N 7/1$

(52) U.S.CI.......-............................348/143;348/441
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Mcthoctszndsystemsforuscin foroxample.videosalrvcil-

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lani
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PILLSBURY W INTHROP,LLP

bbsen'
ed so thatdata st
orage is misimized.'fbe uci
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RO.BOX 10r*0

cyclicaoisesiguaturoofacamefaisobserved analyzed and

M CLEAN VA 22102 (US)

corrected forduring subsequenlusage ofjll

e camera.n e
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(21) Appl.No.:

09/991528

sourceofaframtorastroam ofsequentialframcs.

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Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 58 of 88

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Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 59 of 88

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Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 60 of 88

PatentApplicatlon Publication M ay 22,2003 Sheet3 of4

US 2003/0095180 A 1

Initialdevice
set-up
310

5134initializing
devicetum -ort
step
320

Record im age for

some numberof
framos
330

Obtain difference
fram cs
340

Com pare difrerence

framesto search for
pattem s

350

lfcyclicnoisepattozn

Ifcyclicnoiseyattern not

5W

VWW YCVS'CDC

uncoveredst11G1store

uncovered m crease

FIG.3

'

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 61 of 88

PatentA pplication Publication M ay 22, 2003 Sheet4 of4

lnitialization
period
410

R ecord scene antl

inputfram esto
com puter
420

Sm cbronizc
fram esto cyclic
noisepattem and
rem ove cyclic
noise
430

Obtain fm m esw 1t11

cyclic noise
rem oved
440

WG 4

US 2003/0095180A 1

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 62 of 88

US 2003/0095180 A 1

M ay 22, 2003
l

M ETHOD AND SYSTEM FOR SIZE ADAIFIATION

AND STORAGE MINIM IZATION SIIURCE NOISE
CORREG ION,AND SOURCE WATERM ARKING

OF DIGITAL DATA FRAMES

t.

FIELD OF THE INV EN'H ON

tequiromcnts ithas!beundesircdeffectofnotprovi
dingfor
acootinuouscaplureotlheeveutsthatlheparticulardigilal
camefa recorded.
(0(*7J 'Ihus itwzould bedcsirableto bavelbe.capabilisy
to rcducclhc amounlofslorage oecessary to bouse monitoI.jagsurvcjjuucedalaw itboulcompromksing theintegrity

(X01) '
l'h: presentinvcntion gonrrally relatcs l
o data Ofthemonitoringsystem.
commuaicalion and transmissbn systtms.More particu- y(
)()j yurtbcr, (lata oblainod from
larly.thepresentiuveutiourelatesm ekbodsandsystemsfor
adapting lhe siz.eof adigitaldataframe to minim lz.edata
s
ftorage,forcorrecting sourceooiseresicleulinadigitaldata
rame.znd foraulbenticating lhc sourceofa digitaldzta
frame.

2.BACKGROUND

any delivcry devica.

wheliw rthatdclivcrydeviceisanaoalogcam craoradigital
cam era, is atrecte.d by source noise thatdcvelops.'Ihis
source uoise devclops as a resultofa combiuation efan
intersalnoiso sigoalure that corresp
'onds to the delivef'
y
dcvice aswcllas1hecbaractedsti
csoflbelraasmissionlil
m
gom the doUvcry devicc to Ihe storage unit./kccordingly,
lbissourc,cnoix;cw illintroduceanoise componentinto tbe

(*021 Applicationssuch asvideo sun'

eillancc moniLor data,lbus'forexamp
'le'making othcrwise identicalindienviromnenlsand>oftea.theactivitiesofindividualswithin
lhese onvironments.In vidt;o surveillaoce'dataale lraasmittcd from adelkery dcvico such asatligitaloranalog
camcra,to a rtposilory wbcrc tho data are stored,witt
typicalymanyprocer
ssingstepsintpetweon.Analogsystems
'typically store data oa videocassette recorder tapes, i
o
analog form wbich lend to bebulky and cum berstlmo. ln
coplrasl,digitalsystemsstore thcdala in adigilalforrnat.

v
>c
didualframesapy ardifrercnlfrom eacbolber.1(would l
esirable t
o bavethecapability t
o eliminaleormducesuch
seurcenoix prcscntin data.
3 SUMMARY

(00091 n cpresentiuveutiousdescribed l
wreiaprovide

advantageoustechniquesfordataframeadaptationlo miaiI'nize storagesiz..e sourcenoisecancellation anddata frame

(t*0.'
d
elv
d
veell
rl
yand
vice source autbcnticatioa i11'forexample>a
JJ Analogsystenssarewidel
yuscdatpresenl.Thisis s
mr
c,e
inlargcpar!ductoloworcoslofa
e slstem.
nalogequipmcnt,i:llerms
ofcamcrasasw'
ellasoverallcostperframeofimagedata.
Accordingly,mostsurvoillafxx systemstha!arecurrentlyin

(0010) n eprv ntinvcntiondescritxsmcthodsandsys-

use,ovtnifthoy bavedtgi
taldeliverydevimssucbasJigitai

atastorage,forcaocelingscmrcenoseresitientin adigiul

camoras,alsomc poinlconverttlw digitalinformationinto

an analog form,wlmtlmrthatanalog form Ls requi
red for

dalaframe andforaulbenti
catingthcsourceofadigitaldala
frame.

re
ar
lime vicwirzg on an analog monilor'orforanalog
s
to
&l
gc
.Thus,i
nconvcntionalsystems'tlzerctypicallycxists

(OOIIJ Olber aspects,advantagcs,aad objects of lhc

an aaalegswit
ch ol
'swtctle
.sthatconfigurc thedatabeing
recrived froua uaany diFertntcznacraslo lheitrcspcuive
nlositorforviexvingand/orvideocassetterecorueruuit.

4.BRIEF DESCRIPTION OF THE DRAW INGS

ternsforadaptingtbesizeofadigitaldatafralnetomirtnize

present inveotion will lxcome apparenl as bereinaflcr

(jGSCFjtw.d.

(
) /dIdgitalsysteuu.vzheavazablrin prolotypo E:ajzj axeayovcandothcrfealurcs.and advanlages:f
f:
o00
rm4
doly implem ented due lo practical
. havl no!boen wi
costconsiderations,IAOtIIin (:11m ofthe digilaldelivery

uait,kpas wellms tlle costofm emory neccsrsary to store the

digifaldata associaled withdigilalimagesandsotmd.
And
th0* prototypcs thathavebeen projyckse,d havo signica
nt
li

milations.

thepresentitlvetltion amongotbers ateftirtherdescribedfn

j' jljcof'
oljows
' ,wthroforence o tbe
dthedetaileddescriptonw
rawing,sbywayofnon-limitiogxem plazycmbodimcotsof
thepresentinvcntion whereinlikorofcreacenumeralsregreRat similar parts'ot tlw prcs
etlt iaveuticm tlkrougtk
ovtt
Rvcralviewsand wberein'
.

((
K05) '
Ihcaclivitythatiscapmre,
dbyavideosunr
eillazlce (00131 FIG. 1 isablock diagram illastrating a transmiss
stom in geueralwilldepend on the envronmentthatis
by
oing monitorod.For mauy enviroamouts lhere areoftra

sion system Accotding lo lheprescutinvention.

areastbalrequiremonitoringforactivityovoranext
ordod
pcriodbuttha!donotcxhibi!agroatdealofactivityoverlllc

(0014) FIGS.M tllrough 211ar diagrams illustrale

lxemplarysizesatjustmentsto framesbasodonwhothor

cour.
V oftbooxcadedImriod-Formxamplc acat
m raInigtlt
befocused onthedx rlo abankvaullfor24 hoursaday'
butmighloaly captum relativclyfow iodividuaisent
ering
the vaultor m erely walking by tbc vault door.
Uoder
conventional arrangemcnts, the surveillance data for !be
monitoring are typicallystored in &numberofmanners. In
am log systems.thesurvcillancedataistypicallystored in
anal
ogform on avideocarx
sclterecordcr asnoted abovo
(* 064 Indigitalsyszms, in or rtoredum tbc memory
.
rtquircmeuts, prtiposatsbavcbeon madcia whz
cb :l
)csys-

molioa i
s orisrlotpresontio an areabeiatmorlitored.

g
X1
low diagram ill
ustratinganexcmplafy
noi
s5) FIG-3is&f

e pattem discovcry process accerding to tlw present

invention.

(0016) FIG-4tsaflow diagram illustratingancxemplafy

noisecorrectioaprocer,
saccording t
o tim prescntinvcntioa.
'

5.DETAII.
ED DF-SCRIPTION OFTHE

PRESENTW PREFERRED EMBODIM

tem M IIscndtomemofydatathatoocul
suponlheirlitiatioa (0017) Tl
w prexntinvenl
ioas described hcreiu provide
of motioa.W hilc initiating the saviug ofdala ujxm tilt
irliliation of moti
on bas the ciffe
.ctof reducing memory

advantageouslechniquesfordataframe adaptatioa to ulinimiz.e storage sizc data frame nosc colhrectiortto aid iu

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 63 of 88

*

''

US 2003/0095180 A 1

M 3y 22.2* 3
2

patlecarecognilion anddataframedeliverydcvicesourco (00241 IoI

nck
stsystems.boweverswitlziothodataintcrfacc
aulhenlicatiotlin forcxamplezasurveillaacesyst
ettl.

lemsforadapliagthesiz.sofadigitaldataframetomiaimize
tlao slorage.forcorrectingsourcenoiseresidentirtadigiul
dataframc,aodforaulhenlicatingthesourocofadigitaldata
framc.

118 is localed an analog switcb lbalallows forsavitcbing

streaulsofdalafrom various camerasto various mouitors
and/orrecordingcquipmcnt. Assucb atthi
nt,couvcr.
spoj
'jJ,tyoejaobtained.to
sion ofdigitaldata ifithasprevious
'
analog form is stlllrequired in many instances.n tus
irxspeclivoof
' iaetym ofeam eraused analogorf!kgital.thc'
dala irilorfac.e l
t18 ia maaycaseswill>includoan analogto

( 1% Reforring firstlo F1(7.1 itisabl

ock dzagfatn

digital(A/D)convcrttraftettbeanalogswitchsothatanalog

((x)1.8j n eprcsentinvcntiondescn-besmctlodsandsys-

illustrating antxtmplarytransmissio
'nsystcm 1* according
to tla.epresentinvoatios and variousdi/ercntdcviccs that

signals outputfrom tlxc s'witch cae beconvortcd to digilal

forrnforinpulicktothecomputer120.Aod forsucbsysteo s

willaplow forthevarioi permutationsdescribedherein(o whiclzcontain digilalrecording deviceslttjxboforethe

beundol
stood,altbottgbli
sundecsloodtbatlhi,.ekeanplary
transmissionsystem 1* should notbeconstruedaslirniting
ttm prcsentiuvention.n esysl
em lt* irwludessourcodala
dclivery dovices 11(j, forexample conventionalcamoras
11B-1to u o-N each ofwhicb isco
'nnected to acomputer

analogswachlhcreexistsadigitalloanalog(D/A)converter
thAtconvertsttm digitalsigaalstoanalog form ,so thatthoy
can be opcrazduponbythe analog switcb.11isapparentv
therfort..lhatia addilion lo thesource noise thalisgencrated from lhorocording device 110.thattho lransm ission

d
evicr12:atJdaraintefface118viarespectivetraasmi
s- ml
dlum 1l6willalsoccmlribulenoiseaswell,particularly
sion oquipruent116-1 to 11&N.
from signzl Xgradation and ampliEer dislortion in the
analog costext,aud from digitalto analog cotrvetsioa and

((*2t)) 'Ihosourc.edaladolivee device

.slla-l o I:-N
pmferably contain sm tem sfordetecting botb imagos and
sound,ahlzoughdevicestbatcanreproduconagesorsound

but not bot

b are also within ie rs
cope of tho presenl
invootioo.Tlw source cuta Jelivce devices tle can be
analog ordigital.

analogtodigilaleonvorsionintbddigitalcontext.
(:025) Anclwhiletbesystem asabovo-tlescribedwillbe
usedfortberemaisderofthediscurx
si
onbtrein,itsbould be
underuood tlxattbese are illustralive cxamples and m any
otborarrangementsarepossiblo.

(z1) Furtlyersourcedoli
verydcvices110generateooise (t*26(1 .
Asmontione,dprcviomsly,device
.s110 andparlicuthatbegzome.s.overlaid oalotberocertledsignal.AXKIdelivery
device.
sthata:emostsusceptibl
otoproducinglargeamounr
s
ofnoise are lhost devices110thatrocord imagew inother
wordsacaamra.Anclwht
'lethoreexistsbigbquzl
itycamcras
tl
za.
lproduce only slightamountsofsucb noi
se' cameras
uscd in mauy sutvellanceenvironment
s areofteaofa1ow
gradc quality.M sucb,thecamerasoften geoerat
c asubsuntialamount ofnoi
se t
ha!isovcrlaid onto thc actual
im age tbatisbeing recordcd.

(*22) Fordevicc,
s 1.
1: thatrecord imagcs,tbisnoisc
rmsultsfrom acombination oftbcint
crnalelemonl
slhatare
usod lo record lhe imagc.
,includiog thc opticalsystems

u'
arsducers,digitalcircuiw lhepowerxurceandAC/DC

converters,and the like.Ithasbeen found howtver that

once acam ora hasbeen turne.d on fora pericd oftimc it
roaches asteady staz operalion such lbatde poixe v:11
rem atin : cyclic noise pattem .n eprewntinvcntion as
described hereinaftor.txploits *1s.prol
yerly to oliminate
cyclicnoisefrom therccorded image.n us certaioaspects
oftNe presoatinvention correc'
tforthenoir
e signaturcof
devices11(isucb ascart
w las.
I

(YMJ n eenvironmentirkwhichadevice11@isplaced

bas also lxcn fotmd he besiglv cant.Ifadcvice 11(is

analog,thr respcctivctraasmission cquipmcnt1t6 istypically analew aud ifdovice 110 Ls digilal,11x rrspoclive
tranr
wmissionoqui
pmeatL&typicallydigital.A convendonal

arrangemea!foran analog cameradevkx 110 includes

analog transmission oqul
'
pmont1l6A thatincludcs analog
transmissionlwsandamplersplaced atIcngl
hszlongthe
analog tral
zstaissioa lines to refrmsb tlm &nalog siguals as
suitable.A lypicalarrangemontforadigitalcameradevice

larly low qualitycamcrmcs gormratd acyclic ooisepatlern.

whicbpalternLsfurthera.
lere.dasarewltofthetransae sion
medium 116.0% obviouscomponenloflbisnoisetelxl
sto
be from power usod lo drivc tbc clectricalcomponent.
W hiie a DC voltagr Lstypicallyused to dsive circuitcomponcnts,tl!
isDC voltageislypicallyoblainod asaresultof
aconversionfrom anAC sourcepwhich iotbeUnitedStates
oxlllalcs at60 Hz/xc.n us,lhisAC noix becomes one
componentof1bc sourcenoise andcan havo aparticularly
scvcreoffcclsincemoslimagdevicest10record imagmsal
% frames/sec afrcqucncy th&lisrelatively closc to the
'uenc.y ofIlleAC powersignal.
O&Cijjaling freq

(*27) Asmentionedabove,thoprcseutinventionexploil
s

theexistcnccofthiscyclicnoisepropertyloetiminatccyclic
noiscfrom therecordedim age and low itdoestbatwillnow
be descde d Mdth respect10 the :ov/chan ofFIG .3./ks
iodicatr.d by stcp 310 an iaitialw t-up L% tirstprefcrably
done so thattherecordingdtvi 110 and lb< tramsmiuiou
mcdium 116 ao ciated witb tbaldevice are in place.n is
tmsuresstabil
ityoftbcitdtializing rouline.0= stcp 310 is
complele,1be iaitializing steps are begun, with the flzst
iniliah'dngstep328bcingtoturnoutbedevicc110 afterthe
cornputerH(4isconEguredtorecord11
:
1
eoufpu!oftlmdcvice
tl. Itisnotc.dthalin 1111 initialconfgttralion.tbeamouDt
oftime tlntthedevice 1.1(jwillrequireto beatu'pbeforel
exhibiLsacychc
. IX)LR patl
ern L&unknown.

k0028) '
Wlmaiaitiallylumod on.tlm camerarccordstlm

imlge uken from aknown colorpaltem,sucb asaknown

white blotter.Illitiylly,asshown byste;
p 330.thtimago is
mcordodforsorae numberofframe,
s typicallyintberange
of251.3 framcs.Fachoftbmse frammsLstbeacomparod

1.
10includes(11/11transmissionequipmcntH6D lbatlyfi- againstaslorcdNvizic''imagcthalcontainspixelrcprcstn-

cally includr,soaly an opticallransmission lint s digilal

si
gnals can l
ravclalorlg an optkaltraasmission lino distauces(balare mucbgrealerthan analog signalscautravel
as isknown.

lations corrrsponding to 1111 actualknowu colorpattcrn to

obtain a dil
fert'
nce frame asshown by stcp 340.Iu the
followicl
g step 350 these differonce frame.
s arc comparod
againstoneanolhe:rtodctcrmineifll
Aereisanyrepetitionof

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 64 of 88

US 2003/0095180 A 1

'

M ay 22, 2003
3

pattcrnsbetweenlbetn.Wllileconveutionalpatt
ernrccog- (0034) In anothcr aspccloflbe presentiuvcati
on the
nilionalgocithmscaubouscd preferablythepallernrccogniti
onalgoritbm described in U.
S.Appti
cali
ouNo. bearing
attorncy refcrtace numbec 042503/0:59665 entitled
tMelbod And Apparattl
sFor Dctermining Patlerns Witlin

AdjacentBlocl;sOfDatax''leclonOcl.31 2(K)1 wbichis

assignod to tbesame assignee as (he prescnlinvelition, is

used. For purptv .s of using tbc pattem rocognilion
dcscn'bed in this U.S.applicati
on No.bearing attorney
referenco number * 2503/0259665 atld the nomenclaturo
lherein, each frame can be a referenc: frame aad be
comparcdtoeachof(beotherfranaes .4thcachofthoolher
framesbcingatargetframeforpurposesoflhatcom parison.
Inorderlo m aximizr tbccompatisons each framecan be
designatod a rcference frame witb tlm othcrfraesboing
largd framosxalt
bough itwillbo appreciated thalsuclla
x mberofcomparisossleadslo rexlundanl(xlmparisons aod
tbtusaIossernumberofcornparisonsisueoded.
((*z9J If. follosviug stcp 350.a cyclic noix pattern fs
uncovercdtberein'thatcycli
cnoisepattem cant)estoredin
step 3f*.

1(
* 301 Ifhowevcrac'
yclicnoisepauem wasnoluncov-

presentinvention exploitslheobtainedcyclicnoiscpatlem .
M tlescribed above the cyclicooise pa1tern is preferably
dclected wilhil
zcach frame and climinalcd or minnized.
Accordingto anotberasprctoftbeprcscntinventioq,w aler-

markingofpqrticularframesgeneraedbyasourcerecordingdcvice 110 isperformed usiug tbc;uoie,msignalure. In a

presently preferred cmbodimcnl the camera aoise is not
realovod forevely n!b framclo obuin adelectablewatermark indicalive thatll
w frame aclually comes from tbat
parlicularsourcerecording device 119. Ifadifferentsource
a cord1 :device 111 veereinslead usrd a ddrerentnoLse
pattcm wouid exist and he expecled noise patlernw ould
notbefound.n us tilisIm isccrcalesadigitalsignaturetilal
willidcntify thc fraf
tm ashavingcome from the parti
cular
recording dcvice1l0 ratherthan from adiFcrentrecordiog
dovlce 1.1@ thusfoiling any atlem ptsto iutroduccasubstilutestream ofdata.Inllzisregardainordortobeableto Iator

intirneverifytbespeciliccamera.lhatrocordcd aspedfic

sequcnce,wheusloringrbespecifk sequence,itL
sproferable
(hatthecyclicnoisepattesnalsobestorodw ilblbesequence.
tocnsure tbalsucb verifkalion can bem ade laterintime

'

C
FCdythenlberecord'ingdevice118isoporatedinslep370 1.
00i3
51 Itshouldalsolx;nolcdtbalaltbougbthecyclic
foraporiod oflimelongertban itwasproviouslv aad the Eht'
F'
eEtmovaloftbePrm%ntinvention ksdescn'bed interms
recordiagstorod.n eroafter-step3.* fs'repeated-/lqiagti'e t'i'roal-timeeliminationofthoc'
yclicnoisepaltern.thaltbe
largcrnumbe.rofrecorde.dframeslouncovefthecyclicnoise Cyclicnoir,e rcmovalcan operate ujyou data thathasIxon
Pattorn.szps36t). 370,and 350 tlmn rojxatuntilacyclic
noisepauernisfound.

Previously stoted.And whil

c having 11* actualrecording
deviceusedtorccordthcdataisdcsirablc.noic.epatternscan
bedetected irlstored datacvenw itboutbavisg the actual

g3lJ Intermsoftttetypicallenglboftimetbatittakes camera

o uscovcrtbecydicnois.
e pattem ilhasbeeudettrmirmd

thatinmorerecentdigitalcaerms suchasFujitsuseries (00361 .

As described abovc,if a surveillance smtem
xv.tlzatthecyclicnoisepatzz.
n willappoarafzrahcat-up

attempts to store recordea data digitally, tl

w mcmory

Limeofapproximately1wominutesandtflxtilecyclicnoJe roquiremeslscanbequitelargeandexperl
sive.Minimizing
patterarepeatsinacasgeoftypicallyevely 250-35/fram es.
Forolde'ranalogm odels, bowcver,tlzcl
xatuptimeroquiced
canbeootheordorofJays,allbougbthecaclicnoiscpattern
onceexablishod willstillbe on tlle ordcrofz(x)().4t)(x)
fratnes.
' '

tbe slorage spaco require.

d forstoriug data forexamplo

frammsofdi
gitaldata is a common objective ofdata
ddiverysystcms.xsnoted previotzuy wbile systemscxkst
whichwil!nolslorcdaladuringperiodswbenmotionisIlot
detectedp tbatfac!thalacontii
m ousrecord isunavailable is

(*32) Oncetbecyclicnoisepattclu isobuined then,as undcslcable.

stxlwninFIG.4 itc'
anl
x usedtoromovethenoisefrom (he (00374 Andwhilccompressiooroutincscxistwhicl
zcan

re-eorded data and tbusobtainabetterroproscntationoftbat

wlzicbLslx ingdotocted,sucN astbcimageiftbedevict11@
i
sacamen .Assbowninstop41e oncetbetecordingdovicc

olx ratclo mininzx tlw amountofrocorded datathatnoeds

to bestore.d lhalamountofdatacanstillbequitelarge. In
gencl
'al tl
e amouutofdata lbatis tecorded by tbe vide,o

110 isturlxdon auiniti&lizationperiodcorrtsm ndingtotbo

stuvel
'
llancesyst
rm 1% dcpenclson 1hccnviroumentthatLs
being monilored. Formany tnvironments tlwrc arc oftoo
areas thalrequiremooitoring foracti
vity overanexlended
pe-riodbu1thaldouo!exhibitap'
ealdealofactivityovertbe
courseoftlzcexttndedperiod.Fortxample t
llecamera110
mightbofocuxdon!bcdoorlo abaak vaulltbr24hoursa
day,buImightonlycaplurcrclativtlyfew individualsentering tbt vaullormorelywalkingbytl
:evaul!door. 'Ihiscan
easily beconlrastr.
d witlztbecaseofframesfrom amotion

prcviously determ ined heat-up periodispreferablyallowed

to occur, so tbat tho Jevit
x 11@ eatcrs a st
eady state
omralion.Osoetllisprriodoftimepas'
;es xcorth'ngofti)e
.
de-sirod sceae can bogin,asslzownbystep 420. And oncc
recordiagbegins eachrecordcdfrau)eisinputintocomputer
12e,zndpas sbown by Mep 430 Lq;synciuonized witlz a
corresroodiug flameffom tbccyclicnoisepattem to romove
'

thocyclic noim
.ctherofrom.Accortlinglyyassbown bystep

44% eachframtwiththecyclicnoix rcmovedtbcrefrom is

obtained.Tbeframescaa thonbe usedasdesired insubsequentsurveillanceom ratious'
(*33)
Itslxmld be also lx uoled tbatithas been determined thatlhis cyclic noise pattca Ls substautially frequencyindependent.'
lYus,wbiloaknownwbittblouerwas
indicazd msbeing'uscd abovt,anysuitablrselidmateria.lof
kx wn colormay bcused.as Iong asthe kuowa coloris
idcnticallo tl
w colorofmamematicallyrepresentedtxnchmark framesofdataused forcomparison.

pictureorfrom avidcocarnerathalistraine.donabusyarea

wilh mucb trasc.

(()(Bs1 Exemplaryaspcctsoftbepre-sentinventionuploil
monilopingofenvironuxutstllaldo tloloxbibitagrealdu l
ofactivity ove.rthecoulv ofanexleode.
d m ricxlofmoailoring. Rather than storing all of lhe surveillance data

recordedaaaothcfaspectofttt
:preKetiuveutiouxducesthe
al
uountofst
orage byreducing tbe stored image rcsolulion
for frames of dat
a corresponding lo Do moLiou being
delectod.

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 65 of 88

US 2003/0095l80 A 1

M ay22,2003
4

(@B9J Framcsofdigilalimagedataaretypicallynladcup
ofpixels svitlleach pixelhavirtg,forexamplepa16 24 or
32 bitRGB rcproscntation.Since the resolution ofa particularframe in incrcascs asthc Immberofpixel
s used lo
represeciltbeframeincreascs tocxmservcdalastoragespace
that would otllerw'ise be laken up by film ing of lhesc
e'uviroaments exhibiting no activity forcxtended periott'
g

aftcrapredetermine,
tlpcciodoftimeofstoringafull-sized

frameduringwhicb nomotiou i
sobservcd'theresol
utiotlof
the Morcd frame isreduced to somc fractiow forcxample'
oae-quarttr.oftbesizz ofthefull-sized frzme.Tbesmaller
framesizeisusetlunlilaframc witbm otiooappears Then,
thestore.
d frame siz.
e isincrcar
ed l
o alargerframesize.It
should beundelstood lbatthe lowerthcfraction,thcgrcatcr
tbereducl
ion in storagespace lypimlly neodcd tosloredle
dala.W llile lesserorgreaterthaa 7.5% resolution can be
slored>thisamounlhasbeenfound tolx agoodcompromise
between maiataining clarityoftheimage aod redudagdala
stored@whicthjaswillbcapprcciated'arecompeliagrequirc.
menls.

ano.motionregerenceframe214catlnolbeobtained,anda

sequentlalcomparison offrames is rcquired.Itis aoted

bowever lhalslnceasequontialcomparisonofframesmay
alrcadybeoblainedifcomprerxsionin addi
tiontotbe frame
sizereductiondcscribr.d bortioisbeinguracd thatcomparison caa be used ratberthan usiog a no-motioo reference
fr&caethatisalways thesam e.
(.
@1
N31 InFIG. 2.*.a 640x480 reference frame 2(
u of
digitaldalatbathaslx enprpviouslyrecorded asa640xytja
siz
.e f
rame lha! capturcd a scfue A is com pared with a
subsequeal640x480 targd framc 204 ofdigitaldata. xts
shown.thissubsequcntframecoataknsascenes tj:atthatis
di
fereo
'lfrom sceneA tbusindicat
ingtlatthereisactivity
' engrnt!crsdazrtcucestyetweentbe
ormolionthatcyzcursthat
frames202. 204 and causcsthepredetcrmincd tbre-shold lo
bcexccoded.Sinceltlepredctcrm intdtllrtsboldisexceedcd,
thc scr;nt B is recordcd attlze larger640x480 framesize.
Subxqueutkames 206 conlinue to besized atlhe larger
640x480framesizeuntillhepredelermine.d threshold L%not
exceeded for some window of tium typically 2()0-3

((K40) FIGS.?.Athrough2D illustratetllovariousopera- frammsOfnoaclivity.

tfoosoecessaryto implementtl1oreduccd rosol
utionframe (0044) InFIG.2B,a 640x4go rcfcrcncc frame 208of
slorage.In FIGS.2A throttgh 2D,an exemplary frame

(jjjtal(uta representing sccncA lbathaspreviously been

storageszoof64()x48o pixels(priorto anycomprcssion

laking phce) i
s used witN A mduced resolution frame
slocagesizeof320x240 pixrls(priorto allycompression
taking place) ifno di
fcrcnccs indicativo of motion or

recor(jetlas&aztlx4go reducedframeiscomparedwitha
64:.480targetframc219ofdigitaldata,whichcapturesa
subsequen!sceno h thatfalls wilhic tt
ae predetormine,
d
thrcslmld Sincesubsequen!scc'ncA falIswithintbcprcde-

removea differencesbetween imagesw4

llstillresult
aevcn

dillheoces bclwecn samcs are mcogaizn(

jtualcause lbc

if the actualscene recordcd was the same.Accordingly,

di
ffcrencesbctween framcstllatexceed a xrt
aiaprctlcter-

Predetcrmine,d thresbold tobcexcccdcd.

indicateh eiatroductioaofmotiostoasoorle.11Lsnotodthat

digitaldAta lhatwms rccordcd al640x480 of sceoe A is

auivilyoccurring intlleeavironmentorareaaremollitored.
Prcferably,tl
zecomputerdevicc 120 pcrforms a frame by
frame comp&riscm fora particularcamera oftlle cam eras
110.11is uuderstood thatevcn witb cyclic noise patterns

minedthresboldy suclzas3-5% oftolerated10s,

1p areusedto

term jnedtlkreshold.itisalr,o recorded asa reduced320x480

fram esize
cativeoflhereboingno disccrniblcactivity
. ,kzj
or motiorjthaloccurs.Prefcrably, sulv quentframes212
continuotobssizzdatthesm allcr320x240 framosizountil

(00451 InFIG.2C,a 640x480 reference frame214 of

thepredctcrmincd lbresholdbelwe
-enadjacxntframescon- compredwit
b asubsequex 640x480targetframc21.6of
lafning motion willbeei
xcecded bccausetllenew object digitaldata.whichcapturesasubsequeotscepeAthatdfers
contairled in the fram o willsignificantly altercertain bits
wtllinbeframe. Furtl
xr ilLsprcferablcthattl
w compari
sx

byler.sthantbc;prtdeterm ine.d lilm sbold.sinceiaitialscenc

A and subsoquentaxl
w A arc within llte thrcslmld,ilis

tbatlboreducedframosiz,e be stored onco itisdetormined

occuls.n us,tbemcordedframesizeLstlusadjtustodtothe

opcratioasoperateuponlhefullrosolutioafrauxsize,and Conclude.
dthattl
zereisnoJisccraibleaclivityormotionthat
thatmotoubclwoen adjaoeatframesfjoesootcxix .

( 41J Wlzclllcradjacenlframesarrwitllin11x thrmsbold

canbedet
eqnine.
dusingpattern rccognitiontocl
m iqucs,and
preferablytbepattcramcogniticko tecbniquedescribe.d inthe
U.s.applicatioubearingattoruey reforenceImmber042503/
02.59665 mlationed above.Gencrally.and particularly for
FIGS.2A tllrougllZD ttm refcrcucefra eisiuitiallysetlo
an initialframe ofa sequence ofh>mo vzbile tbe target

smallor 320x2* frame size if tbo window of timo as

rcforrodtoabovehasclapscd.Iftbcwindow oftimchasnot

elapse.dbutb
e subsequentscrneA
issrored as a 640x480
tacountercorrespondin
'gtothewirxlow oflimeis

of fames.Oncr thr rcformace'and tbo tal

getframes arr
c
o
mpa
md
wi
l
h
o
nc
a
n
o
t
hc
r
'
t
h
e
s
u
b
s
e
qu
e
n
t
franx lhatwas
ll
m targelframo isredesignated asa I
w w rrferenceframo'
a
nd arlolhersubsequentframethatfollows tbe subsoqucot
fr
ameisre
xlesignated asa new targetframe.'17x proce,
ssis
preferably repeated for each succcssive frame in the
sequence.

frzmev
incremented.Sulxsoquenlframes218 thalalsoarewithintbe
predetermine,
dlhreshold aftcr1bewindow oftimebasbeen
u cceded ar:tbussizr.
d atlbesmalltr320x240 framrsi
ze
unlildiferencesthalcause11::predeterulinedtllresholdtobe
exceeded arerecogn1M .
(0M 6) In FIG. 2D,a 640x480 refercnce fra.
me 220 of
digit'
aldata tbatcaptured sceue A bad lxen rrcordod at
320x240.Tllisrefereacefraaleiscompare.dw1t1:a640x480
largttframe222ofdigilaldalavwhichcapluresasubx qucnl
frAmeofsceneB thatdiFersfrom sctneA bymoretlzan1he
predeterminod tllreshold.indicaling thattber isacti
vily or
motion thal cursthatengtodels diFerefwes between the
fraraes 220 222. Since tbe predeterm inod tbrcshold is

(0042) ltsbouldbenoted thataccordingtothcprefcrrtd

excocdld lesubsoqueutbamosize1 adjusledloielaqicr

frameisinitiallysetloas'
ubsequentframeoftllesequence

embodirnent.thr'
iecording device 110 isfixodiaposition
doe.s notzx m,and always rocords lhe sam ebackground
soene.n us,processiqgcaabesimpljfiedfrom (hcsituation
wherothetecordingdevice110isnotfixed.lfnotfixcd then

640x480 framesizc.Prcfcrably,subscquralfraes206are
sized a!the larger640x480 frarne szeuntiltbe predelcrminod tlreshold isuo longerexceeded arjd thewindow of
timehasolapsed.

'

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 66 of 88

US 2003/0095180 A 1

M ay 22,2003
5

(* 471 IE!a modif

ication ofthc embodimentdcwribe.
d

atxlve iftklelastretxlldetlframewasrecordcdalasrnasizo
320x240 framesiz.e*lbaathccomparisonoperalions>iastcad
ofcomparing two diffcront640x480 fsafoes willcompare
w o 320x240 fralncs'wbich reducesthe numbcrofcomparison opcrationsneeded>andif(hepredeterminedtbresho1d Lsexceoded.tbentbeentiro640x480sizeframctbatwas
obtained but ool tused for lho com parison opcrations L*
slored.

dczrmioing ifll
)e ddfcrence excecds aprcdttcrmincd
tbrosbokd'

operatinz oa the fcame at a regulal resolution if lhe

predeterm ined thresllold isc'xceedcd and alarcduced
rcsolution thatis1= lhant1m regularrosolutionifthc
predeterm ine.d thrcslzoldisnotexceeded fortlx frame
anclapredcterm irlcd numberofpreviousframes'
'and
rejyeatingtbestepsofcomparing,dotcrminiug and oper-

(*481 Ofhcrmodiscati
onsaroalsowilbintbescopooflho

aling forapluralityofsubsequentframestbatfotlow

pr
eseutinvention.Forexample*lbe ordertbattbestepsare
im plemenled cau vary.

lleframo.
2. t
'rlm m elbodaceording to claim 1,whereiathe predetennioednlzmberofpmviotusframescomprise,sawindow of

g(*49) Furthcrtllecyclicnoir,
cllatLsdcl
cctedcanbeused

time.

forotherpt
rposcs.Forcxamplc.inatypicalinstallationthe
cameras.amplifiers and lbe like w11 allbe turned on and
being used (xmlinuously,24 houls a day.M a result they
tendto operzloinastabl
omarlnor and thusthecycl
icuoi
se
paucm canbeelimiaated.If howevertl
w camcra ampliiier
oranolhercomponentl
x ginsto driflfroln itsstablcoperalingcharacteristics'a.new cyclicnoisopatleru willdevelop
lbalisdillkrenlfrom lbe origiaally obtainrd cyclic uoise
pattern.As a result lhe watermark lhal is occasionally
passedwilldiFer asescribed above.W hcntbisoccurs the:
ditrerence willcause an alert asnoled abovo.W llile this
alertm ay indicatc suspiciousd rcumstances ilcollld also
itldcale thaloneofthecompooeuts'sucbastbecameraor
am plificr.mayfailintbcncarfulurc'sincoanearlyindicalor
thatadcvicew111failisunsublcopcralion'wbichcanllm s
causethedrift.Accordiqgly.tbe presentinvenlion can be
used ms an early w arning system thatcan indicam tbata
particulardcvicz may soon complctrly fail.Ifa parlicular
dcvitx isfouadtobcunstableandnccdsto l
x replaced'itis
n
edlhattl
w initialsel-upaspreviouslydcscribedw'
illneed
tocqbe
pcrfonned again'since the new device willcause A
dx erenlcyclicnoisepattem to result'

(* 50) Furlherancvonfurtberreductionsintbesizzofthc
stomd framecan bomade.Oneexampleoftbati
st
'
fsomc
predetennine.dperccnlageofcontinuousfzamesare:enlirely
black,such as98% ,indicating ligbls areouland oo imagc
Lsdetectabl
e.ln such circumstancesa furthcrrexlucEon in
slored framesiz.e to Wlhoftbeoriginalframosiz.e may be
warranlcd.

(*51) Althougb variotts preforre.d

merijs hav.c
boen ducribed ia dctailabove tlzoseskembodi
illed ilztlltaftw1
11
roadilyappoci
alethatmany modificationsoftbeexemplary
embcdiamutare porssibltw itboutm atoriallydepartigg from
tlm novelteacbingsaodadvanlagesofllzisinventioo.Variatiolzsontbepresentinvcnlion. .11Ixcome readily appareu!
to tl
xxseskgled ia tl
w arlafterreading thisdex ri
ptiou.and
thoprcsenlinveotion and ap> nde.d claimsareintendod to
encompasss'
ucb varialionsaswell'

Iclaim '
.
1.In avi osurveilhncesystcm use.dto montoran arca,
amettt
odofcouservingdatastoragtbystoringdalaforeacll
ofa pluralityofsequentialframes aldiFereqtrosoluti
ons
dejyerlding ulxjflan indi
cation ofmotion being roceivod.
eacb framo comprksed ofa plurality of bits,tbe met
bod
com prising:
comparing a rcfcrencc frame lo a frarne lo obtain a
dilercnce;

3.n omelbodaccording to claim 1,wboreinthc prodelermine,d nuberofpreviousframesLsz-ero.

4.Tbemethod acoordinglc,claim 1 wbereiutbereduced
resolution i
s 1e.
u thanonehalfofI
lleregularresolulion.
5.'
11x metkd accordingto claim 1 furthcrcomprising
priorto thestepofcomparingvrettingtlm referenceframe
6 to aainitialframeofthelpluralityofx quentialframes..
. The m e
thod according lo claim 5'ftzrthercomprisiug,
prior lo the slep ofcomparingpxtting lhe largetto a
subx qucntfram cofthopluralityofsequcntialframes.
7.Ttm method according to claim 6 hm heccomprising
prif
or to tho rom ating stepprodesignating ms the cefercnce

raml thcsubsequentframo thatwastlletargetframe

and redcsignatiug as tlm largetframc anotherwl
v-

8 quentframethatfollowsthesutv quentframe.
.'
l'hem elbodaccordiug to claim 1 wberein tbeste.p of
ojxrating comprmssos tho framc using one ofthe regular
ms9
olulioa aud thereducr.d rmsolulion.
.'
I'
hcmtthodaccording to claim 1wberei
n thcMep of
operatiogstorestbefl
amcusingoneoftberegularresolution
andthereducodrcsolution.

1fj.Inavidcosurveillancesystom usingadatadelivery

devi
ceto monit
oranama,ametllod ofcorrccting forcyclic
noiseresidenlinapluralityofscquentialfram cs cacbframc
comprisedofapluralityofbits,themetbod comprising:
installing1hedatadoliverydeviceinapositiontomonitor
tlze area;

obtainingacyclicnoisopatterncorrespoadingtotlledata

dcliverydevice'
'and
monitoriag the arcausiug data clelivery dcvice tlwmby
.)
obtaining tbepluralityofscquentialfram cs'and
removingthecyclicnoire resitkntinatlcastccrtainones
oftbe plurality ofsequentialfr.mes to obtain acor11roded plurality ofsequentialframes.
i . n e mcllltxlaccording lo claim 10,furlllrcomprisng:
autbeaticaling a! least one fn me in the plur.lity of
x quentialframe.sby one ofnotremoving tbecyclic
noise from theoneframeand reiatrcxlucing thecyclic
uoix removed fzom thc olm frame lmreby using tlm
cyclic ooise as awaltrmark.
lz T'
lx mctlod accordirtg to claim 10, furtbercomprising:
comparingoncframeoftbeplulalil
y ofsequenlialframcs
w'ilhaaotherfzameoftbepluralityofsequcutialframes
to obtaiu adileroact'

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 67 of 88

Y e

>

US 2003/0095180 A 1

M ay 22,

dettrmining iftbc diFerence cxccods a prcdctermined

tbrcshold'and
operatinguponthoanothcrfram oataremlarresolulionif
tbe predeteanined tbresbold is excccdcd and at a
reduccd rcsolttlion thatf
s 1c.
:,
sthan thercgularrcsolution itIhepredelermined thresboldisnotexceeded for
tbe frame and a prodczrmined nunll
xr ofprevious
fram cs.
13 n e m ethod accordiag to claim 12 wberein lhe
predctermi
ncdnumlxrofpmviousframcscomprisesawindow14oftime.
. n e m et
hod accotding to claim lzpwhcrein tbe
predcterazi
ne.
d rmmberofprcviotu
s framesiszcro.
1.s. T'ix metbod according to claim 12 wlmrein (llc
ceducra resolution Ls 1e.v.s tllan one halgo'f the regular
resolutioa.

2:.'1'hc;metbodaccordingtoclzkn10whcrciutheMcpof
obtaiainga cycliccoisepattem includcstboMops(yf:
recording for a period a predelerm ined testpaltern of
frmes;
ot)lakjiug adgbrenc,ofrom axfea ncepalternforsach'of
jtcslpattc:
ru offral
nesobtained durtl)epredczcrmue(
irlgt
'beI
yoriod.
.
NSZ: tbt differeuceto searcb fortlm cyclic noise'
storiogthocyclicnoisoiftbecyclic ooiseisdetcdod'
setting kbeperiod toalongcreeriod iftho cyclic noic
veis
notdotectcd.and
'
reptatin; tbe S'ePS Ofrecordingxobtaining,msing and
K ttinguntillhecyd ic noise isdctcctcd.
21.Inavideosurvoillancesystem havingafixed position

16.'
I'
bemetbodaccordingtoclaim 12whereintbestopof

C'mei
ra,ametbt
dOfnservingdatastoragebyadjustinga

operatisgstorestlw frameusingoueoftheregularresolutioa
arld tlzereduced resolution.
17.'
l'
be metlcklaccording t
o claim 16 furtberincluding
tbc:slep of storing tlw cyclic noi
se with tho pl
urality of
soquentialframcs.
18.'l'lx metbodaccording toclaim 10wllcreintlycstop of
installing furthcrincludestlw step ofinsulling atlcastone
comm nenqand furtherincludiog t
im stepsof

frarneStoragesizeatwbicbindividualfram e.sofapluralily
ofsequontialfram eszrestoredclependingulxm anintlication
Ofrnt
tionbeing received cach framc compdsr.d ofapluralityofbits,the metlzod comprising:
moni
toring thc fnmes of li
x plurality of scquential
framesfordifrerences abovea predctennincd tlzresbold'
'
reducing tlae frame storage size for a :rst group of
subscqucntframesfrom al
argerframe storagosiz.
e to
a smallerframe storagcsizewben tbepredetermined
thresbold isnotcxcceded;and
iacreasingtbeframostoragesizeforasecondgroupofthe
subsequentframesfrorn thesmallerframestoragesjze
totlm largcrframestoragesizx whp tlm prcddcnnined
thresbold isexccode-d.

tlel
oralil
airlg thatlbe cyclicnoisohaschanged;
replacing ono ofbt dala delivery dovicc and tbc onc
componenq and
repeatingtlzestopofobtainingtttecyclic uoisepatlernto
ain anew cyclicrloise pattem .
1#obt
. n emet
hodaccording tochim 10furtherincludinga
initializuion warm upperiodboforotbestcpofmonitoring
during which period thodatadeliverydevice Lsturae.d on.

+ # # * +

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 68 of 88

No.CV06-00114
ETREPPID TECHNOLOG IES,INC.
VS.

DENNIS M O NTGOM ERY,ETAL.

Ex./

Adm ide :February 7,2006

RO NA
LO NGTIN, R.,CLERK
By
,Deputy

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 69 of 88

'

Fqease retum fecordod to

Plll
bu
yWint
hrop LLP
1*s3
Yf'
ysons6outev>fd
Mctean.Virglnia 22102

Alt
yDk!.042503/0273342

ClientRef-E'B/.o16(U)

M SIGN M ENT
ofU .S.Origln PateutAppEcafon

W HEREAS,thetmdetsigaetttowit DENNIS L M OINITGOM ERY,thereinafterM SIGNOR)

.

h% m ade an iavmi on enddeda .'

,
S YSTEM AND 3fE71f0 FOR AZZ
IAR GW G M EM OR Y S zf
SUR VE LLLA NCE ,
VF&
CTFV ', forw bicb an appzcadoo f Let4= PatentoftheUnited States was
Gled in the United States Patentand Tfaderfmrk O flice on Novem ber 21, 2001,tmderSerialNo
09/991,487;and

W IIEREAS, eTreppid Techzm logiem LLC, M SIGNEE,a corporation duly organized and
e
xi
st
i
ng underthe IawsoftheState ofNeyadaand badng ia principalom ce and place ofbtlsinG sat
9410 P
rototype Drive,Suite l8,Reno,N V 89511,dcsire.
stoasquirc an intefrstthereitq
+##

'

NOW ,THEKEFORE,forgood and valuabtecoluideration, tllereceiptandsuft

idcncy ofwbicb
arehereby acknowledged saidASSIGNOR dce,shereby sell, assign and transfertmto M SIGNEE
itssucccssoo,assignsand 1ega1representalive-s,the fulland exclusive Iighq title and intcrest to the
,
said invention in the United Statesand a11foreign countzie-s,asdescribed in the aforu aid applfcation
,
and to the said application and to 21 Gmtintlations, divisions, reLssues and substim tes of said
a
pplicadon,togctherwith therightofpriority undertheIntem aonalConvenon forthe Protection of
I
ndustrialh operty,lnter-M erican Convention Relating to Patents, Desfgns and indtlstrialM odels
a
any
MndSI
GN other fnternaional agrcmnents to which thc United States of Amedca adhelu , and,
OR herel)y autlzorizesand rcqueststhe Cornm l
'mqionerofPatentsto issue said LdtersPatent
to M SIGN EE,foritsintelw tasASSIGN EE, itssuccessors,assignsarid legalreplu eatativc .
AhlD M SIGNOR hm'el)y agreesto executeany papel
s requegted by M SIGNEE, itssucco sors
assigasand legalrepresentativc , decmed essentialto M SIGNEE'S fullprotection and title in and to,
theinventionhereby transfen'
ed.
M SIGNOR ftulhermore agceG um n request of said A SSIGNBB and without farther
remttrkeiationsto execute any and allpapersdesiredby said M SIGN EE forthe G:ug and granting of

fordga applicatioasandthelxrfectingoftitlethereto inSdASSIGNEE

NOTE ln etmdcrsi> ed hcreby autlloriz= Pillsbury W intlu'op LLP, oftheabove addrezs,to

i
nsertftlrthc idcntiticalitm necessaryordcsirableforrecordation ofthisdocum rat
Execute tztlle datebelow iadicated

S' ature

enn L

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Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 70 of 88

jjj

US 20030097532A1

(19)U nited States

(12)PatentA pplication Publication (1a)Pub.No.:IJS 2003/0097532A1
'

M ontgom ery

(43)Pub.Date:

M ay 22,2003

(54) SYSTEM AND METHOD FOR MANAGING

(57)

(76) Inventor' Denni

sL.Montgomery,Reno'NV
(US)

A eol
ztEt)lprogram coolrolsadigilalstoragedevtcewbicb
slores images from digitalcamera strsams.'
l'
be coutrol

M EM ORY IN A SURVEILLANCE SYSTEM

ABSTRACT

program monilors the statusoftbe digilalstorage device.

CofrespondenccAddross:
PILLSBURY W INTHROP,LLP

w'
hes (l)cstoragedevice(orportioalhtrcofallocatedfor
imagcsyorage)becomcsfallandntw ioformationncect
sto

M CLEAN,VA 22182(USI

dwcotodeletoinformat
ionthereinlo makeroofnforthe

RO.BOX 10500

(21) Appl.No.:
(22) Filed'

b:stoxd thtrei
n. 1% controlprogram direcls lhc storagc

new irlformarien.'
Ihisisdon:basedonvariotl
sdataparamezrs, sucb as the priorily ofindj
a
vzualmessagesordat
units,tbeageofeachrnessageordalaunit'aadthc.like'For
example,when iuform atiou needs to bl dclctod from a
digitalstorag device lo makeroom fornew inform atioa
olderdataofhighprioritycamerasm aybesavcd instcadof

09/991.487
Nov. 2l,2901
'

Publicatien Cla%ilication

(51) Int.Cl.1.................-........................(70611
'l2/tKp newerdataofIow prioritycameras.Intlisway.eKdentuse
(52) U.S.C1. .......................-..........711/1M ;711/170 oftbedigitalMoragesystem canbemade

IM AG E
C O NTRO L
M A NAGER

STO RAG E

C NTR OL

'

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 71 of 88

PatentA pplication Publication M ay 22, 2003 Sheet 1 of2

US 2003/0097532 A1

IMAGE

FIG .IA

% Qe
IA GE

CONTRO

CONTROL
CONTROL
(h

FIG .1B

CONTROL
M

8
g
=
O

'
Z
O
(J
STOBAGE

FIG .1C

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 72 of 88

PatentA pplication IY blication M ay 22,2003 Slleet2 of2

IM AG E

CO NTRO L
-7 M ANAGER
.

STO RAG E

FIG .2

C NTROL

US 2003/0097532 A1

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 73 of 88

N-.'

N.>-

US 2003/0097532 A1

M ay 22,2 3
l

SYSTEM AND M ETHIJD FOR MANAGING

M EM ORY IN A SURVEILI-A NC E SYSTEM
BACKGROUND OF TI.IE INVENTIO N

(t*a11 1.Fieldoflheluventi
on

analog sl
oragc devico ordovices sucb as video casselle
recofders,llle camerasignalorragnalsarestofed onvideotapemuchnkealelevisionsignal.Inasystem usiogadigital
sloragc dcvice.e.g.,a digitalsurveillance system oran
aoalogcam erasystem wbicbdigitizesthecamerasitwa!(be

cameraimagesarepixilaledandsoredinll4edigilalslolage

Et*B2! n epresentinventi
oaisJircclcdlo acompuzr devi
ceasdalal
iles.n eIiIe.
Smaylyeunci
ornpressed ortbey
sYstem and m elllod form auagiugm om ory in asurvtillance
system . M ore particularly, il is direclcd to managing

m aybecomprcssedusingacomprcsslonalgoritbm to caaxim izeuscofthe storagespace

memoe ina video surveillauce sysl

em.Especiaily,itfs

gt)(j(s) Ifcameraimagesarecontinuallysloredinadigilal

direcled to managing memory in such asyslem when tbe

sIorageJevicewithoutanydeletionsx eventuallytbeMorage

memorybecomestilloroverflows.
(te 3) 2 Backgrouodof1heRelatedArt
((*(j4) Sufvcillancesystems&rcknowninI
lm arl.In i!s
.

device(orl
hepartofj!auocatetlforcameraimagostorage)
WI1lbecomlfull.Atlllatpoint.tbesloreddataandiucoming
datamustbe managcdto accommodatc thenew data.

simplestform.asurveillancesyslem mightessentially consistofananalogvick:ocamcrabooked uplo arem ottvide.o

SUM S'IAIW OF THE INVENTION

monitorasshowninFIG.IA oranaudiodei
vicebookcdto

E0010) Inview oftheaboveproblem oftl

aepriorarliti
s

well.Usinglhe cameraforpurposesoftbisdirsctussioo,tlm
camoraispoinzda!asfh
otofintrrest,o.g.,afrotlt(
kmra:l

methfxlform anaging digitallyMorcd informalion.particu.

larlydigitalimagesstored in adigilalstorag:dcvice.
(00H) n eaboveobjeclisacbieve-dinoneembodimentof
lhepsesentiuventionbyprovidingacontrolprogram which
conlrols lho digilalstoragc dovice. 'Ilm controlprogram
monitols thcstatusofthe digitalslorage devicc.W bcn thc:

aspeaker althoughtbecameramayal
socontainaudioas

auloate
.dlellermachine*el
c'andprovi
desanimageoftha!
sc
I ene to the monitor.A n operalor walches the monitor to
ook forunusualorunauthocized behavioraltbeseene. If
sucb activily fs perceived@lho oporalor lakes appsopriale
ac-tion--idonlifyingtheindividual,Botifyirlgsecqzritypolice

a.
nobjecloftbepresentinvct
ationlo prfwiclcasystem and

etc

, storagedevice(orpcjrtotltlwreofatlocaledforknagestorage)becor.
sfullazldnrw iaformatlonneedslobeadded
(
t
*:
5
)
n
e
s
y
s
t
e
m
ma
y
h
a
v
e
oo
e
o
r
ma
n
y
c
a
me
r
a
s
r
a
c
h
t
b
e
c
o
n
l
r
o
l
pr
ogram directstl
x storagcdevice to delote
ofwtlich can be displayed in a preo term iaod area o
'fll
.

'

1c
monilor.Alteriaativcly the operatorm ay toggle througbtbe
scenes.Furtbtr instcadofoneormoreanalogcamcras the
system mayuscdigilalcamorassuchasCCD cameras aod
tbe lB(e.Sucb digitalczmeras Nave tbe advantage ofprovidiag a Mgb-quatity.low-noise im age wben compared lo
analog imagos.

((> 6J Anothorpossiblevideosurvtillancearrangcmentis
shown in IqG. 1B.n is system uscs multiple cameras
conacctedlothemordtorviaacontroller.lMccontrollercan
multiplex severalcam era signals arld provide tbem to tlle
monitor.Also.itcan controllbepcxsitionsoftho cameras.
n o operator uses an inpul devce suctsas a kcyboard

informationtberein to make coom forthcnow illformalion.

n isisdolw basedon variousdataparameters suchashe
Priori
tyofindivi
dualmessagesordataullits theagoofeach
merxsage or data uait and tbe like. Forexample whe:
n
informationneetlstobedoletedfrom adigitlstoragodcvice
ttn I'
nakt room fornew informatioo,olderdata of higb
Priorilycamerasmayber>aved inszadofnewerdataoflow
p
ion
tysy
ca
me
.nInbe1
.
1
:
$
:ade
way' eKcienlusooftbc digital
str
or
age
sl
emras
ca
m1
.
sRjps oEscRlpr ox oyTHE DRAw INGS

(0012) Theinvcnti
onwllbe moreeasilyuadcrsloodin
view ofthefollowingdetayle.ddescriptionandtheappended

joyxick or I
l)c lik. lo direcllbe controllerto oont
roltNe

dtawi
ngs in which:

motion oftlzc camcrms so lbey pointto particularareas

(00I3J FIGS. IA -IC show variousvidcosurveillaacesys-

witbin theirrange,track inl

crcsting feAturts ifltbe imagcs,
etc.Itmayalsousetheinputdeviceto controlthecoatroller

to directt
hecontrollerto provide parlicularonesofthe

caamrasign&lsto tbe motdtor.

((*07) FIG.IC showsanolhcrarrangcnxnlofavi

deo
surveillance sm tem. Here'a video recordng device is
connectedlolhecameraoutputs,tlm monitorinpm orboth,

lem arrzllgemtntm arid

(0014J FIG.2showsavideosurveillancesystem according to anefnbodimentoftlm plerentinvontion.

DETAILED DLSCRIPTION OF PRESENTLY

RRED EXEM PLARY EM BO DIM ENTS

'

n evicleorecordingdovicc,c.
g.,avideoczrx
settcrecotder g(Kjl5) FIG.2showsavi
cleosunreillancesyslem accordfor Analog camrras,can record lhe camera signals for
arcbival,laltrreview and tbe like.Furtber.ilcan rrcord
imagesdisplayed on themcmitorsevidenceofactivities
takingplacein1beenviroqen!
sbeing inspected.Fo:digital
systems,thevidcostorage dcvicemay beadigitalstorage
dcvice a masstoragedeviccsuch asaNarddisk drive or
tlw like.w llenalzarddiskdriveisux d,am aybeaseparale

inglo anomtxxlimenloftl
w prmsentinventioo.n tssystcm
Lssimilarlotheor
e shown in F'IG. IC witb the exceplion
tbalinaddition to controlling thepositionsoflbe cameras
aod supplyiug tlle camerasignals l
o ll)e mouitor thecontroller also m anages information in 1he digita'l
storage
devi
ce

be par1ofao integrazd syslem.

Snlzmymlnyttchniquesareknownforsloringdatatherein.
Forpurposmsofdiscttssionassume lbattllediskdriveslores

unitfrom tueuseroontrollerandcameracontroller. oritmay

EtOlt;
l Assumingthedigitalstoragcdcviceisauarddcive

((*08) Wbentbecamcrasareaoalogmodel
s.(beirsignals

alablelz
'
stingalloftbedau uni
ts.e.
g.,Iilesvstoredtbereoo,

m aybestoredonaoalog ordigltalstoragedevices. w ithan

the size ofeacb file itsdale ofcreatioo its dato ofIast

'

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 74 of 88

US 2003/0097532 A 1

M ay 22, 2* 3
2

access,andthescctoc(orolherutlilasapproptiate)atwhich

1ow prlorily.new dala;low priorily olddala'blgbpnorfly

storageoflhtldalaunitbegins.Eacbsegm cl;loftliedalaunll
include.saIizk to t*euextsectorofthotlataMzit. Porxskbly

new data bighpriorlty, oId dala.

ilalsoirlclvdcsaliakbackto(beprcvioussect
or l'be (inal
> (0024) Otherarfangemenl.
sarealsopossiblo.Forcxample'
.

sectorofthe dala unilpoints to 3 nullvalue as lhe ciexl

sectox'
. W hen l
ink-backs &re ioclukle,d' the filxs.t sector's
link-backsimilarlypointsto aoullvalue.

ralher than tlle Agc paramctcr represcnling !he ag.e of

creatlon ofan image file as abovc'itcoul
d alternatyvely
rcpfeserlt:timesincethe Iaslaccessoflhe image.

(X 17J M sumetbattheccmtrollerhasrcceivcdaI)imageto

(0025) Further'bolbcrealionagcandaccessagecouldbe

be storcd on thc baz'

d di
skdri
ve and thatIhc diskdrivc is
htll orel
scllaslcssfrccspacet'haa isrequired forstoragc

offheim agedala. Somedalamuslbedelcted lo makertx)m

fortbe aew imago data. OE1
eembodimenloflhepreseal
invlntionscoresiodividualdataunitsbasedontheirpriority
aud ago,andchooscsdalaunitsfortrasureintheorll
cr:low
priority.old datA'l()w priorily,new data;higbpri
ority, new
data;high priortypold data;Iow priority. Itlotherwords
arxsurr
ling tlle tableentryfortllisimag,e associates alor0
wllaPriofilyparametrroflheimage.ibeinghighpriority
-sanagemcasurement
and0being low priority.andassociate
from 0-255withanAgcparameteroftlleimage,0beitk:old
slructasc'
orefor
ta
hnd255 bcng new,tleconlrollercau clxl
edataunita-sfollows:

used.Addiliorlalky'etbcrparamelerscould alsobctlsed. For

example'ascorcsucbas
AorT-slz*priodry+o 6esubcut+Age

y(ct;) coul
d beuscd wbcreSubjectcould be 1 for!b

v
e
aul!aud 0 for Stainvell with Priority being l fer high

P
riorityarxl0 fortow plorityyanAgeboing()forold
jhrough 2
,.$5 f
oroew.'Ihiswould orderscores in tbe following ways &om mostdesirable to leasldesirablc'
. hi
gh
rikxlty vauh new. hig,b vi
P
p bigp
torhy.Vault.oltl;bigb priority,
stainvo,
ll new;
b prioI
rlty.Stairwell,old;iovv priorily,
vault ncw'' low priorily.Va
ullyold'low priorily Slairsvell
ncw.tow priorily Stairwell oltl.Thisscoringsys,lefnwould
,
value im agcs from Vaullcam erasm ore bighly tbanfmages
from the Stzirwell.

scuxoxy7
-s6bl'riori
ty+am
g(()18) Tbi'
gwi
llprovidcJ
kscorcwhichcanrangtfrom 0
(Iow prioritypo1ddata)througl
z255(Iow priorily,ncw dala)
a
orityyolddala)lo511(ltiglzpriorly,new
dnd 256(higbpri
ata).n iseffeclivclygroupsthedau uai
tsintofournon.
overlappinggroups--bi
glpriority new data;hkbpriority,
oId data'Iow priorily,new data;low priority dklata- in
decroasingorderThecontrollcrc&n then bas,eol
d ou lhefile

gtjtupj otl
xrnumbering systemsare of coursc perxsible.
Furtt
lerthcdatauuitssubjecllopotenlialerasureoeednot
be limited to those already stored butmay additjonally
irl
cludctleunilintendedtobeslored. II1tbis case the acw
dataunilmaybcdesi
gnalcdfortrasum- -inwbichcase ne
crasuro ofslored informati
on would I
x noceasary. A ISO
rallwr lban using lwo-valued paramtt
er. (0 and 1) the
systcm may makeuse ofparamelets wlls
h more th

sizes asociate.dwithtbekaagms selecteuoughlow.scoring

dataul
aitsforerasureso lhattherewillbecnough l:,0m for

values Forexacuplc the Prorilyparamelermay Ilavevatttes

foghigh medium ari
dl
ow orar such as0-10 with 0
being thehighcstprfority and 10angc
being 1l
1clowestpfiorily.

(Im oew data.Tlleconlrollefcan tlmn instt'

uctthebarddisk
unittoerasc thoselccfed lesandsl
orethenew dalatberein.
((*19q 'n i
sorderofduirability- highpriorit
y. new Jata;
highpri
ority,olddata;I
ow priority y w data;low pri
ority
oit
ldata--isusefulinsituatioaswbere itismostimportant
l
o retain image datalhathas higb priority. Othcr arrangomenrs m ay be use,
d in otbersituationrr- forcxample tbe
scoro
score=zs6-pdohtyvAm

(20) wtretistlig:priorityaod()L
x;low priodty,aud

ws
.san agemoasurcmentfrom 0-255 with tbeimage
0
bociate
cing tmw and 255 being old' V IIgencrate scoresof
tlmsivabitit1i
n tbtordtrlow priority w data;low priorhy.
olddata;l
ughpriorify.newtlata.ybig,hnper
ioril
y.old clat.,wilh
tlle lastI
x irlg the mostdmsirablt. '
rlzis ozdering migh!be
usefulwtkenolJdataismoreimporlantlban new data e.g.,
in adataarchivalsiluation. /dtcncativcly thcscorc
score-zsti-prkvi
ty+Agc
(f*2lJ where1islow Priorilyand0ishighPriorityyand
wsocialesan Agemeasurementfrom 0-255vf
'itb lhcimage'
(1bciog ntw aod 255 boing olG poduce.s an ordering in

decmasingdesirabilityeflowprioztyaoI
ddala;lowpdority,

new dala;higbprioritypoId data;high priority, rlew data.

((*72J Furtber,tbescore
scerowzs6-privrilyu ge

(t*7-'
s1 wherelisIow Priorityand0LshigbPriorit
y.and

t
be Age measurcmontis from (1.7.55 0 txi
ng oId aud 255
beirlgoew;producesanordtringindecmasillgdesirabilityof

an two

1t*281 Thctrfl
bodifnentsdescribedalyovchavebeenpresented forpurposesofexplaoation onlyp atld the prexnt
iavcnrlon should notbocoastrucd lo boaalimiled Variationson the prescnti
nverstiollwillbocomeroadily apparenl
t
o thoscskillcd intheartaftcrrcadingtbisdcwription, and
theprcscnlinventioa and appeoded claim sare intendcd lo
encornpasssuchvariationsaswell
vhat1&Clajn;eJ u:

1. A syslem fozm anaging dataunitsstore.din aslorage

device thc system comprising:
receivingmears forreceivin?yanew dataunittolx:stored
in lhe monitoring mcans for moaitoriog tbe storage
slalus'
monitoringmeansformonitoriogtheslatusoftbestorage
dcvice and (ofgeneraling an indicaion ofxgheKkcr
thcrcisenougbfreespaceinthestoragedevicetoslore
t
htncw datausit*'
Weigbling means forp wbcn tbe;monitoriug m eans indicat
es tlattttero is nottuoug: m ace in tbt storaze
dfviceIo slore thenow data,w oi
glltingdataunitsslored
in lbe S'
torzgr uuit according lo a prrcleterminr.d

weigbiv syst
elm anu

trasurc mezosfordeletiogdatauuitsin orderofweighl

s
un!j!orrejseooughfreespaceinthestorag,edevicelo

accommodatctl
zenew t
ataunit

2 Thcsystem ofclaim 1 wherein 1he weighting sratem

weiyzhts!hedalaunilsbmsed onpriority and age.

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 75 of 88

US 2003/0097532 A1

M ay 22,2 3
3

3.Tbesyuem ofclaim 2,wlmrein theweightingsyslem

weighlstbeclatauuilsin tlleorderofNigbpriorily Ilew data'
highpriority.old data;Iow prion'ly,new data;low priority.
old data iq lrrmsofdcsirabililyto relain.
4.n esystem ofclairn 1'whereia tbeweigbtiug sysletn

weigbtsthedalauait
sbascdol
xpriorilyssubjectrnatterand
age.
5.A awthod fof'managing dala unirs slorcd in astorage
dovicep!htmethodcom prising:
rccciving a oew data unitto be slored in tbe storage
device;
monitodng tbe;status of thc slorage device and for
gcneratingaairxlicationofvvhelbertbereisenouglzfrte
spaccin the sloragedcvicc to storetbencw dataunit'
p
wben there is notenougb space in lhe storage deviceto
store the new data weigbtingdata unilsslored in the

storage unilaccording lo a predelcrmined weighling

syslcm thewmghting syste weigbling llxe:dau uuits
intlw ordetofbighpriority. t'lew data;highpriority.old
(jata.
jow priority. new data,Iow prioritypold datain
.
termsofdrsirability to retain.and

'

delcling dala units in ordor of weights unlil therc is

onoughfrct spaceja tlw storage dcviceto accommotlatethe new dataunit.
6 'rh.motbod ofclaim 5, w lw rein tlx weightingsyslern
weighlsthedalaunitsbase,tlocjpfiofity and age.
7 n eamthod ofclaim 5 wherein theweighling systc:n
weighlsthe dalaunilsbasedon priority. subjod matte;
raud
agc.
+ + *. # *

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 76 of 88

No.CV06-00114
ETREPPID TECHNOLO GIES,INC.
VS.

DENNIS M ONTG OM ERY,ETAL.

Ex./..F

Adm ltted:February 7,2006

RO NA
LO NGTIN JR.,CLERK
By
,Deputy

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 77 of 88

Ploase remm reaoruou!o'

pillsbury W intl4rop Lbp
'6o0rysonsBoulavard
Mcbean,Virsinla 22102

AttyDkt:0427*3225966,5
clientRof: E.TV-0()8(tJ)

ASSIGNM ENT
ofU.S.OriginPateatApplication

WHERBAS,thetmdmsignei towit:DENNISL.MONTGOMERY,(hereinaftm'M SIGNOR),

has m ade an invenon rndcd GM ETHO D AND APPAM TUS FO R STO RING D IG ITAL
Srm EO CONTENT PROVIDED FRO M A PLURALITY OF CA M ER AS'' for wM ch an
application forLettersPatentoftheIJIte.IIStateswasGIe,IIin theUnitcd StatcsPatcntand Tmdem ark
Ofliceon N ovem ber21,2001,undcrSmialNo. 09/991,527'
,and
W HERFA S, e'rreppid Technologi%, LLC, M SIGN EE, a com oration daly organized and
existing tmdcrthc lawsoftheStatcofN cvada and having itsprincipaloftice and place ofbtlsinc sat
.

9410 PrototypeDfive.Suite 18,Reno, N V 89511,desiresto acquirean interesttherein;

** #

NOW ,THEREFORE,forgood and valuablectmsidefatbn, the receiptandsufficiency ofwhich

arehereby acknowledge; said ASSIGNOR docshcreby sell,assign andtrarlsferuntoM SIGNEE,

its succc sors, assipzs and legalreprc cntatives,the fttlland cxclusive right, tide and intercstto tbe
said invention in tllcUnited Statm and allforeign countzic , asdccribed in the afolu aid applicaoq
and to the said application and to a11 conti
nuations, divisions, reissuu and substitutes of said
application,togethcrw1t11tberightofpriority tmderthelntmnationalConvention fortheProtection of
IndtlstrialPropel
tyyIntcr-Atttericaa Coavertdon Relatiag to Patcnts, Desigas and IndustrialM odcls,
and any othcr intem ational agreernents to which the Uuited Statcs of Am erica adheres, and

ASSIGNOR hereby autholiz.es and reqaeststheCornm issiotkerofPatentsto issuesaid Letters Patent

to M SIGNEE,forie intx tasM SIGN EE,ie s'
ucccsols,assigasand legalrepresentativcs
.

AND ASSIGN OR hercby agrets to executeany papels requc ted by ASSIGN EE, itssucc%sols,
assignsand legalrqxrsentativcs,deem cd cssentiatto ASSIGNEE'S fullprotcction and title in and to
the inventbn hereby franqfelrett

M SIGNOR furtlm more agre.

cs upon reques't of said ASSIGNER and without further
rerntmmation.to executeany and allpapcqs dosired by said ASSIGNEE forthe filing and granting of
foreign applicatiomsand theptxfeding ortitle thereto in said ASSIGNEE

NOTE rn eundersigned hereby authodzes Pillsbktry W iathrop LI=P, ofthe above address,to
insertfurtheridentiscation neccssazy ordesirableforrecordation ofthisdocmnent
.

Executed o

edatebclow indicated.

Si

DateSigned

W itlr s
<.

N &
l

GO M ERY

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Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 78 of 88

'

1J6;0()6970 4782

(12)U nited States Patent

(10)PatentNo.:

M ontgom ery

IJs 6,978,047 82

(4s)D ate ofPatent:

Dec-20,2005

(54) METHOD AND APPAM TUS FOR STORING

6>3,
897 A

3/2% Morlkawa

(75) Inventor: DennisL.Montgomery,Iteno.NV

(us)
(73) Assignee: e'
peppidTecllnologiesLLC,Reno,
NV(US)

6.
363.381Bl*
6,
366289 Bl
6,374.266 B1
6,
404.
928 B1*
6,
507.618 B1*

3/2002 LreetaI
.......................707/6
4/2002 Jol
kns
45264.r2 shaelvar
6/2002 Skaw etal.................382/232
1/2003 WeeetaI.............375/240.16

DIGITAL VIDEO CONTENT PROVIDED

FROM A PLURALITY OF CAM ERAS

6* 4,764 A * 5/2(
KO Bl
laskaranetal. .........382/183
6.
212,
657 Bl# 4N00l WangetaI................714/746
6,275,615 Bl* 8J2* 1 Idaeta1....-................382/232

6,594.687 B1* 7r2 3 Yap etal. ...................7* /2()3

(*) Notice: Subjecltoanydiwlaimer,tLetennofthis

patenti
sextendedoradjusted under35
U.
S.C.1541)by553days.
(21) Appl.No.::9/991,527

(22) Filed:
(65)

Feb.22,2002
PrlorPublicationData

US 2* 34 161539 A1

6,
807,310 B1* 10/2(m Dugadeta1........1
.......382/248
2*3* 81146 A1 5/2C03 Montgomery
FOREIGN PAT'
EN'
TpoctlpjEN'
l'
s
EP
0729237
8/1*6

wo

W O 94/2072

WO

WO 97/*602
2/1997
(cootinucd)

Aug.28.2()03

'

9/1994

O'
I-HER puBl-lcA-l-lo lqs

Related U.S.Application Data

Ageeoko Forward Adaptive Modeling for Contcxt-Based

(63) Continuation in-parlofapplicatioa No.09/727*096> R

Comprsrxsion of Lzrge Binary Imagcs in Appl
icatious
filed on Nov
equiring SpatialA ccesss lm ageProc.1999.ICIP 99 Prou
.

29,2(KO .

.
>
1999Int'lConf.on KobcJapanOct.24-28,1999,IEEE,pp.

(51) Ixlt.421.7........................................... t;i()t;I(26p

/:
56
(:;:3) tJ.!;.(J1................................................. :141:1/:::
55
(511) l?ieltlt)f!;tqrx:ll.............................. SrEl:!/1()()l7:1
3827/0
17
81
'386/109,123,124'
'
/6,232,235,209.
,101;375
440,240.26'
,348/384.1,
348/.
390.
1

(56)

ReferencesCited

:7563-:!t$1.

'
((2f'Eltia:lcl)

Primary'
awznfrr- ltxse L.Couso
(74)Auorney Agent, or Ffrrl- -pillsbury W inthrop Sbaw
Pittman LLP

(57)

U.S.PATENT DOCUMENTS
4:4l,
366 A
6/1989 Kar
agi
rieta1.
5,
533,
051 A
7/1996 James
5.583,
562 A * 12./1996 BirchelaI..................725/151
5.586,280 A 17./1996 Simmselal.

5
.
8
05.
9
32A
5,
870.
()87 A

9
/1998 Kawasldma
2/1999 Cbau

5,:92,966 A

4/1999 Pde k

5,901:
246 A * 5/1999 HoA rgela1...........382/209
6.
011.901 A * 1/.
2(2
4:0 Kil
stea ......................3+ /123

ABSTRAG

Tbe Ivesent inventzon provides a distubutea surveillancc

Systeirltbatallowsforlhedigitalstorage ofdata aswtllms
lbe recognition of external pattcrns obtained in parallel
operations. Further digitaldata can tm Mored atdiFcrent
kv
elsofcompresx
lionpartd pattera rccognition achievexl
wbile the digitaldata isstillinftscompressed form
.
'
25 Claims 2 Drawing Sheets

'-

V
r

.
=

.-

m l
z-

ie

.w.- ..

*e
-

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 79 of 88

US 6,978,047 82
Page 2

FOREIGN PA-I'ENT DOCUMEN I'

S
wwo
o
WO

wwo
o 9&3
*/49699
5516
wfl(11/20489

9/
8)
8/1
2q9
(Kt
3/2001

OTHER PUBLICATIONS
Bsboul
yetal.
a*icomprossionofDiclionariesviaExterl
sieas

tnBrief:'
4compctitiveParatlelProctrx
singforCompreasion

otData'',NTISTechnNotcsx(May1990)>p.379.

Stiller E'FmimalingM otion in InlagtSequencesin Tutorial

Ot
zModel
ing arld Comjputalitm of2D slblionm,IEEE Sig.

Proc Mag.,164,(JuI.19X).pp.70-91.

Yokoyamap ,W ry Low l)il llale Viseo Coding Using

Arbitrarily Sttape.
d Region.lhsed Motion Compcnrs
atioo'',

loFroulCodirl
gs'*t>mputiag ar
zdIafozmatif3
u,1992,Prtv IEEE Traason Cirand SysforVideo Tech,5:6 (Dcc.2
ICCI92,4t
hInt'lContTorontoCanada,May28-30.1992). 1995),pp.500-507.
'
IEEE Conlput&)c.USxpp.361-364.
Chm.'
ilttzvic;
w ofBlock M alchng BaSOIIMotion Ilsli
m a-

chan olaJ. tfReview pf Block M atching Based Motion

Eslimat
iouAl
'goritbmsforVideoComprery
sioo:,''IEEE,vol.

lionAlgoritbmsforVdeoCompressi
on>'#El
ec.AndComp

jg(No.93)sp.pp.159-154,(scp.l4a1993).

Eng. 1993.Cauadian Conf- vancouver.BC, Sop.14-17p

1993,USA,IEEE.pp.15i-154.
Dufaux,'fMotioa EstimatiouTecbniquesfor Digital'
1-V:A

.<a progxss ija Motiotz F-stimalioo for

De
anre
a)
coaHa
sumo
'
Vtidc
o.'FormatConver
siorz''IEEE,vol.46 (No.

3$ P.pP.449-459.(Aug.2(Kk)).
Review andaNew Conlribution,.Proc.OfIEEE*83:6'(Jun. Dufauxe;
tal ug
dMotion Eslimation TecbuiquosforDigita1
199.
$,pp.858-875.
TV:A Revitw>&()d&New Controujj
ovjr,y''IEEE.vol.83(No.
.

Haan,d*progrerx
sinM otionRstimationfor('onsumc:
rVideo
Formal Convclsonn' IEEE Transaui
on on Coms. Elect.@

61. o.no.858-875.Oun.6.19951.
'i'tl*
K,,F-stimalin'ghMotio'
' ge Sequences,,
St
err.
n in lma
,,,IEEE,

46:3,(Aug.2(K*8,pp.449.
459.

vol 16
'(No.4),p.pp.70-91.(JuJ.1999).

Hslzxc.
Aut
cmatic syntllesisofCompressios Teclmiqucs for

Yokovamaetaf. =uverv Low sftRato udeo coding Using

HeterogencousPil
es''SoftwarcPrac.AndExp.'25:10'(Oct. Arbitr
+arilyShap>
edReg*i
on-basedMotionCompcnsationo,,
1995),p.1097-1116.
IEEE.vol..
%(No.6),p.pp.5f0-507,(Dec.21,1995).
InBricf:V1-,
51UuiversalNoisolerxsCodcrN'
rls TechNoles
(Mar.1990).p.234.
*ciledbytxaminer

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 80 of 88

U .S.Patent

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Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 81 of 88

U .S.Patent

oec.2e,zos

sheetzof2

tls 6,978,047 82

Modules210
.

localfrontend procerssing m odule210-1

localpattenlrecoo tionmodule210-2

network pattem recognition

module 210-12

localm ulti-pu sm odllle 210-3

1network m ulti-passmodule210-13

localencryption/decryption

network encryption/decryption

m odule 210..
4

rnetittlo 21+ 14

localIISe,rinterfac,
e module 210-5

network interfacem odule210-15

localpriority data storagem odule210-6

network prioritydatastorage
module 210-16

Figure 2

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 82 of 88

US 6,978,047 82

M ETHOD AND APPARATUS FOR STORING

DIGHAL VIDEO CON'
IY NT PROVIDED
FROM A PLUIG LITY ()F CAM ERAS

dcscriptionwhichfollows.wilhreferenccto!hedfawingsby
w&yofnon-limitingcxcrnplaryembodimentsof!hcprcscnt
invcnlion wherellikcrcfcrcncc numcralsrepresenlsizrllar
partsoftbe preseutinvention lbrougboutseveralviewsand
This applicatiou is acontinuation-in-parlof U.
S.appli- 5 wbereio:
cationScr.No.09/727096eutitlcd d
'MetbodAz)
dApparat
us
I'
RG.1 illustrat
es a block dlagram of tho digitalvideo
Fbr Etlcoding Information Using M ultiple Passcs And contcutstoEagesyslem accordillg to the;presenlioventi
on;
Decoding In A SinglePars''filed tm Nov.29.2CO0.
aud
I71G.2 illustratesa block diagram ofsoflware modules
HELD OF TI-IE INVENTION
lo tv d bydiFcrenlprocessorsaccordingto lheprescntinvcntion.

n epresentinventioo relatesa rnctbod andappararusfor

storing digitalvideo contentprovded froala plurality of
cameras.

DETAILED DESCRIPTION OF THE

PREFERRED EMBODIMENTS
1$

BACKGROUND OF TIIE RELATED AR'

F

'

n epresentinvention providesadistributr.dsuwcillance

syslem andmethodsofusin# tbesystem.Fealuresincluded

'

Suweillancecamerasareextremclywellknowrnand used are digitalst

orageofsurvezllauceinformation bolh visual
lo help detertheft crime and the like.
and audi
ble pattern rccognition ofexlernalpatternswithin
11i
salso wellknowntostore asasequenccofimagcson ca obtained strcamsofsurveillanc.
c informatioufrom diferenl
some typeofmedium theeventtllatthesurveillanc
.ecamcra sources distributiug externalpalterns lo vadous computer
is rmcording.Conventionally.such storage has been done locations wbore such external paltems can be use
.d for
using VCR'S and slorirl
g the images obtalcd from the ssarching, intcrpreting automalically pauernsofrepetitivo
cventona tape.Such astorage modium howover lastbe activily and generating reporfsthcrefrom dtstributing indidisadvantage ofrequiring lhe frequentremovalofand old zs vi
dualimagesthatareaulomaticallydetsrmined to contain
tape and iaserlion ofa new tapr ove.
ry few bours which
aparticularimageofintercst.cstablishing paltem rccogniw hrnfnanycamerasarebeing used isatim ecoasum ingand
lion rulr.s lo delectactivily ofintcrcst as wellas others
tedious process. Further disadvautages occ'
tlr sincc it is described berein.
difsculltoauthenticate1herecordingstoredoutbetape.Still
n cprcsei
nlinventi
on is implemente,
d using acombinafurtleq asaresultoftapesdegradingovertimepaswellas x tionofhardwarcandsoftwareelements. FIG.1illustratcsan
then typi
cally being playedback on aphyerdiFercntfrom
cxemplary syst
em 100 according to the.presentinvention,
tizat whicb rccorded tile tape tix resulting sequence of and variousddcrentdevioeslbatw111allow (orlhevarious
images may no!t
yeclcar.
pormuuti
onsdescribed bereiclo beunderstood although it
'
l'
lx storage of images obtained from such evel
zts in isundorstood thatthisexemplaly system 100shouldrl
otbc
digitalfonu hasalsobeencontemplatcd.In such a system. 35 construedaslimitingthepreseninvention.FIG.1illustratTs
imagesfrom thecventrecorded bytbecameraarc uverted
aplurality ofconventionalcameras 110-1 to 110-n analog
lo digltalform andhavebeen compressed icsomc mannor ordi
gital eachofwhicbisconnected to a oomputer120-1
such asusing 1hc known M PEG ronnat.To date howcver
to t2.m and preferably containssyslef
nsfordetectinglxlth
such syslems bave notproved fcasible for a varicly of images and sound. n e confleaioas between !he cameras
reasons. In siluatioas rcquiring many camerms silnulta- 4o 110 and l
he computers 120 can be many.being shown as
neously tbe bandwidt: required as a resultof allof the
bolh connoctcd inaono-lo-onccorrcspondence,aswellasa
camecasbeing use
.d hasprevontedstorageofimagesovera numberof tbe cameras 11; being connected to a singlc
periodoftime lhatislong enough and wilichhassuKc-ient computer120. Furthcr acom putcr120 isalsoshownasnot
resolutiontodecroasetbeoverallcostofinformationstorage beingcosnected to any cam ora.to illustratetbatdigiuldata
to am inttbatdigitalstorago is ecooomical.
4s slored in any digitalformalcan bcofh
crale,
d upon by the
0% conventionallpproach to t
IIkS probltm s to begin presentinvention sucb asbeing storedon acomputec
recording whonmovementofm aletnw isdotocted so that
n ecomputels 120 are eac.
bprefcrably coupled using a
othenviso stillimagex
sare notcontinuously recorded l
hus network l50 ofsometypc. such astheIntcm etoraprivate
reducingtlx storageroquircmentsneccssaryfotoperationof aotwotk lo acentralserver13e. F-achoftil
ccomputels H0
tbt system.Usage ofsuctleventinitialion indicatorsinthis 50 acd lhe cameras 110 col
m ecle.d lhereto can be in any
manuer iatroduc,e problems of tlzcir own,such as for aumber of disparate locations.W hile tbe computcr 120
en mpl
e,notbaving acontinuousrccord.
conncctcd to acamcra11B arepreferablywithinorcl
oseto
Animprovt;
surveillauce system istbus desirablc.
tbe same building in order to miaimb.
e tlm dksiaxce tbat
signalsfrom tbecamera l10 mtu
sltrwelunliltheyreach the
SUM MAIW OF THE INVENTION
55 computer12: lbccamerascan beon difercntfloorsofthe
samebuil
ding.and the computers120 canbewitbin cliFerTbepresentiuvention provides adistnbutedsurveillance entbuildings. And while tlw systcm is illustrated forconsyslcm l
halallowsforthe digitalstorage ofdata aswellas venienec herein&shaving asirl
glecentralserver130 itwill
ttm recognition of oxtr'
nal pm erns oblaincd in parallcl beappredatod thatanyoralloftbecomputcrs120 could bc
operalions.Furlher digitaldata can be stofed atdiFcrcnt 60 configured to aclastbc centralserverdescn'bed bercin.11
levels of compressi
on and pattem recognition acllieved should bc understood however tbatitis advantageous to
while tll
e dgitaldataisstillirlitscompresse,
d fonn.
bavethecentralserver130 asalocation thatisremotefrom
tlw location wheretl
zcsurveillanclisbcingperformexl,and
BRIEF DFSCRIPTION OF TI!E DRAW INGS
evcn mote preferable to have thatremotc location bc in a
65 physicallyseparalebuilding.In lypicaloperalion,aparticu-

n eaboveandotherobjects feat
ures andadvantagesof

thc prescrltinvenlion are furtherdescribed in the dctailed

larcompanymayhaveil
sownserverl30 and ifdesired

cach of diffcrcntservel
s 130 can be connected together

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 83 of 88

US 6,978,047 82
3
through the nctwork 15(jto permitsharirlg ofcerlairldata
thercbelween.ln tbe disc-urxsion tllalfollows bowever tbe
syslt;m 1* will be described with refeIellce lo a singlc
server13t) whicbcan scrverarnul
titudeofdifferentcompanies.to illustralc the mostflexible aspccl
s ofthesystem 5

l00doscribed hcrcin.

Fartbertl
aore as illustrated &variety ofotbercotnputers
140-1 lo 140-a each conlaining a monitol142 arc also

4
Iocalmulli-passmodule 210-3.
localcncryption/decryptionm odulc 210-4'
localuserinterface mcdule210-5'and
localprfority dalastorage module210-6.
Mocl
ules 2l0 that are;typically coutained wirbin and

operateinconjunctionwiththc.scrvcrl30 arc:

network pattcra recogailion module 21th-12 which as

described hcreinafter allows fort>otl
zinterualpatteru

illurzratedasbeingcou/edtothesen'
er13;tbrough!he

rccognition and externalpattern focoguitionpand

decryptecl&nddccodedforsubJ'
*9uentusage'suchasbcing

efation,andrem titiveactioupatterrtanalysisandasso-

a DSP in coujtmclion witlzprogram iustructiors lbatare

typicallyassociatedwithasiuglecompany.willkeeptrack

nelwork 150. Data reccivcd by computcrs l40 can be :0

includesnctworkpriodty information evcntalcrtgen-

percrived visibly using mom lor l42 and audibly using

ciated i'
cportgeneration asdescribed bereinafler;
speaker144 sbown.
network multi-parssmodulo210-13.
'
n is particular exemplary systcrn 1* thus allows the
network encryplion/decryption modulo 210-14'
cameras110 loprovidealI
eastimages,andsound ifdesire.d ls network int
efface module210-15;and
whichcanbocnccded and st
orcd lbrsurveillancepurjyoses.
network priodty datastoragt module210-16.
Tbisdatacaubestored indigilalform on acomputer120 or
Each of th: modules dmscri
bed above willbo further
a cotnputer 130 as descrilxd furtberbereinafter.Furlher
discurx
sedsoti
latopcratiouofthesystem l.
Y isunclerpatternswitbin imge.
sorsoundoblaiued from cameras110
Mx d.
that mpareto extemalpattemscanalsoIx recognizr.d as 20 Local froat end prcxxssing module 210-1 Iocaluser
willbc describe,d hm herl
zeroin,usingcithertlw computer intcrfacemodule210-5.aud oetworkiulorfacc module210120provided witbtbc;imagedata from tbccamcra1t0 tho 1.
5
server130 orlxlth.
n e localfroatc:
xlprocerxsing module z1(>1 localuser
Transm i
ssion ofdalalxl
w eeneacb compulerl20or140
interfacemodule210-5.and network interfacemodule210and srvcr 1.
3: Ls also prefcrably oncrypttd,as describod 25 15willsrstt
)cdcscril
x d.Asdcxribod gencrallyabovo,1hc
furthcrbcrcinaflcr.Fordata traasuTitted to computcrs 12@
sunreillancesyslem ltjtlaccordirlg to tho prcsentinvcntion
140orserver130 thedataisdecrypted inordcrto operate allowsforrocording devioes,typically camcras 110 to be
on it.
placed atvaliouslocationsassociatcd with abuilding,and '
W hile the above nclwork is provide
.d to illustratc one al
lows for buildings at disparale locatioas to be sca od.
manx r in whicb lbe advantagcs oftlx plcsoulinvcntion 30 Accordingly in tije prefcrre.d ombodim ent oach building
described hcrein can be used this is exemplary. For w111oontaiu atl
eastone localcomputer120 altil
ough the
exampl
e,eacbofthedifea ntcomputers 120,13@and 140 nttmberofI
ocalooputersIltededwillvarydtpcndi
ngupon
could lx implcmentod as a singlc computer and devices the amountof processing powe:
r dea
sirod relative lo thc
otbertlzan com puterstlzatcoatainprocxssorsthatareablcto
numberofrecording devices and otbcrprx essing operaimplemtnl the invontioas dcscribed beroin can be uxd 35 tionsll
zaltakoplaceattbeIocation itxlf.Intbisregard,the
inslead.M any otber variants afe possible.Arld while a localuserinterface module21:-5 isuse.d toselupandkeop
devicesuchasmentionedwillt
ypicallyincludeaprocessor t
rack ofcomwctionsbetwoen camerastha!are includrd on
ofsonm type.such asanIntelPcnlium 4m icroprocmssoror the local system .Tbus a single local inlerface m odule

written basr.
d um ntbeteachingshcrein olhcrhardwarethat 40 of company inform aliou camcra infonnation and user
implementsti
lepreseutitlventioucan l
so bctwe,d sucb as informaliou.
an lieldprogrammable gat
e array.n e prograln iustrucl
ions
Company information lracked willtypically include tht
are preferably written in C++ or sorne other compuler companyname,and theaddressinformalionforeachbuild.
programming languagc.Forrolxtitivcroutincsthatarcuscd
ing ofwhichsunxillanco Lsroquired.
rqyeatexlly. lhesc can lx writlcu izl wsembler for faster 45 Camerainfonnation thatLsassodated witb a particular
processing.
building,includcs tbe mode.loftl
ze camera acamera priFIG.1,illustraled and tlescribodpreviously.describesthe ority,acamera identitierthatcatlbeuw dbyboth tbolocal
hardwareelccnentsofthesurveillanccsystem 1(m according system aswcllmsthc network systom the local
ion oftlm
to tl
x presenlinvration.n epresenlitwentionalso includes camera,wbichcan include notonlyalocatiou tbatitviews,
softwart 2% thatLsresidtntou eacb ofttl
e computers120 50 bulrtfereuce to a particular activity,sucb as a particular
'

and140'aswellastl
x selver130'loProvideforthevariety

of fl
znctions described berein.ltm IIbo appceciatc thal

gamiag tabl number in an embodimcntforusage ata

casino agamingtym identificriftbecamora isuwd fora

variousmodales210 ofthe xftsvlrc 200 are resideuton

dilfercn!computers,tbcreby allowing fortbe functioasas

gamingtable.anoperationstattusidontiEer(functioningor
out-of-servicosandacamerapurmseidentiGcrwl
liclcan
de
mscdbed horein to be achieveed.
s5 bc forexamplein tlm contextofusagoatacmsino whetber
0nc aspectofreftwarc 200 ks tbattbe modules arc thecameraisusedforgarningornon-gamngpt
zrposes.How
.

preftrably comprised osfunclionalilics tbatallow intcrop- these yre ur.

ed willbefurtherdescrbed hereinaher.
erabilil
y therebetween as discussed horeinafttr.n atthis
Ur
yeriuformalion identihes users who can acc:rp
s the.
interoperability is porsible wil I
xcomc appareutin te systcm, and thr dcgrce of accer.
s thattbcy have to the
discwssieotbatfollows.In thisregard,asshown by FIG.2 60 system.Cortainuserswillbavevicw accessonly,whichmay
modulr.
s210 thatarelypicailycontainedwlhiuaud operale beofonly certain vicws orallviews,whileotllcruscrswill

in coujunetionwitNthecomputers120are:

haveaccersstomAkechanges,run roporls,and thelike as

localfronlend processing module 210-1.

dcscri
bed furtherberein.
Iocal patlern recognition module 210-2 which as
W itbrespec'
tto tlm sel-upofeach camera l
ti
cindividual
descdbed hereaafler allovzs forbolh internalpattern 6s cauaera110notonly needsto beset-up and connect
ed vdtb
recognilion and external pattcrn recogniti
on as lhesystem ttsing Ibelocaluserinlerfaccmcdule210-5 bul
descritmd bereinafter'
al
so needs to br conllgurcd lo opcrate properly.ln this

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 84 of 88

US 6,978,047 t32

regard. the local frol

zt eod processing alodule 210-1 is

Dilfercncesbel
w een lheIocaIpaltem re gnitionmodul
e

prefecablytlse.
dtoproperlycoafigurelllecameralooperaie

210-2and theftetworkpatterurccoynit
onmodule210-12

St
orago Minimization Source Nokse f'
a
orreclion And

Appyratus For Determirdng Palterns Wi

lllin Adjacrnt

Source W y
ermarkng OfDigilalData Fralnes'',wl
zich ls

BlocksOfData''refertuce above,tbe network pattorn rcc-

s effeclively as ilcan.Coatiguri
ng the individualcatncfa
1l0 using tl
aelocaluserfnlerface module 210-5 i
sdescribcd
inU.
S.palentapplicationSer.No.09/991528hledNov.21 5
2001ontirle.d''MetbodAndSyst
cm ForSizeAdaptationAntl

cxisl.Onc significantdiffercnce typltlaily,istl

aatwhilethe;
localpattern recogniti
on module 210-2 typically operltes
ulx)tluncompresseddataasdexiribed inU.S.applicatonStr.
No.09/999.
776 filedon Oct.31pzoolentitlld 'dMetbtxlAnd

arxsigne.tlto the sam caxsigneeaste.prescolinvcntiou thc

ognitiou m odule210-12 w illoperale upon data in acom contents ofw bich are hcreby expressly incorporated by 10 prerxsed fonn
referonoe l
w reirt.
Specically ttk
enetworkpatler!lrecogniliou module210'n e localuseriuterface module21e-s isalso coafiuured 12 can operate upon data tbatIlas be-en coqsistently comto transmiitlw inforrnationrelatineto tbeiocalsvstem tothc pressed.ComprerxsionLsproferabiyaclliovedusinetbotects
ood lhattbe niquesdescri
bed inapplicatonser.No.09/727096 entitle,d
network intocface modulc 21m1s-. ltis underst-

ndworkinlerfaccmodule210-15O IIprcferablycontaiulhc 15 idhfel

thodAnd Appan tus ForEnccding Iaformation Using
samo informaliorias exisls wi
ll
resm ct to each ditlkrent M ultiple ParxsesAnd Decoding In A Single Pasr Iile.
d on
localuserinterfaee module 210-5.In addilion since tbe NE'V'
.29,2tXX).Inthiscomplrssionscheme.asnoted ilzthe
notworkinterfacemodulo21()-1srecoive.
sinrorm'ation&om
se
-ction belom recordoddatacanbosubjeztcd tomultiple
amultitudoofdiirerentcomputers120 tlx uetworkinzrface PasK/to achieve ftrthercompression.
tnodule 210-1.
5 wllalso include netw
'ork rehted foatltrosp 20 Botb tl
ze localpattern recognition uaodule210-2 and tlze
suchasuctworkcstablishmentofnetworkextcrnalpaltcms M tworkIlatternrocognitioumoduio21.0-:
12 alsoprovidofor
desircd forpattern rccognition as described f'
urtll
er'beroin- tbe recognilion ofcxternalpatt
ef
us within imagos thatate
networkcamerapri
oriw rules aelwork back-upprocedures exlernally generated.so thal exteraal pxtteras caa be

' n e m anne!in w luch lhese' dete-cted irrespective ofw bicb am ountofcom pression is
and network c'eporlgeneralion
.
variouslocaland nctwork fcatures areimpleamntedwillbe 25 uscd,asnoted in furtberdctailbclow 11x cxtcrnalpateras
descn-bed bcreinaftesbulitwillbeuntlerslood thattheI
ocal arestorea ateachoftbediFerentlevelsofcompressiontbal
user interface module 2l()-s and lhe uelwork iluerface
exist.

module210-15logetherallow foraccerxstolherewll
softhe

'
R e DltWofk intedacr module 210-15 i!zconjunction

inlerfacemodulozlos and network interface modulez1*1s. as m entioncd abovc Ilw localttser interface raodulc

particxlaryancxtcroalpatternwillrepresentanobjecqwbich
objectcouldbetbefaceofapelson,aparticulararticlesuch

operatio.sperformcd by tl
w otl
w rmodulcs21(jdcscribcd witb tlle localpattcrn rocognition module 2le-z anu tho
hereinaftcr.
30 notwork pattcm recognilion Incxlule 21e-12 is uscd t
o
witlzrespoctto localand nctwork camera priorily rules identify andkecp track oxtorm lpattemsdesired forpattera
tlza1 are for convel
uence discwsscd witla tl
ae local uw r feco:nition and tlze priodty of tizat external pattem.In
-

21t>s wben selting up acam ora willestablish apro rilv ot'35 ls a purse, carcl. a veMcle or a vehicle license platc.
.
tbatcamora'wbichpriorityschem'ocantakemanydif/rent Whatevertlw objoct.tlx presentinventiouwillstoroa

founs ono being&0--10 priority,witll0 beinglileuigilest repfesentatiouofthatobjectandcompareusetbatreprssen-

.
iority al'd 10 being thelowostpriority. lnadclition to the Qtion to compare witb patternsthatarewithin tbc image
pIorc
alpriority setling tberemaybcanothertletwork priorty mo fdt'
d'
setting tlztl
4.
7 A lmitilzg fact
ocilajlm atlilifyoftlm syslecu 1* !etrack
s
e
a
s
u
r
i
n
g
l
l
a
a
t
c
e
r
ui
n
l
y
pe
s
o
r
da
t
a
a
r
e
t
r
a
r
z
s
mittod,from tbe compuler lze o tbo server 130.n us e
x
t
e
r
n
a
l
p
a
t
t
ems
Lsl
ttatthesystom 1.
(m isakeady obtainittg
d
notwork cameraprioritysettingsalsoexistw hichcausethe
atafrom variouscamoras11e and compressing tlaa:data as
deK ribed above.In orderto perform Lhattask alone.subnttw ork interfacem odule 2le-ls to initiate'lransfersofdata
from certain cam eras 11(pa:a M gllor priority than otber StanlialProctssfag Powor is roquirod,k aving only somo
camcras11(j.
.
4s pcrcentage.basc,
d upon tle computing poweravailable' to

trackext
ermlpattel
usofobjects.n us tlx networkinter-

LocalPaltern Recognition M odule 210-2 aod

N etwork Pattem RccogniliouM cdule210-1.2

facemocl
ule210-15 w111keep track oftbepriority ofeacb
e
xternalpattrrn thatwillbe searcbed forbased upon the
inpulfrom oacb cacx ra 110.Ccrtain ofthelligbcstpriority
50 cxternalpaltcrns are distribule.
d to computcrs 120 in x)
n c localpattcrn recognitionrmxlulo210.
2 and oetwork uctcom pressed form .Izsing a sllmcientuumberofpoints.
patttrn rccognition module 210-12 each provide for the suc1) as zs. that allows for suciently aocurate pattern

c
pabilitytorecognizepatterrlswit
hindata.Typically,tbat detectioninveclorform using(x, )oTsetsasiskxwuy for
d
ataiucludosimagtdatatlatisformattod in frames.Paltenzs P3ttem xcoptioa lhattake.splacy
eusing ax lherproczssor
.

rocognizcd include patlel'

ns within lhe dala as wcll as ss tlpead fortbcp
ofsearching forapatti
cularpattern,
extornalpatteras that are ext
em ally genecated and being
as(jescnw .djnu.s.applcationSer.No. /999776l
iled on
soarche.
d forwfttjinthcdata,asdescribeclfurtberhoreinaftcr. oct 31 Amlentitle.d 'MeI:CKIAnd Apparattus'ForDctcr-

80th tle localpattern recogrtition module 210-2 and

miningPatternsWithinAdjacenlBlocksOfData''referoncc

networkpatternrecognitionmoduit21:-12canttseAvarirty above. Lowerpriority zxternalpztterns arcretaincd on thr

ofpttem xcognitforltec% iquess bulprefelablym% patern 60 server130 in comprcrxssdfonn,and are searched (orwithin
recogniliontecbniquesasdescribed in U.S.applicatioaNo- thcrsel
-verIM in11
x.manoerdiscussed abovc.
09/999.776entitled d'Metbod AndApparamsForDctenninSincc lhe computers 120 re typically operting upon

ingPallcrnsWithinAdjaccnlBlocl
tsOfDatax''fkledonOct. real-timc ifnagesthalarereccived,itisap areutthatthe
31,2* 1.which Lsar
xsignr.d lo lhe same axsignee asthc external?atteraslocatedbycompulem 120wtllbeoblaiue,
d

presentinventon*can beused lo perform patteru recogni- t

;s more qulckly lban externalpatl
ems found by server130,
lion and compreasion aud !he contents of which are whichexter'
nalpatca sneedno!besearchedforinreallime.
exprcrx
sly incorporaled by refercnce herein.
If howeverlhecompulcr120cannotcompletcitsscarchfor

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 85 of 88

>e

'-

U S 6,978,047 1)2
7
cxqerl
zalpalternspitwillsonollfyserver130 whi
cbwilllben
prcferably scafch for all desired exlernal patterns and
assumc thallho com puter120 did nolfilld any.
O
m rations using pattem detectien, wholher usirl
g lbc
pattem dctection techtii
ques descnbed in U.S.application 5
Sor.No.09/999,
776fkled on Ocl. 31,zY ienliliediMelbcxl

AndApparatusForDetermiung PatlerosWithinAdjacent
Blocl
r
s Of Datan referenccd above orolbe:
rconvenlional

8
recorded aloncof1 2 5 10 15or20passes,tbcncxlcrnal
patternsI'
nuslbeoblai> d foreach of1 2 5 10 15 and 20
paascss,otkattNeappropriatelycom pttrsse.d extoctxalpzttckpn
can bcused during comparison operalionsdepending upon
!becom press-ion ofllm imagtl
.
lwocalEnctyptionm ecryptlon Module 210-4 aud
Nel
work Encryplionm cccyptionModule 210-14

techniquesarefurtlxrdescribodinotherapplicalions.Theso
applicationsincludcU .S.patentapplicalioaScr. No.09/990 1f) The Ioc:lencryption/dGcryptit
m module 210.
4 and net86
c)dAudAppaatusFor work tk
acrypti
cju/decryptlon Inodvtle 2,18-14 tac.tkpotfol'm
D 8EledNov.12 2()0teatitled'iMettk
etettiugAndReactingTo OccurrenceOfAnEvenr U.s. lbc same functioarr- cocrypting and traastnilling data lo a
paterltapplication Str.No. 09/991490 led Nov.2.1 2001 stmrce d>lination, and receiving and decrypl
ing data that
onti
tieddisp tem And Method ForGoncratingAlen Condibasbecn'
previ
ouslyencrypted art
d transmitted.W llik mauy
tiors InA Surv:illaoceSystem''and U.S.pafentapplicaton 15 encryplion/decryptionterhniquesexisqoneteclmiquothatis
Se
No.09/991,
.
531 filed Nov. 21 2001 entitled ''Dala advantagcously implemel
zlcd isdescribed in U .S.applicaG ar.
tberirl
g ForGames OfG tance'' each oftbese Applicalitm Ser.No.09/823278 enlitled GM ethod And Apparalus
lfocs l
x ing assignexlto thc samc wsignee as thc prescnt For Streamiag Data Using Rolating Cryplograpbic Kcys''
iavtntioa,axxd tbe conteuts of ecb of ther.
e applictjoo filedonV ar.29 2 1 and assigned totbesarncwsigncc aas
being expressly incoqmraled by referenc.e lwrcin.Iaclaof 2(1 lhe Ilresentinvenli
ort tbe content
s ofwhiclzare expressly
thepatt
cm recognitionopcralonsdescribed ilztheseappliincorporate:
d by refereucchcrein.
calious can txiimplomeuted by the system 100 dcscribcd
herein ifdesired.
I-ocalPriority DalaStoragc Modulc 210-6 al
ad
1..
Nctwork Priority DalaStorageModule 210-16
oclM uMlti-par
xsM odtile210-3 and Network
2.5
ulti-passM odule210-13
'
l'
11elocaipriorilydau sloragemodult210-6 and nctwork
priork
tydatastorage module210-16ketp track of
hcdata
'Ihe localmulti-pa> modulc 210-3 and notwork multi- stored otleach of 1be computers 120 aud servtr 130
p
fassmodule210-1.3 operatetoprovidefmlhercompression res& ctivcly. 3Yest prioritydatastoragemodulc.
saredillkratobtaioed by tlac Iocalpattcm rccogniti
ou modulo 30 cntthandatabackup andarx
2r
1om
0-2lh
s
u
me
a
wo
l
s
t
.
c
a
s
e
s
c
t
d nelwork patlernrecognition Inodule210-12.n at no data backup bas occurred. Ia crxsence botbeu1ha0riololha
furthcran
c
a
l
comprersion ispreferably actlitve.d usittg tt
mt
och- priori
ty dztwstoragemodle2t0-6 andnetwork prioritydata
niqumsdmscribedinapplicationSer. No.09/727096entitled st
orage mcdule 218-16 opcrale in thc same manner .- --lo
E'M etbcd Aad Apparal
us ForEnc ing Iuformat
ion Using keep thatdalawhich is mostimportant. Spccics oa how
M ultiple PaasesAnd Decoding Inod
A Single Pass'hled on 3s dala is dizercntiale.
Nov.29xzo and assigned lo t
d and thcse modules operato are
l
l
c same arxsignto as the describedinU.S.appl
icati
onScr.No.09/991487filedNov.
pmsentinvention.lbecontentsofwh
icharcexpcessly incor- 21, 2.a)I entitlod <'System And Me
thod For M aaagiug
poraled by refcrcnce berein or otbcr encoding/dccoding MemoryInA SurveillanceSyslom''andwhicb isassigt
ze,dto
proc
s
llm same assiguce astblpresel
atinvcntion tlm contcntsof
Wels
ti
te
es.
m'
tcikof tbe,tocalmultipass module 21:.:
5 and 40 whicb M'
v txpresslyincoporaletlby rderencehcrein
network multi-pass module 210-13 can l
Jo contigured to
Also, each localuscrinterfaccmodele210-5 can op.eratc
o
Rperate in tbe same manuer lypically thatLquotllxecase.
ifnotconnected to the network with the residentsoflware
zthet typically, !he Iocal mulli-pass rnodule 210-3 is ccmtinuingto perform thefunctionsllafttypicallywouldin
coutf
cltoIvrform someprodctcnnjncdnumY rofpasxs conjunction witb it associatod computer 12th. The data
on
li
zg
our
dacl
athatitreccvesinorderl
o partiallycompmsstl
xat *s saved stt
ould pci
oritiiag be cecrssat'
data lxf
y,willbe in accm ore its transrnilted by the oompu/r 120 to l
he daace witb the patentza
plication referred to in the immeserver13(pforfurtheroperatiom ,includingfurlbercomprcs- di:tely zbovcparagraphp
.
sionopeationsptrfonned by $be nctxvork multi-pass modu1e21* 13usingfurtherpassestofurthercomprv tbedata.
I
OtbcrEuvironmcnts
rllkfsregardy itispreferable tbalewh of tbe localmulti- 50
pa modu1e,s2113 usingthes:meuumberofpasr
esandtbe
'
Ixe sufvtillance syslem as described herein describos
same compceu ion routine,s so tbalthcdalarr-ceivcd bythe security in lbc contrxlofacasiuo wbicb iacludesgaming
serveraad furthcropcrated upon using tl
w uuwork multitablqs vaultaveas and otbercomm on areas requiriog stup
a
mod
ul
e
21
0
1
3
i
s
a
l
r
e
a
dy
c
o
u
s
i
s
zn
tly compreased velhnce. Itw111l
b
x understood however lhattbe presenl
elwezea the various sources from wllich itreceivos data. 55 invention canlx implemented inanyeuvironmentreqttiring
R7aus,asksapparcnlstl
w nctwork multi- ar
xsmodule21:-13 recurity, including Enancialinstitutionsylargc commcrcial
willpreforably contain additionalmultl-passcompressiou buil
dings,jewelrystorms.airpofts,andlhelike.
r
inef
sImlfouudinthelocalmulti-passmodules211.3 thal
la cenaia buildings. airports aad tbe lila ttmre catkbo
aolut
low
orfurtberpasscsto occttr. Typfcallyy pmsses 1 and 2 var
ousleve;
lsofsecuritycstablishedalvariouslocatious.At
ar= performed by tbecomputer12(j wlwreasfurtherpaases 6a anai
irporl,forinstauc.
c lheiaitialgateent:y areareprexats
are ptdorme.
d by the seray t5B. Furtber,since tlm more one levelof seculily
he actual gate can rrpreseut
. and t
cempressiourequested tbegreatertheI
m mberofpar es and another l
6velof sccurity. In # casi
also Ih: slower the systom, data cau be save.dxswi
o,jewelry storcsor
h a fiuarlcialiastitutiom ancntryonecnn
user-specilied arnounlofcomprcasion. Sinccimagesmal
r
rm
en!oncleve;lof
ybe sccurity and avaultwitlin representae
np
ot
hs
recv ded aldiFerentl
orlevclofsecuevelsofcompression fareachdiler- 65 rity. Comparisonsofimages from tlmsc rel
ated areas and
enlcompfeex
si
oo levelllwremustbqatlassociatr.dcompres- geoeratingakrtsand olherinfounatioubaselltlereu
sion ofa1lof l1)c;external pattenls. n us if imagcs are ftzrther doscribcd lz thc applications cntitl
pon.as
e.
d U.
S.patent

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 86 of 88

US 6,978,047 82
9

10

applicationSer.No.09/990868filed Nov.21 2(K)1 entitled cxtenalpaltcrn.which iuitiallycomprei

ssedexzmalpatterrl
diNfelhod And Apparatus For Delecling Afld Reacliog To corrtsponcl
s to tlm atleastonoextemalpatlorn uscd in the
Occurrcsce OfA.
nEveal''U.s.palcnlappl.
i
caticm Srr.No. slop ofcomprerilng.
09/991,490 Ie,
II Nov. 21, 2(X)1 eotitled 'dsyslern And
5.n emethod according t
o claim 1 wherci
n thcstep of
Method ForGeneralingAlertConditiorls luA Suweillance 5 ft
lrlher compressing and performing pattera recognilion
Syslem'',and U.S.pat
entapplication Ser.No.09/991,
53l Performs pattcrn rec-ogaitioa on the initially comprcRscd
l
il
ed Nov.21 2001entitled<KDataGalhering ForGat
nosOf stream ofdigitalimage data with lbe iaitially comprerx
se.
d
Chance'',refercnced above? can be ustd in thcse enviroa- extcrnalpattorn,which initallycompresxd oxtcrnalpattcrn
menf
s.Cortafn characredstlcsofeach environlrmntcarlbt
l wi
lichdoesno(corresm ndto theatlcastoneexlemalpalt
ern

used in fnakiag comparisons.Forexample in ajewclry 10 uscdiatbestepofcorapressing.

store,comparisons cao lx made betweell a mask of an
unbrokenglassdisplaycase sucb thatifthecasebreaks an
alertcan be sounded.

tk. x e trlethod according to claim 1 wherein tlle step of

f.u ther compressirlg aud pedbrming patttrn recognition
performs pattem recognition on tjle iaitally compreswd
'
stream of cligitalimagc data witlxa plurality of isitially
Adaputou form relessEnvfronment
hs compreswd extetnalpaterus.
7.'
rlle method accordiog to claim 1 wheroin thestep of
'
t'
lm presentinveutioncanalsobeadaptetlforsurveillance compressingand performing patteru recogaition operate on
in euvironments wbere a wired connectlou bctwcon the real-time irnagcsthatform fhe stream ofdigitalimagedata.
compuzr
tha
euse
cn
wer
si
e,esu
cahas
ami
son
I 120
Inasn
ud
ch
viro1
t30
unci
nslno
tblepos
ava
ib
lal
bl
tr
s- co 8''IXC Enctbod according to claim 7 wherein tbe sttpof
ai
uaib
rp
a
x
.
,
a
n
d
wi
d
t
b
bc
c
o
me
s
e
ve
r
l
r
n
o
r
e
of
a
l
i
mi
t
i
n
g
f
a
c
t
o
r
I
ha
n Compressing aud pcrformir
lg pattcrn rocogrliti
orlpcrforms
s on
in wired network.Aecordingly,insuch an onvironmenl PMtCI'
EIre rlitionC'nthestream ofdigitalimagedatatlsing
a

thocomputcr120willtypicallybelimitr.
d topedbrming the a.
n tlno mpfmsred rxtrnalpaltern.
compression operations destxibed above and wixl
orssly
9.-1YO Inethod accordingtodaim 8 wbcrein theuncomtraasmitting lim compressed information,and paltern rec- :5 Prerxc
,
od extcm alpattem used iu the step ofcomprmssiug
ognition and otlkeroperationswilllakeplace atstrver13(j
wbich Lsadapled to receive tllowirclr-ssly transmitted dat
a.
Ibe cmbodimentsdescribed above have bcen presenled

containsatleau 25 refereoce points.

10.n e mcthod accordi
ng to claim 7wberein tbe sttp of
f'
unbtr compressing and performing patter.
n recognition

forpurposesofexplanation only,&nd tbe preseatinventioa ptrforms pallcm recognition on the initizlly compressed
sl
zoul
d uotbo construed to beso limited.variatiouson the 3a stroam ofdigiulimagc data with tl
ae initially comprer
xse-d
prsenlinvcntion willbecome rcadily apparentto tbose externalpattcro.whichinitiallycocupressedoxtcrnalpattern
skillr.
d in l
he art afler reacling tbks descriplions and tbe correspcmdsto tbe atIeastoncexternalpattem mssd in thc
presenl invention and appended claims are inteoded to step ofcompressing.
encompasssucb variatious aswell.
1.
1'
n)e metbod according to claim 7whcrcin the step of
Iclaim:
3s furtber compressing and performing patleru re gnilion

1.A mctbod ofproviding fordkitlldatastorage ofa

performspattern rccogoition on thc initially comprtssed

stream ofimago dataaudpattcm recognitionofatleas!ono strcam ofdigitalirnagc data witb tbc initially oompressed
cxtcrlzalpatlem acdan itlflfallycor
zlpressedexl
ernalpatlesfl cxlerrlalpattern,wllichfnitiallycomgresscd exterualpatt
rrn
on theslream ofimage datacomprising tllestepsof:
dx sr
lotcormspond to tbeallcastonooxtefnalpattcrntusod
comprerx
sing astrearn ofdigitalimagp datausing atleast 4() in thestcp ofcompreuing.

aIirstthroadtoobtainaninitiailIcomprosse.
dstrcam of

12.'f'
j
)cmethod accordiugloclaim 7whereiuthestepof

digitalimage dataand perfocalmg patt

era rocogai
tion
using the alleastoci
e exlenlalpaltern and atlcasla

fuFther compreasing and porfocming pallern recogrtition

Performs paltern recognftion on tlze initially compresse.
d

second(hreadtoauem?ttocecognfzomatchesptljefirst

slzoaru ofdigitalimage datawith a pluralily ofinitially

2.'
Ilm metlxxlaccordin# toclaim 1wberel
m thestepof

wbereintbestepoffunhercomprerssingandperforming

compressing and performmg patternrecogx tionptrforms

pattorn rocognition upon rocciplof1bonotication.

and sccond thmadsbelngprocesse.

d using aprocessing 4s compjvcswdoxlernalpAtterns.
system;
13. '
rlx metbod according loclaim 7 wherein:
trzn
ismiuing tile initially compfessed stream ofdigiul
tbestepofcompressing and performingpattern recogaimagedatato atjotlxr?rocrssingsystem;and
tion podbrmspattcrn rccognition on tlze stream of
furthercompressing the ,nitially compressed stream of
ai
digitalimagedatausinga.tleastatlurd tbread loobtain s:
gitalimagoJalawilhayuralilyofoxtorwlpatlcnzs.
afurtbercompror
swdstream ofdigitalimage dau and
14.Tbe metbod accordiugto chim 13wberoin Il!estep of
erforming pattof.
o re-cognilio!z of the al least one C'
Onpressing and pedbrtning patteru recognition furtlwr
P
l attern using atloasta fourtb lllrcad arxlthe ilmludes tbe stepofproviding anoticatiooto tlze anotbur
oxl
er
na
p
initiallycompresxd exlcrnalpattern to auemptto rec- Pfocessing system iftbe MeP ofpelforming pattern recogize matcbesvlim tbird and fourt: threads bcing s5 ntion for all tbe pluralily of exleaalpatlerns w.s not
ogn
proceswd using the anotbe;
rproccssing syst
em.
complttcd;and
pm ornrecognitiooonthestream ()fdigitalimagedatausing
an uncompressed ext
em alpatt
ern.
60
3.n e methodaccording lo clai!zl2 wllereio lbeuseom.

Performs pattem recognition oa tlm initially compressr.

d strelm ofdigitalimagedatawitlztbepl
urality
Ofxteroalpatterus.

prersed extcrnal pattem msed in thc step of compfessing

15.The method according to chim 14 wberein tlze step
conlairss atleast25 reterencc points.
compressing and pedonuing pattcrn recogrlitioo is Ixr4.'
l'lw metbod according toclaim 1wherciu lhc slep of formed bya plurality ofclifferentprocessing systrms,each
further comprersing and performing pattem recognition 65 processing syslem operating upon a ditfereut stream of
performs pxtena recognition on l
be initially compressed image data,to obtain a plurality ofstreams of inhially
stroam ofdfgtalimage dafa witllthe uflially comprcrxscd

compressed im age data.

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 87 of 88

US 6,978,047 82
11

12

16.'
lhcmethodaccordingtoclaim 15whereiuliestep of streamsoginitiallycompressed Ifuagedatawilhtbe initially
furthtccomprcssing and pcrforming operatesupon each of comprcrxxd exterualpaltcrns wbich initlally compresscd
thepluralityofsfrcamsoffaitiallycompresscd imagcdata. externalpafteroseach corresponds to ont
zof the cxf
rg
ual
17 'lhemethod accoidingtoclaim 16wllereatbestep of palternsused intbeslep ofcoulprmssing.
furlhcr compressiag aud pcrforming furthcr compresv s 5 22.'
Themclhod accordiagtoclakn15 whereinllm Mopof
oach of ttlc plurality of sreams of initially comprcssed furthcr comprerxsing and petforming pattcra recegnition
imagc dala.
performs patlern recognition on eacb of the pluralfly of
18.'
TheInelbodaccordingloclaim 16whereintbestepof streamsofinitiallycompressed imagedalawitlztheinitially
fllrl
her compressing and performiug perfolms palteru rec- compressed externalpalterns which iaitially compressed
ogniti
oa oa each of lhc.plurality ofstrcams or intially 10 rxlrrnalpatlerasdo nolcorrrsm pd lo lhc rxlemalpatlcrzks
comprcaRd imagedatausing theiniliallycompressedexten
used in thc step ofcompressing.
ualpattern.
23.'
I1lemethodaccording to claim 1wbereinthestep of
1#.n emelbodaccordingtoclaim 15whcrein tlw stepof compressing and pattem reeognition is porformed on a
comprerxsing and pcrforming patlern recognilion pcrforms
singleprocex
exsorthatoperaleson multiploprocsr
xsorthreacts.
foceachdifferentprocessingsystem pattenlrecognitionon 15 24.n emetbodaccocdingto claim 23 whcreintbestepof
acorrosponding one difrerentstream ofimage data using furll
w rcomprcssingandpattcm recogntionL'
;performe
.don
uncompressed exlemalpalterns.
a siogle processor tbat eperales on multiple procerxsor
2@.n e method according to claim 19 wherein each lhreads.
uncomprer
ssedrxterualpattcrnusedin thestepofcomprers25.Themelhcxlaccordilzg toclaim 1furtherincludingtho
ingcontaias atleasl25 reforenc.
epoints.
20 step of storing the further compressed stream ofdigital

21.Tbemctbodaccordingtoclaim 15wbereinlhcslelof

furl
hcr compressing atxl performing patlcm recognitlon
performs pattern recognition ol
zeach ofthe plurality of

irnagedata.
# * * >' +

Case 3:06-cv-00056-PMP-VPC Document 644-13 Filed 05/28/08 Page 88 of 88

No.CV06-00114
ETREPPID TECHNO LOG IES,INC.
.

VS.

DENNIS MO NTGOM ERY,ETAL.

A
Ed
x.
yy
m itted:February 7,2006
RO NA
By

LONGTIN

R. CLERK
,Deputy

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 1 of 48

Pl
easefetum reCCU!
EIIto:

AW Dkt:(342* 3/0261928

G tsburyW inmlw L.LP

Ninm Flcxx'.EastT- r
11K New YorkAvenue.N.W .
W ashlnga . D.
C. 20005.3918

Cl
ieotRet 6W -()0I

A SSIGNM EN T

d U.S.Orim'nPatentApplication
W HEREAS, the undersignett to wit:

Dermis L. M ONTGOMERY. (hereinafter

ASSIGNOR),hasmadean inventionentitledaM ethodandApparatusfprEncodlngfzl

/przzltrffpn

Using Aftlle fePasm andDecodingInzfSnglef'a> , forwhicb an application forlxtlersPatent

oftlm U nited Stateswms lile.
d in the United StatesPatentand Tm dem ark OK ceon November29
2000,underSerialNo.* /727,* 6.
,
.and
W H EREAS,e'freppld Technologie-s,LLC.M SIGN EE. a corporatioa duly organized and

exLsting lmderthelawsoftheStateofNevadaandhaving itsprinci

palom ceandplaceofbtlsiness
at94l0 Prototype Drive,Suite 18.Renoa NV 8951l.desiresto acqulrean hztere,
sttherein;
***

NO W ,TH EREFORE,for good and valuable consideration, the receipt and sum ciency of
which are hereby acknowledged,said A SSIGNOR does hereby scll, assign and trartsfer unto
M SIGN EE,its successols.assigns and legalrepresentatives, tllc fulland exclusive righq title and
interest to the said invention in the United States and a1lforeign colm tries: aq described ilz the
aforesaid applicationa and to thc said application and to a11continuatiozu. divisions,reissuees and
substitutesofsaid application, togetherw ith therightofpriority underthe lntem ationalConvention
for the Protection ofIndtlstrialPropefty, lnter-American Convention Relating to Patonts Designs
and Indtlstzial M odels, and any otllcr intem ationa! agreem ents to w hich the Unit y
A
ed States of
m elica adheres,and M SIGNOR hereby authohzes and requeststhe Com rnissionerofP
issue said LetteO Patentto ASSIGN EE
atentsto
or its interestas M SIGN EE. its successors,mssigms a'
, f
fid
legalrepreseno tives.

AND ASSIGNOR hereby agrees to execute any papels requested by M SIGNEE

its
succerx
sors,assigns and legalrepru entatives. deem ed erxsentialto ASSIGN EE'S fullprotection,and
titlein and to the invention hmeby transferred.

ASSIGNOR furthennore agrees upon rm uest of said ASSIGNEE, and widlout further

rem unerationato execute any and allpapers de-sired by said M SIGFIEE forthe fling and granting

offoreign applicatiorssand theperfecting oftitle thereto in said A SSIGN EE .

'I'E :

Ihe tmdelsigned hereby authorizu Pillsbm y W inthrop LLP. ofthe above address to WSO'
fIIIIIZ'
II
,
C'ridentilicationnecessalyord% irable forrecordation ofthisdocum ent.
Execut on thedatebelow indicated.

ature

D ate Sizned
*

sL. ontgom ery

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W itnass

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jk
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6020975611

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Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 2 of 48

N>

'

us 2:02010193zA1

(19)U nited States

(12)PatentA pplication Pulalicatitm fl())pub.Ne..t;s 20t)2/t/1t/1932A1
M ontgomery

(43)Pub.Date:

(54) METHOD AND AITZQRAT'US FOR

(57)

AIISTRACT

ENCODING INFORM ATION USING

M ULTIPLE I'
A SSESAND DECODING IN A

'l'
hCLPresenti
abntion describesatnetbodofaud apparatus

SINGLE Iwss

foropefatinjupoucligitaldalabywhicl,tlx digitaldatais
partitionod mto a pluralilyofbloclcs a plurality oftbreads
arecreatcd,sucb tbateach thread includcsatleastoneofllm

(76) Inventor: DennisL Montgomery,Roao,NV

(Us)
.

'

A ug.1,2002

blockofdigitaldara.1:1thisIlxtllocl,(hclltrcadsareoperafcd
QPOD llsin:a O mPCC&9LOtteuginestlch tbatacompression
RlBoritllm repeatedlyya cyclicalmaancr>compresses dala
thatin a previous pass was already compmsxsed by tbc
eompression eogine.Betwcen each of tho compression
passesptbc ttleu compressod tlata Ls operatcu upon using

cor
esAddr
:tro LLP
Pillr
se
bspoodenc
ury madi
t)n &oss
Su
Nintb Floor,EastTower
11e0 Nep YorkAvehue'N.W.

B'
ashfuaton,Dc 2* 5-3918(U&

(21) Appl.No.:
(22) Fil
ed:

PltlolitY0fblocks,artdlhereaft
ereacboftbetluvadsare
o> rated upou to obuin apluratity ofcompressod mreads
eacbcompms
xsed thread including atIeastono compressc,d'

09/7270%6
'
Nov.29 20e0

metafla'aC'Stablisl
mdiltbepreviousptsstoeliminatoredundancies tbatcxislia tbe dala compresx
sed in the previous
paas.Accordinglyxtbopresentinveution cornpressdigital

Publio tion Clarxsilkation

datausfng multiplepa= sofapredetermfncd comprmssfon

algorithm to obtain comprerxsed digitaldata, aqd subst:quentlycompressthecomprer
xseddiglaldatausingasiagle

(51) Int.C1.7 -............................................G1)6K 9/36

(52) U.S.CI. ............-...................375/240.25,382/244

passofacorrespondingdecompressionalgorithm toobtain
tll
edigilaldatainalor
xsl
esx
sprcxxrws.

Userdefinescoinpression
0t1e andcritfcalccrtvcessic'a
encodingtines

ldentifyiplorrnation
loensede

319

32Q

330
Propara (Iigaldatalo encode

yltl
Paditbndataie Iogk;al
d'
witaldata

Predid comprH r.e tkne

fortpocks

3*

Make Ihreaddetecninatbas

'

TrarwfercontrolrJgI'.IS
anddatacomprevsion

zx

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 3 of 48

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%e

PatentApplication llublication

A ug. 1,2002, Sheet3 of ll

Userdefinescompression
ratioandcriticalcompression
encoding tim cxs

ldentifyinfofm ation
to encode

US 2002/0101933A 1

310

320

330
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340

Partjtion data into Iogical

digi
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Predi
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fOrblocks

350

'

360
Makethreaddeterm inations

Transfercontrolsignals
and data com pression

Fig.3A

370

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 6 of 48

PatentApplication Publication

A ug.1,2002, Sheet4 of 11

US 2002/0101932 A1

410

Receive controlsignals
and dala

420
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and initi
ate pass
'

420a

Store Metadata pattems

422

AG tSet

424
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routine and initiate pass

425
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d26

HaU
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ont..eo
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Useres(uor
ltseac
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hread
PZSY

N
428

Determinatjon sim ularitybetween com pressed

blocks

Fig.3B

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 7 of 48

PatentApplication Ptlblication

Aug.ly2002 Sheet5 of11

US 200:/010193: A1

430
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432
'

M ake new thread determ inations

434
overkle

Stop

N
Continue w'
illlreutine at
420 forsubsequentpass

Fig.3B cont.

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 8 of 48

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1

METHOD ANDAPPARATUS FOR ENCODING

g0(09) Evenifmultiple proccssorsarc used to operale

INFO RMATIO N USING M ULTIPLE PA SSES AND

D ECODING IN A SING LE PASS

upon consecutive slices. llw overall comprcasion raz ks

lim ile.d to the sllce lhatissloweslto comprerxspand cssonIiallythcsystem issti!lasinglepasssystem .Accordingly,if
a particularslicc cannolbe compresscd tbe com prcrxsion
operation wlllfail.

H ELD OF TH E ART

g()1) n e prcxntuveatioa metuod asd apparatwsfor

cncodinganddecodingiaformation, anr
.lt
noroparticularly E00101 Accordingly.metbodsaudapparatusthatcanmore
to amethodofencodiugusingmulti
plooasxsauddecoding
in asingle pass.
- '>

effectively compress and decompress comprorxsed digital

dataareaecded

BACKGROU ND OF .ITIE RELATED ART

SUM M ARY OF THE INVENTION

(0002J Vuith thepevaleaceofconzputersandclectroic

(00111 11is nobjccloflhepresen!invention to more

traasmissioas>metodsofcom pressionaod decolxlpre-uion

ofdigitalinformation are in widesjxeaduse.

(* 03) Oneparametorthataffoctslhertquircrncltsofthe
system istllespeed witb w hicllIhe comprtrxsion needsto
t
iakoplace.Iacertain system stlzatopcrateupon information
n real-time thecompreuionm ustlakeplace ataratelhat

(0e12) Itisanothcrobjectoftle presentinvention to

a
daplivclypro
dict4probabloIyeritxloftimethatitwilltakc
forcofupressl
.on erl
coding ofdigitaldata'and t
o tlse lbor.
e
predictiousindetcrminingtbecom pressioo
eocodiugtou.
%.

Lsfasterlharlthoreal-tium rate.Inothcrsystcmstl
zalaEow

r00131 11is anothcrobjectofthe presentinveution to

(1Kk(j4) Anolhorparamclerislbeamountofcoutpression
lhali
srequired.W hereasatcxtfilcmaybcsmall,arl
drequire

luateadesiredamoun!ofcomprossion.
(09141 Itis anoLberobjeu ofthe presenlinvention lo

nocotrlpxrssionboforebeingtramsmittedorstored animago
filec&nbecomequitoIarge suchthattraasmi
u ion()rstoragc
in amerrlory oradisk oftbeuncompreo ed imagebecomes
prohbitively expeasivo.

partition digilaldata into m ultiplc threads aud ioclopendentlyoperateupon thc muitiplc threads in orderto cFocluateadesircdamountofcompressionwithinagivenperitxl
oflirne.

(*051 Funlxrmore.the ratc a.

twhich l
be compressed

(015J lti
s afurtherobjeclofrbeproscntinvention to

Whil
e itmay notbe an issucto spend an entireseccmd

g(
J0161 11isye1afurtberobjectofthepresentinvcnlion

fortbecom pression to befherformed ollr.tine tlx compression proctsscan ukeplaceotf-line

inform ation isdecomprtssed Ls anotherparam etcrthatcan

bcconsideredindetennnilzgtlaetypoofcompressionused.
,

cFcctivelyand loRxlessly compressdkgftaldataanddecompresscom prerxscd digitaldata.

tlccompressingasinglostillim age.ifasequonceofimages
m usttycdtcom prcssedsolhatplayback atreal-timeralmscan

occur.theratcatwhi
chthedecomprcrssiontakosplacecan
become asignificantfactor.

(06) Conventi
onalcompressioq/decomprmssiorjsystems
balance lbe above and other parameters in a varicly of
m
t anuers.n e com pressioo algorithm used in certain sys-

partitioo digilaldata iuto ruultiplc lbreads and irldepcndcntlyoperaz upon them ulliple lhreadsin orderto efl'ec-

tlperale upolldigitaldata in a secjueaco of passes thus

im proving lheresultiug comprcssion.
decode previouslycomprea ddatain asinglepass.

:091/1 n e abovc objccts among others,singly orin

combination areachieved by tbcpresentwbich de.

scnlxsa
me
t
h
t
x
l
o
f
z
n
d
a
p
p
a
r
a
t
l
z
s
f
o
r
o
pe
r
a
l
i
n
g
ul
x
m
di
g
i
l
a
ld
aota
bsy
wbicbthcdigiuldalai
spartitiooed intoapluralityof
bl
ck
a plurality ofthreads are created sucb thaleacb lbread,
i
'

ems.forinslaoce'm ay bedolcrm inod by ttle fm portance of

obl
ning the mostcornpression on tNedigitalinform ation.
irreai
specti
ve oftlm tiaw taken (o compressit.Ccrtainother
sm t
omso/ervariousdegxe.
sofcomprerx
sion and wI
Rluse

ncludcsatleaslooeoftlze plurality ofblock.s and tbereafter

oacbofthcthreac!sareoperatedupontoobtai'
napluralityof
c
o
mp
r
e
s
xd
t
h
r
e
a
d
s
e
a
c
l
x
c
o
mp
r
e
s
xd
t
t
l
r
ca
d includicg al
l '
..

adi
lferenlcompreasionalgorithm accordingly.
((M 7) Despit
ethevastnuml
xrofdilfereatcomprer
xsion/

(00181 Inthismetlod,tbetbreadsarcoNrateduponusing
a
ccomp
reyssion
gi
sucnbnttl
zat
ocu
olnaa

hma
rcp
azdl
a cye
cn
l
i
cn
ae
lma
r
coa
mp
rcn
spr
sce
sss
da
tl
hg
ao
tri
i
n

dr
comprcrx
sionsystomstatcxist>tllcreis(xmtirmallyaaced
for
ti such asystom thatoperates more o ciently.A convcnonalmanner ofobtaining more o/ciency is to dcvelop
m ore eKcicnt compression/dccomprossion algorihm s.
W hile t1
:1
.
s has signili
caat adv&nuges,development of
un ble algorilhmscaa be acostlyand r.zskyuodertaking.

' esscd by thccompression

prcviousp'
asswasalrczdy compr
engine.Between eacboftbecom pressou passes the tbcn
compressed dalz Lsoperated upou using m etada>u em abIi
shcd in thcpreviouspar.sto eliminat
o redundanciestbat
exislin tbc:datacom presscd iu tlw prrvious parxs.

((M 8) Ammoncharactedsticofcoaveationalcomprcs

g00191 Accordingly.tli
epresentinventioncompressdigi-

eastone.comprtssr
,d block of(kplaldata.

sion/decompression systemsistilatasdigitaliaforr
nation is
receivod forcom prerxsion'tbatdigitalinform ation is operatedupc)nin thesequence itLsrocrived.n us'compressiorl
ofafit'slroceived sliceofbitswilloccar'andcomprcssion
oflhc:subseqaenlly receivcdsli willoccuronlyahertho
iirstrcceivedslicebastxencomprex
ssed.'fbiscanl)e;vi
ewcd
ascompresxsiouthaloccursinasinglepass,sinceeacbslicc

taIdatausing mulliplepassesofa prcdotcrminedcopressionalgorithm to obtain compressed digitaldata and subsequently compress Ibe comprcsscd digilaldat'
a using a
singlepassofa.coaesN ndingdecompression algorithm to
obtain!hedigilaldatain alosslerxsprocess.
BRIEF DFSCRIPTION OF THE DRAW INGS

ofdata isonly operaled upon asingle timesanJ once

(002:) n eaboveaudolhcrobjects fealures audadvan-

operate.d upon,willnotbe(qx ratod ufx)n again.

tagcs of1he presenlinventioo arc hzrlherdescribed in the

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 15 of 48

US 2002/0101932 A1

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2

delailed descriplion which follows wlth refercncc to the

drawiugsbywayofntm-lim ilingexemplarycmbodlmontsof
thepresentinveatioa wberein likereferenc.e numeralsreprosontsina2ar par? of the presentinvenlion throughout
scvcralvicwsand whcrein:
((*21q FIGS. IA and 1l1illtustratesanexemplary portion
ofdigitaldata containing differrenl:le types tbal(zan bo
opcrate.d upoaaad moladata'respectively,according to the
prcsentinvrntion'
.

to bestored oflamemory deviceofsornesort forexample

suclta.
%,aserniconductormemory.aiarddiskdrive oraCD
couldbedatathatnecclsto betransmiucdalcmg atfamsmissionp4th ofsomesorl ormayhavesomeotberneedto be
comprcrssc.d orfurlber comprerxscd.W hilo the exemplary
porlionshowsdillkrentfiletypes'itisuaderstoodlhalthe
prcsentiuvcntion can also operate ulxa datathatis of a
singloliietype -nd in factcertain advaatageswllbecome
appa.rcotifiloperalesulx)nsuch dalaaasdescnxed hereinafter

(221 FIG-2illustrate
,.
sablockdiagram ofthecompres- (90301 FIG. 2 illtlslratesasystem 2% thatoperatcsupon
sion/decompressionsyslem according lo the preseEltinveation'
'

digitaldta1% .Forpurposesofthi
scxamplc>ilLsar
xsumed
lbattht.digitaldataisstored ifldigilalMoragc210,andthal

(*231 FIG.3A illustralesaf

low cha:lofinitialintcrfacc
conlrolleroperation during compremsion according lo the
pmseotinveution'
(*24) FIG. 38 illustratesaflow chartoftheconlpression
engioe operation during compreuion according lo the
prrscntinvention'
*

(*25) FIGS.4A.
4D illustralegrapbically thecFcctsof
thecomprorssion operationon digitaldala according to the
preseolinvention atvadous timesdurini;lbe compressioa
opcration;

thisdigilaldatarequircscompression.Forpurposesofthis

discttexsionthesystem 200wiilbedescribe.dasre-storing the

digita!data1* ascomprease.
d di
gitaldata1% ,back to tbe

digitalstorage210oncoitiscomprev d Arlexplznationof
thedecodiagoftbecompresseddipilaldata11)0'w111tbcnbe
provided.ltisunderstood'bow cvor'tbatonce lbe com-

presseddigjtaldalaltho'isobtaine.d thatitcanbeMored or

transmilted ia avariety ofmanners forsubsequontuse.

certain specific mannersin w hichcomprcased digitaldata

1* .can bc tused V IIbc doscrilx d bereinaflecp buttlxose
described manoers azenotitllended asbcingEm iting.

(*261 FIGS.5A-5 illustrate grapl

zicallythecreationof (()(j
31) Irjaddition to !hc digitalstorage 211,FIG.2
compresred tlMa aad metadala during the compresxsion of
digitaldau atvarioustimesduring lbecompressonoperatitM .

illustrateslhatlbesysltm 2* conlairssacoul
rollerintcrface
zztjand a comprossi
on/decomprcrxsion euginc Z'
JO.W hile
cachofthsscpartsoftlzcsystem 2110willbedcrmribedwith

DETAILED DESCRIPTION OF THE

PREFERRED EM BO DIM ENTS

rospe-ctto eacb otber itisundolstood rhateach part.aad 1be

jing fuoctj
'o;
xs implcmont
ed by each part, have
corrospont
uIuque asw cks. whiletijc cxml
rollcritllerfacc 220 and tbe

(*27) laitially,aspectsoftbepresenlinventionrelating
smcihcallytocompressiouanddecomprerx
sionwillbedis-

C/D Cniine239
(00321 maytimc-sbareandusetbesaum microproccssor

I
lt*zfq witbrespecttocompressioaaoddecompresxsion,to

230bcingirnpl
ementedusingatlemstoneprocmssortbatbas

databring operated oo xeill:nstbedi

scussed.>unadvantageousfcaturcs oftlc proscntinvention istlzatithas tlw
ability to operato upota,azxlpotentially com pre.
sspoilher
Previotlslyuncomprerhseddala, suchmsatextfilooranimage
:le as veellas ps:viously conaprcssed data, sucb as an
M PEG file or a ZIP file.Put another way, thc present
inventioncanom rateupourrcognizedfilrtypms,mswelas
uarecognized1olypcs.Ia!bew indows* operatingsystem
environment,oacblebmsaheaderporti
onthatdchnoslhat
particularfllc tyfh
o.As aresult,in mostinstancestbe Iiles
tilata usecwm operatoupon in rocognizable format.The
samc is mze forotberom rati
ng systems,suc: as Uaix
M AC U nuxaadotllers.Ofcoulsc itisknown Illatvari
ous
oper&tiug systems share many of 1he rsame file types.
Accordingly,wlzilelhereareimndrodsand buodrexlsofsuclz
lilctypr.s,mostare recognizable by thedefinitionprovided
in ti!eboaderportion.

ueously.Stillhzrther a nuuabcr ofdDlerentprocesvins1

Parallelcanbeused t
o evenmoreecientlyimplementthe
Cm cngine230 aswillbedew ribe.dlmreinafter.Nom attcr
wbicboftbeitnpleeutatiousare tlsed, tlm coneolleriaterface 220 and the ClB engbae 230 are preferably inaplemeuled ls aSequeace ofprogram instnlctions.written in
C++ or soine othcroomputer lanpzage.or.altcrnatively,
implcmented in hardw are.Ithas bctn found particularly
advanlageousto knplemtnttho CJ'
D engkm 230 in a DSP,
suchasaTexaslnsl
rutneutsTMS 320DSPStbalal'
eoflered
in tbcC5X ,C6X and C7X soriesmoclcls.wbich eaclloffer
varioku
s price-porformance lrade-olfs with regycctto eacll
othcr,bute/ccti
velyallow 11x:compressionanddecompresSionalgorithmsto run atsmedstbatare much fa ertban
wouldbeposxsibleiftbosealgorithmsrequired executionby
tbesaruemicroprocessorcontrolling tlm controlkriulorface
230.

curxsed.n ereafler,olher aspects ofthe prmsenlfnvention

wt
'
llb: notod.

Puttheprescntinvenli
onincouloxtpthefonnaloflllecl
igtal

i
eferred embocliment of (he inveoti
on a diTerent
'
n a pr
pr
ocessortsuscd lo implcmenteach wilh the Cm cnpn
.e

tbecapabililyofoperaling uponmultiplethreactssimulta-

(t*2#J FIG.1 illustrate,

sanexemplarymrtonofdigjtal g0033) Tbecompressionofdigitaldata1(Kjbyolxntion
data(1(* containingmanydi/creutlypesoffllestbatcanbe
om ratr
,d upon using tbe prosent inveation.Fbr eax of
explu ation onlythrcefiletyjxsareshown bitm ap lilcsB
cxecdablt Eles C and Hp Eles Z.Jks%411 bc apparent,
bitmap 51csB areuncompressedfiles cxecutablefilesC lre
program (iles and zip I
iles Z are compressed files.Tbis
exemplaryportionofdigitaldata190maybedalathatneeds

oftllesyuem 2* v.
,111now lx describod witbrefereaco to
FIG.3.Initiallyxasshown bystap 310 theuserv-11clefine
dcsire,d complerssionratios andcriticalcomprcssion tncoding tnes.Nvbilo thesc win vary,dependlg on the user
applcation ingetmralitw111beappre-dal
ed thatthellighcr
lhecompression ratiosa!
xltbeshonertbe encoding times
nocdcd themorethesystem 2110willhavetowork toensurc

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 16 of 48

US 2002/0101932 A1

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3

thatthc dcsircd ratiosandtimescanbtrmct.And itshould llosespeclKcallyusetlinthisxamplepwitbtheexE

ceptior
lOf
benosrclthitaltbougtlcertainralios aud time:
s arf
lJcsirod, filesthalthe S7S2I
I12% hasalready compressed.
tlleeisnotcrrtaimytbat1besyste.
m 2f* williufactbeablc
tomeetthoscrequiremtnl
s. InthLSrcgafd,itisfunlzernoted 1.
00381 Iti
sundcrsl
ood'battbedatalhatcofTcsp)lldsto
ttkatthe specili.ctyzeotcompr
essioa (and corrcsmndit)gy eachoftbesefilesispreferablynotphyksic)a
)llymovedtonew

decompression)routinesthalarousedareEl
otlhefoclsof memory locations(allhougb tbeorelca y tjyis woul
d be

Ihe presont invention. Ralber an aspect of (be preseod

knveoti
on LS the abilityp for a.se:tof klctined com prcasion
roul
ines, loatlaptivrlyprodictaprobableprrit
xlOftimelhat
h wiltiakefofcompressicm ent
zodiqg tbt;tmtife amfmntof
Jigitaldata l00 lo the levelofcornpression requircd base.d

Porxsi
'Nl
<'Ae
''?'butthalPoinlersAr* crtAtcdtO RssthciatG anOrdC;f
rjodiviljualtkl
msbwst.
d ui
xm filttype.
. Thi
lo tjjj
sisalO tt'
kte
for lhc.explanations provided beteinafler wjxrc (
jxa is
shown as being moved.since Visually jt u more easi
ly
undecdtyod wlletldescnbc;
d irltI
RZ fnannef.

vari
ousmcl
zprea&ionroulines,alld tous.
etbosePre- (t*39) 'I'
tle ke/
ercaa detertnin: 1be g/antllarity Of thc

diclions in dlermining thecompressitm routine lo usey as

willbedtscribcd hereinafler.Accordingly,thestaningpoiut

formakingtbex predictioasisindicatingtothesystcm 20

the desired compression ratiosand encoding limef

;.

grouplng.Thussaspreferably dcscribd above,there L%a

grouping for cach El
e lyp. 'l-befG could,altemativtly bt
subjectmattergroupingsforsit
nihrfilllyl
es,suchasthe
knage.program aud comprcrR d iles.Furtbtrsomo othcr

(*341 n rsecomprossiooratiosandencodingl
imescafl manoerofmakinggrtmpingsfrom 1.toN.('
wilek
reN VSanr
f
beprtdict
ed fordiffereattypesofdigilalInformatia/. Tabl:

mtegertlzatisle.
&slhan tbemaximum ntlmtyeroffilcslypes

able forditlbrenttym soflilesand oompreasiou routines

adaptivcly prcdictr.d amounttbaltht lile couz tye.com.

1below provkde.szncxemphrofcomprewionratiosobuin-

andgreattrthanonc)caab/implcmonle(jxsucjlastlsjagaa

tlepettditv tvockt
kck
w tuazypar
ssea are.tttadci(m tut digital, prcs/e,
d(asdescribcdbereinafte4,awbichcax tim initial
.

c,forfiIestbatareofgenerallylhesamo
inforrnati
oointhefil
size.Tjrpically,compressit
m willincrcax astbemorcf'
asses
are made' altboug,h lhe amount of colnprcssion that is
acNievod willlcssen overtime generally in an exponentially oralloastfaserlilanlinea'rly. decreasingm anlmr.11kig
T lhatthedigitalinform ation isoperate.d upoa using
aasumod
comlvrasion roulints lhalare know
nsNuch as LZW *or
otbers, bu!wbich arccnhanccd by lhecapture ofmctadata
3* 'a.
swillLl
edrscribedbereinafter.

ctcd lo compress tbe

Broup 1 files arc tix)selhatare predi
rnt
ast,wj:treasl)e:group N (ile.
sarotbose lbal:rePreaiaecl

l
ocompt;
sslblr
-ast.Altefnatwoly,tusgrougn
gcouldbe
tlctermint
jjjtw illbe
.d by t
be adaptivel
y predictod lime a
Dcfded forcompression, in wbicj)C-AK group j sjesare
:tI0S?lb'taJ'
CLPFtxlicted t
o compreO 111*fasteslx w1)ereasthe
group N filcs are tlmsethatare prcdictc.d to com prossthe
slowest.

(K401 ThisgrottpingL%Perforl
rl
r.clso thatfile.s predided
(*35) Aftc:
rthettxrinputsthcdcsiredcomprcssionratios toGODtZDdatatbalare'estimatodasbavingsimilarcomJttxlcomprcssion erleodingtimes. st
ep 320followsand tim
controllerinterrax 220 from FIG . 2 idttnlises 1hedigilal
klformalion 1011to encode. M anners ofidcul
ifylpg sucl
z
knibrmatioo aod cattsil3g one d

ovice(sttch astbe r
nemory

pression characteri
sticswillbt rtlatively similar lo comPrer
xs art associated witb tacb otber.b
x is anows more
efficicatcompr
euiop.and allowsxatsu se'
qucutslages in
j
ttle comprerxsotzpcKz'ess Jescro ed tjsmirjaftor.disguised

710)t
otcoogaizrandpar
sstbcinformat
iontoAaotl
wrdevi
cr redundanci
estobocomemoreeasijyapparcnt.
(suctlastlmctmtrcylleit
ztttfaceart;wellkuownIGII
seedlzot gB(141) Furtbt, afterttke initialpoupivm,tbertoccurspas
befurtherdrscnbed.Once identifiedby tbecontrollerinter- sllowrjiustcpM 0,parlitioniagofthcdigilaldata,lypically
f
aco 231),tlc headcr110 lbatis usocizted witb each ftle onaperElebasi
s into blocll
s,asshowu ittFIG.411bythe
within tbe digitalinformation 1* is recognize.
d by the: partitionofleB1. intothebeaderporlionp andflwnportions
O Btrollc;rintorface220.andtlle headcrinform ationusrdto
deleu 1be fyk lype,and filesize.

(*35) Baxd uponthisinforrnation thentrollcrinter-

facowilltben. inMep 330.prcpare ltm'digitaldala1@0 for

comprmuioncncodlng.

Bttza Btb Blc, arld Bltf Ls Ierforlzmfl.'l'bis Partition Ls

preferabkym adcso tbaty fortbe typeoffklc,eacb blockbas

asizrlhalLsoptimize
.dforzsizethtcarlmoslcasilybe

compresRd.''
lv W?
.S(ftbtbtockswiltvarywidely,aadwill
typi
cally bcwithin zrang.oof()Io 65K bytes.

(* 37) FIGS. 4A.4E illustrate grapbically tbe etfects of ( 2) OncetbtblockingisPsrfofmdinr

XePM9,MCP

hecomprorxsion operation on digitaldataaccording to tlle.

prescofiuvestion atvariottstimesduring lhe:com pr= ion
oporalion. ln FIG.4A.thereisdopicted theerigicaldigiul
nformation fkle1O ,butioaaordm:inwkticb fklt:sthztlu%'e
solnerelativosimilazityh
asvueltb
ngr
;
jn tlw examplo sbowu ro
soe
ia
t
houpedtogether(which
csameorder).M an
overallleveloxample.image,program , andcom prev dfilcs
could oach be grouped with oll'
ler imagt, progrzm and
comprea dhles Wdrablyvhowcvcr.Since theroaremany
dilercntlypesof.i
tnageles. program liles,ati
dcompresse.
d
jilesyeaol
l
t
y
j
m
o
f
f
el(
nt
f
ntl
m b'
r
.aderofmac:
lfilo
is grouped relalfv.i
el
ows
ei
ad
co
ll
oi
li
he
cd
r.i
n us,as sbown in (hc
specisc txample of FIG.4A' t
bere arc bitmap B ft
les,
execulableC filesgndzi
p Zhics.ltshould l)eunderstood,
bowever. thatthe presenl inventi
on cau operale on and
siilesofauytype,and isnotliraitcd to
attemptto comprer,

350 followszn(jjjx inteaj'

ace costroj
lerz2(opentesulxm
zjaclblcek t
o xjAptjvcly predietaprobableperiod oftime
tf
,atwm tyorequirr.
dtocompresseacboflhebltxksforeacb
o ljlejjjestjjaymakoju
pr
l)odigiulinformatioo 1* iaorder
to achievr arltlvtrzjdesircd comprer
xsi
on ratio using a
slvcificcomprerx
qion rouljne.Basedujxm ttlelle
maderinformxuon anu kaowlege gained fxom hwing previo>ly
.
ssion f;ucode.
d slr
.sofa simijarlypo, an emimatc is
con
zpre.
ou aixd of
a probablepeficd ofIiam tNatitwilllakefor
i
co
sononcoding ofcacllblackoftbeentireamoun!of
jmpr
kallts
dg
jala 1%if
totll
c kvclofcompreei
sion requirodbased
c
ulxm tbesmc k
copressionroutitm.whicbestimatesart
lllcn accumulatrz jopxttictthctolal.

(00431 .
*11of the biocp.s of A Plrticularfile lype are
ostimal
edasbcingtbesame fortbesamerelativeblock size
based ulhotlthe hle 1y1)e frofn thc bcader. ln Sbisrcgard,a

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 17 of 48

w

US 2002/0101932 A 1

Aug.ly2002
4

Tablecan beusedlhalprovidesthc estimalt:

d amountof (00471 Itisalsonoted lbatwbilelheittterfacecoatroller
comprersi
ou andeslimaledtimeitwtlltake to acbievetbat
commessioa usiuz aspexifk compvmcxsioo routioeforeacb
Iile typc.Itisappafeotfrom TableIprovidedbelow thatfbr
eacb dilerent filc typc,the amountof compression will
generally increase (hegreaterthenumberofpassesthatare
ured.
TABLE IA
rxampteFeTvpec&oicts

Fi
l

e'
I'
yfe
jmage
Exctneable.a
Compressexl

Exteasi
on
mp
.b
xxe
.
zi
p

Catemr
y
s
D
Y

(@X41

'

g0(
14$1 Withresptcttotbccrcatioaofcoutrolsigpalsand

mcotjata anotbcraspectoftbc;prerentinveationrelatinglo
tb:conccplofttsingdiFertm ltbrtadsforthecomprerxsionof
diTerentdala willbe provided.A difrereuttbread may be
delerminod as being needed foroacbblock in a file or a
numbcr og lle.s a1lmay ur,
o the same tbrcad.How this

dclermioatioa i
smadcwillbocxplained bereinafzr.m tb
TABLE IB
EXanlpl
eofhe
deIkprsklthPrcdicaled Ratios

catogory
B
D
Y

220 makcs tbf

sst
:initialpredicliofw and lransmits coatrol
sigaals and umtadata related to tbex initia!prM ictions
aloug with thedala lo beoperateduponp toll
w C/D engine
230 as dcscribcd furthcr hercinafler aod wbilc the C/D
engino 230 williaitially use lhese cootrolsignals and
mctatlataw bcn operaling on tNe particularblockv theCIB
engine230c-anicdepondeatlydctolm ioc todeviatefrom tim
tper3tick
asst
lggesEcdbytbecontrolsignalsand meladata as
v/c2 bcdiscussod funborhereiaaftet.

passest'Ratio)
1(2.
1)
1(2.0:
(k1)
'
:(1.2:1)

fpasxs(futio)
2(3.0.1)
2(2.5:1)
2(:.
4:1)

Passes(Ratio)
4(4f):1)
4(3.0:1)
4(z9:1)

(*45)

xspecttolbeconsiderationofwlletberto im plemontanew
thread itLsagainsotcdtbaltbointerfacoctmlrollor220 bas
madep'rsdictionsastotheexpcctr.
ddttrafionrequircd fortl
w
comprcssion of eacb block using a spc.cific compression
routino.Anotherway of lookiag at tlns is tbe interfacc
conLroller220 willestimate thenumberofencodingpasses
tllallheroulincmaym akeoneacblock fortbatcom prossion rouline. Accordingly>iflhero is a'
ccrtain block tbat
irltorfacc conlrollcr220 has prodictod willbe diKcultto
comprmss,tht
m a>paratethreadcanlye:idecl
tiedxwi1l
ztllat
thread havingassociatexlw ith ituaiquemetadataaswellas

conlrolsignals thAtprovide11
xi
nformationnecessary for
TABLE IC
Exaamtofb'i!eTx.
x wi%ldPltddeatedTiuts

Calcmry Passes(Rali
o) Enct
xling'
ri
mr Pwsesl
Rati
s Epcodingrmw Passr,
s(R3ti
o)
B
a(z.
0:1)
1* mscc
2(Ae:1)
zalmsec
4(4.0.1)
D
1(2.
0:1)
1* mse
.c
z(2.5:1)
2* msec
4(3.
31)
Y
1(1.211)
100msec
z(1.
4:1)
2(
:
*msoc
4(1.5:1)

I)
im G Basoduponestimatesofbow mucbtbatdalaoflbat

t
beC/D engjno23:tobeginthecompressionroutiacopera-

tyjx typicallycomjyre,sse.sw lmnusingtbatsN citiccom pression routix estimatesofam ountofcompression needod

tionontha!throad.Accordingly,foreacbblockthatiutorface
ctm lrollcr 220 has deserminr,d sbould b indepeadcully

and lbe numtxrofparx

sos estil
m tod to getto tbatlevelof

comprea d.a r
epgratethreadwillbecrealed.

comprmssion,an mqknaled time requirod lo achievelbat ((j(gpj siocetueproxntinvctuioncanoperaleiode>nIevd ofcocrlpressioncanbeobtai

ned.Accordingly,inorder
to comprer
,s alloflbe dip'talinfonution 1(* dilrerenl
compreri
sio!
troutinu aswellas bow mauypassmqktckmake
tl
siag tlm same compressionroutioe asdescribed hereinaftcr.can be vu
std.luterfacecontroller22ecandecide wbicl
a
to saggestusing foreachdifrerentblock inordcrto attempt
toacbiovelbcoveralldesiredcomprv ion.Forexamplc, for
a :!e say Z1 in :1t).1 lhalq:n lypically onIy sligblly
conapress after lhe srst pas u<ng a given coprmuion
r
out
ne'(asillustratedin'rablcIabove)'aterfac.
ocontrol
let
22
:i
may suggesttbalthecm elvineorlly make 1parx
son
theblodsforlllezl.le butforotberl
iles,sucb asBland
82 from FIG.1 maysuggcst2 and 3passesy respeclively,
asboing appropriate fortl
w comprer
xsionroutirl
e suggest
ed
so llatthe desired comprer
wsion for r
.hc
we blocks cau bc
achicved in orderlo atlemptlo arlive althcdcsired compterxsion in tl
edt=irr.
d period oftimefortheentire amount

'ofdti
tA!iuformatkm 1K .

dently oncach block ifnrcded although inmanyinsunces

itwillom rate on many blocks with a single thread the
irj
tevflcecoattotlerBeeds to be lblo to (kterminswben to
create A tmw tbrezd orwhen to use the same tlzrcad for
trmltiple blocks, as shown by step 369 in F'
IG.3.For
lstance,ifthetirneneea d to compressablockofdatais
greater than som o thrmshold value tbcn a new thmad fs
CDDatcd for(hatblock 1 crtated by Qhe interfacrcoskoller
220.If not then apotherblock 1 added to tbe prcvious
b
ckv
ssuxt
chlt
hia
a
str
ingofblocks&111betaggedforbeing
cl
oo
mp
ro
v
a!t
bo
r
pame thrcadby tbe iutcrfacecont
rollor
22:.

(005t)1 lnligbtoftheabove itwillbeappreciatodtbatlhe

interfacccontroll
cr220 wllgtlmrattlo theC/D cngiue230
controlsignals indicaling which compreisiou routine it
suggcsl
s running foreach tlurad. W bi
ltbc intorfacccontrolleralso generatesothcrrout
inebandshaking signal
s lo

erk
suvethatdataisproperlytransfen'
exl,tlAoseueetiootbe

'

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 18 of 48

US 2002/0101932 A 1

Aug.1,2002
5

ated willbe dtscussc.d hercinafterasappropriate.

compilablcprograrnm inglanguagesuchas C++ aswcllas

(1*51) Furtlzer lbe metadata tbatisrcneratcd provides tablesofcompresxsioa/decomprcuiondalaassociatedthere>

'
characteristicsofthe comprcssioa routine*as wellassignihcanlpatterns thatmay be associatcd wili
a thc lype of
stream tbatisbeing operaled upon.n ernetadalaorgaaizatioa Ls illustratcd irlFIG.1B.W itb respecl t
or
net
adata
charactoristic.
s oftlle comprerxsioa routi
ne there are thrcc

with asar<koown allhougholbtrcom pressioa/dccom pression'roulioes caat'ye used.Asmenrioned above sinc,c tbe
spocificcompressiou/decomprcssion roulinesthaPtaro used
arcnotcoasidered asbeing within tlm scopeoftttis invention hlrtberdiscussioa ofsuclzrouliuesisunnecessary.
'

thatareofsigni
fl
cancez
(0059) Onceablocki
sonctxledusingacertaincompressionroutinlaflerthefi
rstpass,thconcode.
d informatonwili
(*52) 1.thePaw!s Roquiredvariablewbicb indl- notcontajj,any fuljy.reduodanlpattems In zconverltional
catestotlx C/D enginelhcnumlxrofpassesthattbc
interface controllerpredictswillbo roquircd lo bc
m ade in ordcrlo acllieve lbe dcsircd amountof
compreasion>asdescribod above'
>

system. accordiuglyycomprersionwouldbecompleteattbjs
point, and iffurthercomprcasion wcfontded jtwoujd bc
si
x procossw'
thadilroreul
necessary torcstarttjx compresx
compression roulino. In thc presenl inveutioa howrcver

(0:53) 2 the Passes Cornpleted variable wbich is Paftlally-reduBdantpalttf'

nsofcompresxdalrcadydataare
.

blank whonbeingsenttotlw Cm eogine' bulwhic1)

tlm Cm engix willpa.
sstotheint
erfacccontrojjerso
tllatitcanupdate itspredical
iontable'
arxl
p

obtainedpaud tben stored as patteras in meudata,as discusscdherein,and tbesepalternscantbonbomsedtoalterthe

Compfe= d scquente, Prior to the re-compr- ing in a
second passof apreviously comprewed block msw111be

,(00541 3.tlx PatternsWilbinvariabiewbichprovides

the numberofpatterns wbich follow withia the

describcdfurtberbereinafler.
(00601 Duringiniliati
onoftbecompressi
onroutine420,

m csadata.Initially%tbero willtypically bc no palterns.After tbe tirst pass of tlze strezln that is

oporaled uponby tbe comprmssion routirm'patterns
thatare foundw ithin thcdataarr obtainelland will
bt used,asdcscn'bod furtbcrbcrcin.n cscpattorns
aresavcd withintbem ctadata.

thetirncthaltbecomprcssionroutinctakosistracked aadis
' ger
storedinadiagnosticmomoryportionofllebuffermaua
232. Iftlletimethatltleroulinetakesto successfullyexecute
i
sgreaterthaasomoprcdelerminedperiod oftimt'an alert
wi
ndicatingtothe
Cll
Ellx sot.asshownbyMep 422.lhereby i
cnginetoeithcrusedillbrtnttablcsofcomprcrx
siondata

(* 55) Withthcabevccxplanatioubeirlgmade olzcetbe

lhalarewsociatedwitbtbcsamccompressionroutineorusc

aretransmittedto tikeCm enginc2:

3.
0 so tbatthccompres-

periodoflime,buttbccompressionachicved i
soutsidctl
w

sion ofeaclzofthe bloclts within agive tlzread can lake

platx.

predictod cange by some pefcentagcpsuch as 5 of 1O%

grealc;rthanthaLprodictocl.

(*561 FIG.3B illustratostbevariousstepsthatthcCm

(00611 Rlasolksthalthccompressionmaytakolongeror

sP ndingdatabloclcsfrom tbeint
erfacotxmtrollcr22and

cbaracteristiqwpurolybasodontbedatabeingdi/erenttban

throaddelerminatioaslcp 360 iscomplete' stcp370bogias'

thcappropriatecontrolsignal
s, meudata,andtlu'
cattsofdatz

ongiao 230 takes wbcn it rsceives a request from the

inttrfacecontroller220to perform &compressionroutineon
aparticularthread.hsshown by step410 tbc C/D onginc
230 recoivss1heinitialcontro!si
gnals,metadataaodcorrewG storc tbc a.exsodated m etadata aud data bltx ks in a

aditferenlcompressionroutintaltogellmr.Thealertcanalso
ber
aetifthcroutinosucccssfullyrxecttteswithinthedesired

no!comprcr
,sasl
uucharemany.Foriaslance thebeaderiile
type maybeislabeled sucblhaltbc dataassodated tlmrewith txhibitscharacteristfcs ditfercr
ztlllan tbcse thatwere
anticipated orthedatawithin ablockma.
yoxlzibildilferent
expected.

memory ofabu/ermanager232,illustraled in FIG.2. (* 62) IfitisdctcrminodtbatanotMrcompmssiooroutine

Bufermanager232operatesasadatamanagcr'sinceitwill
al
sostoreint
erim operationrmsulls'asdescri
bedhereinaher'
aswellmsthenalcompressionmsuliwhicb* 11ultimately
lx returncd to tbcintrtface controllcc

Lsoee-dtd,asshowu byslcp422 t
bcstcp424followsasdtbe
compression routix iscbanged'bax duponanvaluationof
lbc:patteraoftlle bitstlxalarewithinblock beingo> rated
upon.Since di/erentfhlc typeslypicallyhave distiactpat-

Ie s';l Stop 420 fol

lowsyand sbow tbattbe processor tcrns,tbeevaluatioacaurrcognizrpatcrl
wbv doahaving
associale.
d witb tbe Cm :
1% engine usr.
s the comprv ion

prcvious knowledgt of distinctpalterns associatod witb

roulirm controlsknallo (7a11tbeappropriatecomprrasioa

vari
ottsfiletypes.whichpatt
ernsc'ant:esloredinrometype

roulix ,aad initiato the executioa oftbe fu'

stpa.
ss ofthe

oflable orthe lAe.

col
nprewioarouee.
(0M3) Afterthecompl
'etionofthefirstpar,softbecom (*581 Sotha!tl
zisfkrstpassismorecloarlyundolstocxla preui
onroutineinstep422 ontlx initialblkorblodcs
discurxsioa of tlm compreasiou rout
ines illusttalr,
d in Qm
FIG.2copression/decompreasionroulfnesblock234will
bc descnlxd.Comprossion/dccompressioo routines block
234 * 1 coatain many differentcompressiou .nd tbeir
correspooding dccomprcssion routines so thallhere cxist
lnpre.ssion/decomprcuion routinc.
sforcach 51e tyl ,and
prcfrrably redundantcompre
-ssioidecolnpreuion routines
forIilr(ypcsandothercomprcssioa/decompreasionroutines
aslhcy may bem me available.Each comprcssion/decomprerxsion routineistypically comprisodofcomprcssionand

rcsults,wbicb may bcintcrim,aroobtained,art

d stored in
bufrermanagerD 2.'
Ibcsc inttrim resull
s arcillttstrated in
FIG.4(2 whkhprovidcs aaexampleof1% comprerx
s'ionof
abumapflltB1shownioFIG.4m wbicll,assilowninFIG.
48 was partitioned asd'
above into fourblcx:ks
BlJ,B11),Blc,audBlJ.ArxsumiugIbatalltl
x blocksinth1
filetweremadeasinglcthreadbytlacintcrfacrcontrollcr220
asX scri
bedabove lheothresultingoutputatthecndoftlm
firstpas by tht comprerx
sion routii
m willbe four rresm ndingcomprerxsed blocksBlac Blbe Blcrand Bl& .

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 19 of 48

US 2002/0101932 A 1

Aug.1,2* 2
6

I((*E4) Duringtklisrstpassplmweverasshowubystep

(0970) Inthisregard s.
incocachoftbcpatlcrasst
oredin

(*65) A1tbcpointinwhich apaltern i

sdetected itis

Fcpresented by tbePatlern.0101,'
*mintusz$1.'n us,lho

420A. tlle comprerssiou routine will store in lhe buffer

mAnagerI
xmmorycopiesofpattctusthalarefouodssitbiatbe
blocksthatareY ingoperatedupon such asthc ftlurblocks
Blfz,B1# Blc and B1# in the exam ple being discttssed.
W bik thebitIenglhofpattel
'
nscan vary ilisprcferablelo
urm abitlenglbofimtween3and8bils andmostprefelably
6.since any smallorlcngtb paltems willnotprovide any
furthercomprorsitm andlargerbillengt
lm willresultinless
patternslhatNave rrduadancics orpartLalreduri
t
jancies.It
sbould also be note.
d thattbe ie type caa be used (o
dclermin: tbe tyjye.
s of patters sloled Forinstance (or
uncofnprcs.
sexlimagofilcs w hcremauy redundanciescazsbc
oxpccted,tlm numbcrofpatterasslored i
stypicallylcssthan
whonstoringpalterasfrom analreadycompressed filc since
thenumberofredundantpatternsirlan alreadycompressed
filcisalroady minimal.
slorodintoametadatafilesucu asilluuralcdiny'1(9.1B'

and

lllemeladataareinatreestructure suchtbattepatternscau
al)behdcatifie.
dbyacorrcspoodiagnumbertypi
callybinary.
w bichlbeuallowsIbe trtcslructure to boeasily travcrscd
usingtbevariouslrc.etraversalopcralios,pattcrnsthathave
apartialoverlap cao beidented and then o& rated upcm
w ith a comparisoa ftmction.Tbms if one pattern in ao
cncoded blockwa&*'01010 i
tisassumed thAlafle;rlbclrst
parxsoftbecompressionroutine thattbissunopattern w111
notexist sinccsucb aredundancywould ilavcboenrliminaled.However lle pat
lern '
E0100''may exi
st and itis
appartnlthal(bispatterndi/ersfrom thepatlcran010l.
'*by
asinglobitn us step428dcterm inesthatlhe.sepattemsare
rclated and step 430 tltca allows Ilxe rcordtring of tle
pattemsby i
ndicating witbponters thattlm pattcrnR(j100'
'
oxlstsasboingolrsetfrom thepalteru R0101*'byaIeugthof
so many bit
s,and thatl
hs pattera t
'tlK 'eczn imstead l
x

encoded stream willthenbo changc.d to xllccttl

zispartial

t
:o
att
tor
auswul
ucn:cpll
atr
i
f
cts
fie
df
p
t
torr
ap
aral
ll
'
al
e
z'
npa
d
ome
limi
l
a
eaJI
urt
b
rmo
re
nc
th
eP
ad
ut
o
ofea
a
ta
ec
rt
nc
.r
Is
nt
s
ep
4l
ze
.s
,
tu
.t
hd
ea
ce
od
mn
ee
ssioc
nt o
tbv
ee
rr
,
el
opi
e
t
ie
enI
s
al
re
en
rf
or
dz
f
ol
r
l.
lF
of
t
l
xe
pre
v,
ioo
us
le
y
r
outiuewil
lfind aandtheucopyk patlerubasedf
upon ils comp
rees
serlblocksinastreazn andthenoitbertbalstmam
bcingsimil
ar.wlletborapalterntssimilarcaabebasedupon ak
ubrs
rofit orasupersetofitissontto tlm compreasion
lll
echaracttrticsofpattcmsin f
ilesoflhattype,Il
x dcgroe
llich tbe auerns are rarzom and com parusons wi
'-lla
totl
wrpatternst
phatarestoredforoth,erblocl:
x
s
t
h
a
l
l
l
a
v
e
b
ccn
o
viouslyoperaled um n.
pre

foutineagainforasubsequentcomprcssiocparx
stbalismado
bythocomprerssionroutine cvenfurtlw rcomprcsxsioncanbc
lcbieve.
d since LhePatterus.within lhe blocksoflm stream
t'
eir?g ccmlvesscd again is rtew dilerenttbaa lltal'
attevn
whichhadproviously resulted from tbe lirstpw scompres-

(*66) sincewbenapplyingttw abovecriteria altherst

pas thero willpolentially cxtstmany dif
lkrcntpatzras,
'
someofwhichtypicallyareipartiallyredundant.,1lzismeta- (00711 ltshould alsobenoted tbatI
xtwccapassew the
datawillbothenusedfortl
w subsequentpas,asl
'ereinm er
descnw d.

(,671 A(ttlccadof(111spass,tllrcomprcuion routfnc

'SViIIperform anumberof.operatiotts.Also'assho'am bystep
425'tho motadatzassociatetlwitbeach tbread ls(xjrxlated
to tbo blocl:sfrom whichthemetadata wascreated'

'Y'
PCOf rnparisonOImratioaI
bali'
gtlsr.
dcaabechaaged:in
an Adzptive manner.M otespeccally.thc adaptivedetertrliuation ofthot'omparisoo oporation ism adebased upon
thepatzm oftbecompresse;
dbloclcsascomparedtoreprescntativc fil: lype patzms wbich rcpreseatative fkle type
>
pallem scanalso bcstorediaa lableontbesyszm,asbas
beendcscribed.

(1
*68) Funber.t'
beClB enginedetermiums,asskownby

((,(472) conti
nuingwitktheexampleprovi
dod, itm ay be

sl
4z6'whet
hen
compr
on
obe
haGp
hbe
icvret
d.
i
s deeuteir
tnit
nhat
ationee
n ds
is l
pe
rfoachi
rmedeved
by
s boen ac
tracking the mprossionofoactlthcdi
lrerentthreads'and
dctcrmining that further compreasion Ls needcd. Ia lhis

df
tfFmirlctb'tblocksBlceand Blceltavesimi
larities,and
thatblocks Bj.
bg and Blle bave sirzlilat
% es,azzd 1hlls
roordertbeblocksin thatmanner assbown nFIG .4D.
'

regard,sincediffcrecttbreadswillbeginandeodatdiflbreul

(0X 31 In pedbrming the determination apd roordering

0= r.
:w1t11tbecomplctionofeac.
lzthrcad.Oocehedesired

w4
'1lbtslrippedfrom thecorrespouding comprrr
xsedblocks

ovecall amounlofcompression required is acbieved tbe

pass of the comprcssion process ongoing foreach ofthe
otbcrthmadscalbe completcd ortllec'
urrentpasscanbe

and correspondingdiagx sticsignals asmeatione.d zbove

willbesenllo the interface controll
orindicatingtl
zateacb
proviotk
sly created lhread has txon terminated.ItLs also
notodlbatinthisN ftionofthtsccolxlotsubsequcntpasof
com pression thallllemtudatauscd correspondslo mcta-

times,itisunderxood thatthisLsan ongoing prx erxstha!

terminatcd alxltllc msultsoftbe complete.

tlpass used as
slxlw nbystep 427.

steps.oac.h ofthethreadstbalwerccrcated is thefit'slpass

( 69) If('Ibl
asocskboiwn
by stop 428'compression oftht dat:Crc3tedfOreacbbloc,
kwitllinthetbreadofaprevi
ous
s determ iue,d lo co
ntirme,tsecompre
-sCo
ompr
n routine tlwrlreview'
s tl
w compressed blocks witlzin a
Si
er
vnfncsimihrities lualexatamoag tlm
gives tlzread to det
ed bl
ocksvand theninstcp 43a reorde,stbebl
ocpsso
enO tl
tbatblockscouuining smaarpatcrusare adiaconto tach
piticsexksttbe
xthersim ilaOtbtr.Instep4z:detcrminiugw l
ses anumborofcomp
'aricompreasionroutine preforablyu'

Pws.Tbus.in ttm oxample providea.sint

x tbe metadau
frosnthellirladsofBItIe.BIY #BlceandBltfewasallfrom
tbosamctllrcadatlmn tl
w samemctadau willbruxdonttm
Blaem lcetuead,aad tbeBlyea tge tbread-ltisuuderstood,bowever.thatiftheblocluswerocombine.
dfrom wbal
Waspreviouslytwoseparat.tbrcads:tbeotl
w meadau from
CachOflbtl51c'r'
eparatetbreadswillbecombixd-and tlse.
d

functions(adu,subtract,multiply,.tlvder
qo intMsoperation.n islalterimplcmeotation'l
mwever'adas
,xoR,Al
aod otlxrsucb functioas)to determiueifthercispartia! arxltbtrlayerofcompl
exitytoanalrcadycomplexsystem,
Son
'

nstl
zathavebcenstoredinthcumtadata.In
over11pofpatltl'
firding patlcrasajatare tlw same orsmilar, treetraverral

WJO 3CCOr0iD#1Y isDOl,al1b0 Prrser

lll
ime,lbc:prefen'
r.
cl
fmplmel
ztalzon.

GET less tharlorequallo areused.

detcrmfucshow m anynew threadstoim pleqmn!instep432

operatioasofGEroqualto GETgrealeltbanortxluallo or (09741 Onc.

e reordered the compression cugine tlmn '

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 20 of 48

* #

US 2002/0101932 A l

Aug.1,2002
7

based on tbe characteristics ot thc reordered data and

sfgnalswlllbcsentlo tbe i
nterface controlloridcutifying
oacb newly creatcd thread.Accordingly,in lbe rxample
discussotlabove.siac.c ilwasdeterm inod thatblocks Blzzc
and Blcchavesim ilarities and lhatblocksBlbe and B1#c
have Vm ilarilies* the comprerxsion routint may decide to
ifnplemeuteacboftbe-seasaseparatethread.n us.eachof
tbese two throadswillbe olxratc:d upon,preferably ifxltpondently,forfurthercomprerx
sion asseparate threads.

decompressionnd11occur.According to lhepresenlinventioa, as wil become apparenl from FIGS. 5A-5E lhe

decomprossbnoperalionisareciprocaloperalion sinccthc
ojx rations performed in decornpressicn m irror those tbal
woreperforme.d duriugcomprcssion. Thusatho dccompreson algorithm isau invetseofthe comprcssion algorithm ,
t'.i
andll'ieotbcgom ratioasperforfned. asdcscrilycdabove, can
.milarlybetraaspose.d.onosignilican!diFerencebetween
sl
(hecompressi
oaanddecompressionoperatioas bowever Ls

((*75) n ecompreasiouoperationoutil
epreviouslycom- lhalwhllelbecomprerw
si
tmoperatioumaywelllakcmt
lltipl
e
prcssoddau thatlx.
xstbonbeettflzrtlw rm anipulalcdbyusage
of the amudata and reordering as described above tben
continues asdcscribed previomsly in 1bediscwssion orszp
4z(pard '
tlwreafter.It shouz t,o uotea lowover thalif
compreasion continueslx causetbeam ouutofcoln'
precxsion
dosirr,dhasaotyetbecnachievcd am m ualovcrridc stlown
asstep 434 can kcrm inatc thc procerxs if after repeated
passes. fuzlbercompreasioa Lsnotoccurring.n islorm inzlioncanalsot,eaulomatic sucbtbatifthedesiredcompfessiocisnotacbieved aftersomeintegerlmmberN pw ses,tho

passeslocompress-theuccocapressionoperalioocanalw ays
occuria a s-iugle pass 'n lis us bocauso oacb pass oftbe
compressionoperatiouoperalcsusingll)cr,amccompreasion
algorithm thatopcratcsupontheeucodeddatapasdescribcd
zbovexand tlw enlirety ofthe originaldatastream can be
derived fiually compres/ed data.In contrasl conventiooal
compreM ionlecbniquesthat11.
% m ultiplepasse.stocompress
willroquirc mulliple passes to decompress becausc such
lechniqueswillgo back andusetbem urcedata ratbertban
tbecompresseddata when making anolberpasws.

procmsstrminatos.
g1)(I81) A sampleoperaliontlsingasi
zuplificds&mpledata
(*76'
1 Atttlecoacltt
si
onoftl
w xcondpass thest
rps set*11now bodcscribedwithreferencetoHGS.5A-5E to
wllicb occurrod aftertl)cfirstpaas,asdcscribed above are
again rem atodforoachtkeadoa whichcomprcssion w&s
furtherperformed andti
zeprocessthen continueswitbthat
repelitionuntiloitheritiscomplote adeterminationismade
lbatcompletion lo the desiretlcompression isnolpossible

illustratcboth them ulliplepascompression,aswcllmstbc

ability to decomprcrh
s.It should be noted that in tbis
cxample uppercasealphal
x ticcharactersareusr,dastbeset
ofdalaelcmenls andthatan''AChasavaluetllalisoneless
lhanthatofa<<B7'.n issimplilication basbeenintroduced

orlime bas run ou:(whi

ch is ossealially thc samo as
aclzieviagthecksiredcompressonwasnolpossible).
(1*771 n ird,fourthandfifthpassesart;alsopossi
ble,witll

inorderloallow amor:coociseexplanationtobeprovided
bu(innowayshouldbeintcrpretedaslimiti
ngthe;lyptt)f
dataonwhich (he prcscntmventionoperalesand cancompressarxldecomprerxs. Furtlmr tbc data as sbowu wben

thc motadatathalispartiallyovorlapping becomingsuccessivdy sm allerwitlleach sttbsequeutparss,asw illbecome

&ppartntberoinafterwitb respeclto thediscussionofFIGS.
5A-5E.Accordingly'attloclxloftheprocess'thekemaining
metadataw illpreferably brsavod.

(jescroing thetm ctravcrn land'com pa/isonfundion oporatioaswhicbrcbased uponmctadataisconsideredashaving

boeacompressedbylhccompreRsionellgine, evtnitwillbe
a
pparentthztacorupressionengioewould not forinstance'
leave apatternAAA in anuncomprcsscd form,

(*78) Itisnoted thatmetadataobtainedfrom oclecom- g(j082) hsill

ustrated, FIG.5A
pmrxsioa operation' and particularly metadata lbat exisls
d
iafterthreo'fourorEvepassesbavebeeoalade'canbesavr.
n tilatstate'and timn USe.:Ias meladata in anothercompressionoperatiou'ovtnw itb anontirely differentcompression
system ,and indudod as infermation use,d during the rst
pa compressiou operation for tbatanotlzer cornprcasion
oporation.Thksw illenbancetllespeed oftboanotbcrcompmssioaoperati
onduelo tbeexislenceoflbemetadatatbat
would notothenvir,e be available sincr thepaltcms inthe

mludatatbatexistaftertilcseparxse.sareindicativeofmorc

subuo rodulxlax ie.s orpartial rodundancies that are not

ot
lzorw'
isolasily apparent.

illttstratcs an rxampleof
di
gilal data from a si
ogle file thal has had prcviously
dsl
trm ined meladatam arkers wilb !hc inform ation prcviously described with referenoe to FIG . IB insorted and
'xsioo
polentially aaualmetadzta Irom a dztkrentcomprcr
cventywbichwillt'r usableduringfirstpar,scompression,as
dmscribod above.Fortlw followingexampl
e.howcver,itis
arssumed thattht;tbtre are no metadata patteras itz tbe
m etadata markerportionbcforcthe flrstpass.

getjgzj EachofLl)oetrxxl
edblocksA-Ecanbesubdividexl
iptoblocl:sthetnselves sudlassbow nbyintheGAFTER (j
A withblockAbeingsubdivide.dialo
pasr m rtionofFIG. 5'

(*7% Attheondofasucccrx
sfulmprerx
siooroutinefor blocksA1.M andA3.initiallybytbeintolfacccontrolltr
astmzrn ofdMa asel
icsofcomprerxscd bloctswrillresull,
wbich tlm bu/ervmanagor132willtix;
ntrzasmitbac.
kto l
he
interface controller232.

230 astscr:md abovc./k&sbowYsthe blocksJtl-bB havo

becngroupod i
nAsinglelbread.Aftercompl
etionofthefird
pass compreuion by tlze compression engino 232'ack
d
removalofthe;tiuvadsarxsociated witb the firstpasscom-

(*80) Intbtprocmssdcscribr,
d abovc,aswillbcillus- prersioa,!hesle:st
zucturcistlxnassbownintbe'
.

trated bereinafler iu moro detzil witb rmspect to FIGS.

5A-5E aftersomenuberofpasses,oae.two.teo ormore.
thc data willlvcome comprlsse.d lo solxm am ount,and
furthercoalpression according t
o theprcseutiuvcntionwill
tbtnbecomedicttlttoachievc.Accordinglyyatsuchpoiot
thedatacanboconsidercdcomprerx
scd asmuchasporx
si
ble
and can then be transmitted store.d orothendse ur,e.d as
dmsire,
d in thatcompressed form.Atsome time however

1Pass''portionofFIG.5A.n ercafter,the tncodcddataLs

operaled upon asdesczibed atxwepri
ortoiuitiation ofthe
sccond pass.M shown tbeblocksA 1 M B1 B2 ...are
idcnlified by label as beiug tbc same,but jtsbould be
undef
stoodthattheyhavebetnfurthcrcomprersscd.Furtbcr
the block B1 hasbeerlformed by combining wllalwere
previouslyblocllsM andB1 assbownbyM BIiolheoval
di
sposod bclow and associaled wilb block B1.

'

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 21 of 48

lJS 2002/0101932 A 1

A ug.1,2002
6

(*84) FIG.511illustrate
.stberoeudaraassociatedwith
thecomprcssion,ateachpass.Asnotodabove sinoeintbc
filst parws i! was assumcd that there wcrc no l
netadala

(0t101 2. Compressioc/decompre>ion of various

til
eson disc drive (amountofcompresssion very
sensitive.compressiooanddecotnpressiontimesen-

Patt
ems.metadatapatterz)sfrom bcforetbesrstpaqsarenot
illustral
ed.InthcGAF'
FER 1Par.
s'metadata,illustraledare

si
tive).
1
((
xsjj a. compreasioa/docomprcssionofareal-time
m oudatapatlernsAAA,BBB,CCC ...Itisnoted thatthe
zto foe-df
V
ordisldbutionontht:Iutcract(comprespattem leugtb in thisexamplc Ls thuslhree>and notsome
Sion time very sensitive. decom preu ion titne very
grcatcrotltnberasnotcdabove.Tbesemctadatacorreslxlocl
sensitive)
to tbopattemsthalwere fo
'und in thefirstsub-block A1 of
blockA oflhedata after(pPasse.s illustrated in 8.Ic.so. (00921 While theprmserlti
nventiou hasbeen describr.
d
Si
herein witb refcrenceto partictklarcrntxldimentslheroof a
.

nce cacilof tbe patterns

BBB and CC4.-. are not
similarto eacbother'eachbavebeenidentified asax parate
m etadata palteru.

l
'
atitudtofmodification variouscbangcs and substitulion
s
are inlrnded in the fo'regoing disclck
sure.For iastance'
wilerets(hcpresentinvenlionbasbeendcscrilxdforsakrof

(* 85) Referring now to FIG.517.tbefirst1ndrecond Clm t?intermsoftbeinlerfacecontrollo!aadtheCJD cagine

encodedblocltsA andB' aftcrlnvingbcenomratr.tlafte;rthc

firslparss,aadw i'b aGETktravorsalfunction and anmcomparisonfunctionthc flzstandsecond Gncododdatastrudure

apm arsmsshowa.Itisrlotedlbalforsimplicitysakeinthese
examples*sinco only an equalto comparison fuuctioa is
used,thatlllis comparison flmctiorlL%notillustratcd byan
ideutior,butthalnpractice,thccomparisonfttuaionused
mustbo stored wr
jtltin the olhor data m'
ksociated wit
b !be
pattern bd cg operated upon.M shownpth1encodexldata
sub-blockM LSIeftalono sinceuoueofthepattek'nsequal
anyoftbeotherpattenu.However inthesub-bleckM tbe
A
o*
'
tApaltol'
aisrepcmsontedas(a2 ;)withyasshowninFIG.
5C/
t
he
v
a
r
i
o
u
s
i
de
n
t
i
f
i
e
l
w
b
e
i
n
g
t
l
l
c
b
l
o
c
k
i
d
c
n
t
i

c
r
,
tbe
.
bl
ockcountrrlbeoporalioa and tbedataoKveetn us intllis
exampleatho'a''reprcsentsthatllm datawasfrom blockA.
tl)edz2''ropresrmtsthal!hodatawas from the second sub-

block tlze't0''reprosentstbefn t=totraversalopcratioa,and

tbc:ul''rcpresentstl
w bilpositiorlofll
= tirstcharacterfor
the pallem . n e olher patterns shown tlzcreafter are illustrated wilh tbi
ssameuomcnclature to sbow thescsimilarilies.

(%g6) FIG. 5E illtustra!es the data from lbc lraasition

b

boirjgseparatecomponents(wbicb L%prderrod)itLsstill
Wi'biotber>
copC:Oft
hcPrtv nlinvcntioatbalt
heoperations
and fundionsdescribtd hcrcincan beadapted so thatthoir
tquivalentsareperformedbyeitberasingleproceasororby
even further multiples oftbe procerxw rs.It willthus be
appreciatedsomefeal
uresoftheinvenlionw111tv employr.
d
withoutacorrcspondinguscofotbcrfeatures andtbalotber
modjsoatioascaubemade, wilhoutdepartiag'from lbcspint
aod scope of tbe j
sventix as xtforlh iu tbo appended
claims.
Iclairn:
1.A mclbod ofoperatingupondigitaldataco priGingtllc
steps of:
Panilionirlg tbedigitaldatainto aplurality ofblocls;

Grfhl
btirl
; * Pltlrzity offirstEbreadsy stlcb thateacb tirst
thread iucludesatleastoae oftheplurality ofblocks;
inCl
operatkjg uf'
on cacl
joftim purality oftirstthreadsto
obta.u a plucality of comprosx d fust threads,each

comprcsxd &sttbread including atIeastone com-

etween ll
w Aftet 1 Pass using a GET=to tree travei
sal
om
r
a
t
i
o
n
t
o
a
f
t
e
r
t
h
e
s
c
c
on
d
pa
r
x
s
i
n
wl
z
i
c
b
a
Gl
7
r
w
w
l
ree
travozwal oeoratiou Ls used.As shown?since BBB dieers
frolnAAA byooop
,
tbo
BBB
ternb
come
sock
(a1AV)'wi
tlu1'
the*
%&a'' mpresents tlzat
tbe
datpa
at
was
rre
om
bl
tbc
>
represcatstlattlzedatawasfrtlm theIirstsub-block,orwjm
represrots the Getxmto travsrsaloperation and tbe ,4,,
r
epreseatstbobitIx)sitionofll
zefourtbchzactrrfortl
ze
pattem . n eotherpaltol'ns shown themafterare illustrare,d
witllthisrs
a e aomenclature t
o O ow'lhesc similaritits.

rcssr.
d block ofdigiuldata.
2. p
A method accordiag to claim 1 whcrein the sle;p of
operatingupon oac.b ofllle ftrstthreatks porforms lossless
comprossion.
3'A llcllEKhflacfordzK :0 da.im 1 wbcrein the step of
optratioguponcachoftlm rustlbreattsindcl ndcntlyoperale.
supooeacb ofthepluralily offtrsttllreads.

((*:7) RtfcrringagaintobQG-5B iti

sAlsoaotcdtba!the

ofopcrating.atleastt
wodi/erontcompressioaalgorilhms

bofolmd again.butsincoitLstbe patternlo wbichthcother

patlernsrelal
e,iliskepl.

ofcombinngtlx pluralityofcomprossr.dIirstthroadsto
oblaindigitally oompresse.d data.
.
x mul
)od ccording to claim 1 wherein the stcp of

metadalaforAfterPar,
s2 hz.
schangc sinc.
t aflerth1 pass
theremaiaiag availablt metadatapatten)sareA.
AA GGG,
MM
M.
HKI
Q
HUU.
KI
I
N
a
n
d
XY
K
I
t
s
h
o
u
l
d
baolr
led.
izowevcr.tbatAAA Lsnotmdadatainther
ycnr,
c th
ii
tow1
11

4.Arnetbc:daordzgt
oclaim 1where.
inatleastcerl
ain

onesoftbeErst'threadsareiodependentlyoperate.d upouia
Parall
tl.
5.A metbod accordingtoclaim 4wbtreiw duringtbestep

arc usod to independently opcrato upon diKerent first

thrcac
ks.
<
A
)odaccordingtoclaim 1furthcrcomprisingtbe
step' uwtl

(*88) Specilic applicatioasoftl

m compres
wsion/decom- crealing lhe plurzlityof51
s1threadsincludcstb<stcpof
pressioa syste;m describcd above arc numeroms. Ioorderto
appreciate thc scojx of the presenl inventkon' a few
cxampl
esu.
411& providtd.

Associatingrachoftbepluralityofblocksofdigitaldatawith
OI
ICOfthe Plur&lity ofErstlhrm'
tdsstch thalbloclrswittlin
eacb ofthc;pluralily offifx threadsshare certaiocommon
comprerxsion cbaracteristics.

(0089) 1.Compression/decompressiol
zof a digital
8.A metbod according t
o claim 7 ftrtllerincludingthe
movie(comprmssioutimeinsensitive,decompr= i
on stepofpmdidin# anestimalodcompressiontimcandestitimeverysensitive)
matcdcomprerx
sronamoun!foreachblock

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 22 of 48

US 2002/0101932 A1

Aug.1,2 2
9

9.A melhod accordiog to claim 8 wherein lhe step of

creating 111e pluralily of iil'
sllhreacls also uscscslimated
comprmssion time and eslimated comprossion arllouutto
cklerxnirdewbkllblocksshould beassociatcd wittbesamt
6rstlhread.
10.A mothod accordingteclaim 8wlwreinthctxstimated
compression timc and estimated com prcssion anlountare
m ade based upon a seleclr.d compressioq algorilhm and
w lxrein tile step ofpredicting includes the step ofJetermifdngw lzetherapcopose.d estim ated cofnpletion lirnethat
Lsbased upononeoftlm compression algori
thmsavailablc
forx loctionw 111allow foradesiredcomprerxsionamouutto
bczchievedwithinadesiredcompressiontimeforthedigital
data.
H .A method according l
o clai 1 wberein tbe slep of
crea:ingeacboftbepluralityoft
lrslthreadsusc;
sadatatypc
ofrachofthe plurality ofblocksso thateach oftbe (i1st
thrcadscontainsblockswbich havea similardau type.
12.A methodacm rdingtoclaim 11whcrcintbcdalatypc
isdet
ermitxd according to hcaderinformation fdatcd lo
eacb block.
13.A metbod according loclaim 11wberethedatatype
is determined by comparing the bl
ock dal
a lo various
predetenniuoddatapattcras.
14.A met
bod according loclai
m 1 fuftberincluding the
sttp ofpredicting anestim ated comprtasion time and eslimaled compressionamountforeachblock.
15.A motizod according toclaim 14.wlwrein lilcstep of
creating the plurality offirstthreads usesestimaled com pression time and cstim aled com prer ion am ountto dctorrninewhichblockssbouldbe associatedwiththesamefirst
tbread.
16.A method according lo claim lwbercin thc step of
partitiore g clataincludcs thestep ofdotcrmining asizcof
e
acboftizepluralityofblockstakingdatatypcofeachbbck
int
o account.

22.A (rlrthcd accordiagloclaim 17 whereinthe step of

creatiug tbeplaralilyofsecondlllrcadsincludesthestep o
asstx iatiagcacboftheplurality ofcomprcssed firstbloclls
with one ofLhe pluralilyofx cood threadssucb lhatcomprosxsod rstblocks within eacb oftbe plural
ity ofsecond
(hreadssharecertain cocumon compressioacharacteristics.
23.A method according to claim 22w horc;m eacb ofthe
second tlreads containscom prcssod lirstbloclts tbatwere
crcated from tbesaml fifstlhrcad.
24.A mcthod according toclaim 23wberein tbe oum ber
ofsecondthreadsi
sgrcaterthanthcnumberoffi1'
stthreacls. '
25.A Iuetlzod accordioglo claim 22wbereincocrzpresse.d
til'slblockslbatwerewithin theoneoflhefirslthreatksare
used lo form twodistinctsocond thfcads.
26..A metbodaccordingto claim 17 wbereiutleMep of
olxrating upon cach ofthe plurality of Elstlbrbacts also
resultsinoblaining aplurality offirslmetadata sets.eacb
lilst mcladata set including portiofxs (tf comprossod filst
blocksw'
hicllaredeterlnii
lGd lopossibly haveredundancios
dspostd til
ercin.
27.A method according toclaim 26 whercin 1bc step of
operating upon caclzoftho hrstthreads willmainlain for
eac!
llhread a palle.
rn ofdata in an initialcompreex
sedfirst
blocktbatcooespondstoafi1'
stm etadatapattern,eachofthe
differeotfirstmetadatapatlersforeach fil
stthread combiaing to resultintbchrstow tadatasetforlhalfk1'sttilrcad.
28.A method according lo claim 27 wberc:
in til
epattern
06dala in the irlitialcom pressed ficstlhlock is maintained
duringsubsequeotMeps.
29.A m ethod according to claim 17 wbereio each Nrsl
tllread bas an associatod firt;tux tadau set.
30.A melhtxlaccordiug to claim 7.6 wberein lhestep of
creatinglhopluralilyofsecondthreadsinclude,sthestcpsof:
detormirking whicb comprcssod first blocls sbould be
associatcdw illztbesamesecond tllread'
'and

17.A mcthtxlaccording to claim 1 furtlxrincluding the

slom of:
operating ujyoa oach ofIhe compreswd
. fi1'sttlveadsto
clim inate eacb of the com prcrssed first tlzreads and

using tbe fuslmetadalasetsto clmnatcreduudancie,

sin
some ofthecompressodlilstblocksassociated witb at
leaslsomo ofthesecondlhreads.
31.
A metNcd according lo claim 30 wherc.in the step of
operalioguponoachoftbe plurality ofsecorld lhreadsalso

retaio lbe compres-qcd fizstblx lcs.

p

creal
iog a plurality of second threads suclz tllat eacl
A

rosult
sinobtaininga?luralityofwcoodmctadatasotspoacl

Sccond meudatasc.
tzncludingm rtionsofcompressedsoc-

Rcondthrcadfacludesatleastoneoitl
aepluralityof Ondblfrkswhicharedetermixdtol
yossiblybavtrodun-

comprrsse.
d fifslbloclcs;and
ojyerating uponeacboftheplucality ofsecorld tl
zreadsto
obtainpluralityofcompr- dsecond thpzads each
compresscd secord turoad includiag atleastone compxsse.d secondblock ofdigilaldau.
18 A lzwtl
xod according to claim 17 wherejo tbe;step of
operating upon eacu oftlw sexxmd thrrads iodem ndentlv
ow ratesupon each of11
:
1
e plurality ofsecxmd throads. 19. A motbod ac rding to claim 17 wberein atleast
ccrtainonesoftbesecoad threadsaro iodcm ndentlyoperate;
d upon iu parall
el.
2:.A metbod accordingtoclam 17 wheron ducing the
sttp of optrating um n each of ttlc pluralty ofx cond
threads,tl)e same m mpcerssion algorilbm use.d lo operate
upou each block Ls a!so ustd to operate upon the corresm nding comprrsse;dblock.
21.A method according to clailu 17 hzrthcrcofnprising
thtslcp ofcombining tbe pluralityofcompressed second
threadslo obtaindigitally comprcssr.d dau.

danciesdism sed thlrein.

:52.A method according to claim 31 wbereinlheX COIXI
sa subscloftbcfirstmetadatset.
m cudau se!i
:3 yknaejhod according to clakn 26 vzherea'
.

tbestep ofoperating upon ea.ch oftlx firatlhreadswill

m'il
t4irjfOreacllthread apattern ofdata in anirdlial
comprer'
sedtirrstblockthatcorrespondste afirslmetadatapalzm,eachoftbedd
'crentfirstmeladau pattcrzzs
fOrC'acb fil'
sttbread combining to resultin tlm fzrst
metdatasetfortbatrusttbread;
tl
x step of using tbe fust metadata sets lo climiaate
rodundancies in some eftbe compressed firstblocks
assx iated with t leastsorne oftho sscond threads
maintainsthepattcm ofdatainthc initialcompressed
fir-lt block and climinatts tl
m pallertlof data in a
subwqueotlycompressed Iifstblock.
34 A method according lo claim 33 wlxrein, during tbe
step ofus-ing thetirstmetadatasots. toeliminate redundauciesinsom coftNecompressedfifstblocksassociateu with

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 23 of 48

Y e

US 2002/0101932 A 1

Aug.1,2002
10

atIeaslsom cGfthesecondthreads thcpatteruofdatainthe

subsequoutly com prossed tirst block is replactzd tvith a
poinlerand ao operatio:lclesignatorpthereby obtaioing a
pluralily ofcomprcsscd and reduced tistbl
ock.
sfu cacl
z
secood thread.
35.A mctbod according toclaim 34 wherein*dut
-ing the
step of operating upon each of tbo plurality orsecond
tbreads'tbo sam e com pression algorithrn used to operate
ilblock is also used to oporate um n the corroupon oac
sponding c'ompmssed and reduoed firstblock t() thercby
obtainthecompreased second bloclcs.
M .A metboda ording todaim 35whefein thooperalion
dmsignatoridentitiesan oporatioo used to oliminate rcdundancies in lhe firstcompressed datablocks,tho operatioa
being ose ofau cqualto comparison opcration a grcatcr
than or oqualto comparison,and a te-ss than orequalto
compari
son.
37.A method according to chim 36 wheroin.during ll)e
stcp of operating ulyon cacb of tho pltzralily ofsccond
threadsxlho comparison operatiou selectcd is adaptivcly
delermined.
39.A method accortliugtoelaim 37whtreintbeadaptivt
detecminalion ism ade bax tlupcm the pattcrn ofthe com prmssed blocksascom pared lo representativefilc type patterns.

39.A metbod ofoperatingupcm digitaldata comprising

tbeslcp.gof2
in th di italdatausing mulliple passc.
sofa
comprerx
sg c g

prodctermine,
d comprer
xsioo algorithm to obt&i
n compressed digitaldau;aod
decompressing thecomprsssed digitaldatausingasingle

Passof 4 corresm nding docompression algoritbm to

obtain tbodigita!data.
4Q.An apparatusforoperatingupoadTgitaldatacomprising the stepsof:

mcans for compressing tbc digitaldata using multiple

pars.
sesofa predeterm ined comprttssioa algoritbm to
obtaincompresseddigitaldata'acld

mcans foraecomprer
ssiag 1he comprcsscd digitaldata
using asiuglcpassofacorrespontlingdceopression
algorithm to obtain thc digjtaldata.
41.Anapparatusaccordingtoclaim 4()whereinthtmeans
fOrcofflllr= ingincludes:
an iaterfac.
e contf
oller;asd
acomprossionenginc.
42.Anapparatusaccordngtodaim 41wilercinthesearch
tngineoomprisesasiugl
e centralprocessing uait.
43.Anapparatusaccordingloclaim 41whereinthesearcb
enginecomprixsaplurality ofcentralprxcr
xsinguoits.
44 Aaapparat
us accordingtoclzim 43wherein oacb of
ljw p'
luralityotmntralprocessi
agunilsoperaleupondi/ert
t
t
on veads.
45. An apparattls accor(jin: to claim 44 whoreia the
pluralilyofccnlralprocessing uoilscompriseapluraly of
digitalsignalprocmssos.
46 A method of allowiug a plurality of comprer
ssiou
.
systemstooperatemoreecicullycomprising thestepsof:

obtainingmttadalaropresenlativeofpatternsinErstdigitaldata obuinod from 11w compressioa of 11x lirst

Ciivitaidataina firstcompression system;and
di
sl
rbutiag tho mctadata to tllc atIeasta Rcond comprcssionsystem sothat(
jjc;secon(!comjxcssioosmzm
can uSe tEe mttadata to comprer
xssocoud digitaldata
wbich tlx secondcompmssionsystem needs lo comPrmvxs.
* * >' + @

'

'

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 24 of 48

No.cvO6-00114

#TREPPID TECHNOLOGIES,INC.
VS.

DENNIS M ONTGO M ERY,ETAL.

Ex./ 5-

AdmitY
ted:February 7, 2006
RONA
O N TIN R.,CLERK
By
,Deputy

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 25 of 48

Pleasereturn recotded to7

PillsburyW inlbroptLp

Att
yCl
Dk
lt:042503/0269273

1600Tysons Boulevard

entReC EW -018(U)

M cl-ean.Virqinla 22102

M SIGN M N
ofU.S.Orip'n PatentApplicaEon

h W lv ltM sstheundersignezt towit:DENNIS L MONTGOMERY,(NereiuafterM SIGNOR),

as rnade an invenfon cne ed
yYSTEM AND M ETHOD FOR GENERATG G AI,
ERT
.

- --

CONDITIONS IN A SURVEILLANCE SYSTEM >'

orwbich an application frtl4tc1s Patcnt
,f
of
the Unite.d Sbate,s was flled in dle Unit/ States Patentand Trademark Oflice on N ovem ber 21,
2001
1.
111(1e1.SerialN o.09/991,490,
'and
W H BREAS,e'
Treppfd Teclm ologle.s,Ll.f , ASSIGN BE, a colm mtion dtzly orgaaized and
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,

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NO W ,THERBFORE,forgood and valuableconsideratign, theI'ecdptand sufficicncy ofwhich

arehereby acknowledgedz said M SIGN OR dees hereby sez, assfga and transferuuto ASSIGNEE
its succc sors,assigns aud legalrepresenmtivess the fulland e'xcltksive right title and fnterestto the,
,
saidinvcn:on in the United Sintex and allforeign countries, asdescl
ibedintbeVbresaidappDcation
and to the said application and to all continualioas, divisions, rcissues and substitutes of said
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aqsignsand tegalrepru entatives, deem ed essenialto A SSIGNEE'
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ASSIGN OR furth= ore agrecs upon requrst of said M SIGNEE, and w itbom f411th%
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unef
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oreignapplicatiom andtlleperfcctingofitletllcretoinsaidM slG'hK

NOTE T
'Fhe undeisir ed hmvby authorizesPilkbuzy W intlrop LLP oftllc above addlu s
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insellfurtberidentilication necessa!y ordesirableforrecordaticnofthk docu,me
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Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 26 of 48

.

'
-' lll11l
IlllIllIl
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(19)U nited States

(1z)PatentA pplication Publication
M ontgom ery

US2*3(095687A1
(,0)Pub.No.:Us 2093/0:95687 A 1
(43)Pul).Date;

(54) SYSTEM AND METHOD FOR GEYERATING

ALERT
SYSTEMCONIIITIONS IN A SURVEII.IA NCE

(16$ Itls'entor: DesnksL, M ontgomery R:uo NV

.
(Us)
corrcsm a(jcnc.
eaj
:uress:
I>II-I-SBURY wm lnlrtop t.t,
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60: '
rysots > ul
evard * l:

Mclx n,VA 22102 (USI

(21) Apf.No.:
(22) Fil
od:

U.s.f;l. ........-..........

382/103

............- . ...........
........

(57)

ABSTM CT

X'
EDouilofPlogram iaaVidoosurvoillat
lcesyslctn mouitors
imges comin: frem onc or
cnore s'
urveillance cameras.
wlwua.
uimagporsu ofi
m agt.s
ksuesccrtaisconditicf
as
thc moaitor program takes ansat
appropriate acsion. For
e
bxample-iaavideosurveillaecesystem inabattk tseremay
ea saltvoillanca camerairithe baal
c's Iobby assvtllas a
.
survcillanx cameraitusidctbebaak'svault.If
tsingappro'l

p
ialcpatternrecojnitionlcclmiques, tNemormorprogram
rfrc
ogniz.
e.sacleanlugI
lc:
rs0Izil
zlbeIobbydoingdGaning. is

:9/991490
'
Nev. zl 2f*1

Publication Classilicati
on
v.
(151)j IJ:t.(:
21.
..................

'(52)

M ay 22! 2003

..... .......................

......

(:
143t;II:jl
zf
tjtl

mightoottakc any aclj

ousizme tha
Plai
:r fortim cleaningpelson lo be.twouldbcaIogitimate
htlwrovers tlzefnoj
toritq systom reeogaizedlbatclearji.nglf,
ipersonasb
eingin!l
he
v

u
l
f
i
t
I
ni
g
ht
At
z
d
a
l
l
a
l
e
r
t
t
o
t
i
m
s
ur
v
opcrat
ill
anco systom
f
or
unher haspoctioa' sce cleaoui
qg peraonoel
llr;)ity:Lo
I1f
lr:
;
1)(
)tzf
I(1r)fyliy(:ill1l)trqr;kttlt.

oo xvaojPAU ERN
RECOG NITIO N

IM AGE
CO TRO L

STO RAG E

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 27 of 48

US 2003/0095687 A1

M ay 22,2003
1

SYSTEM AND M ETIIOD FOR GENEIIATING

ALERT CONDITIONS IN A SURVEILLANCE
SYST EM
BACKGROUND OF TI11
! INVEN-IION

tbc rcspoaslbillty oflhe syslenl operator (o rcview the

i
m ages from the camerasand dctcrminewbelheranything
whichshouldbc investigatM iugreaterdelailhasoccurred.
Videosurveillanocsyslemstypicallydonotbaveanyfacility
for image recognition.Eveu when a vidco survcillancc
system ioclude paltern recogaition capabilily' itislypically

!)(K/(91) 1.Fiel
doftbelnveation
cxtrot
nelyl
imiled-forexampley a cam era m aybetocur.e
,d
(*(p
2) n e presentinvontion isdirecled to acomputor Ontbc.lice:zscplatesofcal'
spassiug through atolltxxltb
syszm antl mothod for gencraling ale/lcorlditloas in a
survellance systom. More parlicularly il Ls directod to
'ag imagesfrom &cameraproclud n'ganimagestream
clxckl
and dotermiaingwbetbercertainevontsoccurk)Iljeimages
from the camera.

(* 031 2.BackgroundoflbeRelatcdAz1
g(*()4) Surveillance systcmsare known ia the arl.In its
simplestfonn,asurveillancesystom mightcssentiallyconsistofan analogviX ocamerahookr,duptoa remolevideo
rnolzilorasiowrtfnFIG.IA ora micropllonoattacbed to

arecorder,ocacombiuationofbotl
z.Ib:
t hodiscussioa

ilcreirjafter, a czmera will bc dcscribod.n e camera is

pointodataspotofintcrest- e.g.,afronldoor.anautomated
tellermacbino. etc.' audprovides an imageoftha:sceneto
'
the monor. An oper
atorwatches 113e m oaitorto Iook for
ususualor uuauthorizcd behasrior at tbe scene.Ifsucb
activityisperccivcd,thcor ratortakesappropriatvactiou-

gate,aud lllepatttrn rccognilion islitniled lo recognizing

ltttcrs and digi!s on the liconsc plate.For many olher
applicatioIts,rtaoresophisticated typesofpatterarecognitioo
aredesirabl
c butare notreadily availablc in tl
w priorart.

SUMM ARY OF 74lE INVENTION

g0009j Injvie
tbe
:abovoproblem ofthepriorart.itis
uw of
anojb
ject
.rs
eEktitw emioa to providoasystem and
jod
fo te.pre
mct orgeneraling auclm anaging alert nditions in a
veillancesystem .
vzeo sur

E001t,1 n eahwtobjectLsachiovedinoneembodimcntof

theprcscn:invcntionbyprovidingamoait
orprogram wucb
monitors imzges commg from one or moro sarveillance
cameras.w hen au im ageorselofimagessatiss.escertain
O ndllioas,tbe rnonitorprogram takesanappropriatcaction.
BRIEF DBSCRIPTION OF'I'I'
IE DRAW INGS

identifyinglbeindivi
dual>notifyingsecuritypolicc,ctc.
gtol1l n einveationwillbemoreoasilyunderstood in
(t*IBJ '
f'
hesystem maybavecmeormanycameras,each view oftbefollowingdetaileddescri
ptionaudtlzeappended
.

ofwlliclzcan bc displayed in a predet

ermiued areaof the
ma
itor.Alternatively,tbeom ratormaytoggletbroughthc
soene
s.Furtber,inslead ofoueorm orearlalog calrieras tho
system maymscdigiulcamerassucb asCCD cameraspand

drawings inwhicb:
(0012) FIGS. IA-IC show variotusvidoosurveillaacesystem arrangemenls'and
*

theli
ke.Sucbdigitalcamerashavetheadvantageofpro- g00l.
31 FIG.2sbowsavideosulvoillancesystem accordvidiug a lzighmuality,l
ow-noise image wben compared lo
analog irnages.
(*06) Anotberpcexsiblevideosurvcillaflcearraogemcutis
showo in FIG.1B.This systom usts multiple cameras

ing to an embodimentoftho prcsenlnvention.

connect
edtot
lx moEdtorviaacoqtrollcr.'
l'becontfollercan

g(l()14) FIG.2showsavideosurveillancesyste accord-

n eoperatorusesaoinpu1dcvicesucbasakcyboard

lhatinadditioutocontrollingthepositionsoflccameras

multiplex severa.lcam cra signals RIXIprovide lhem to tlze

monitor.Alsm itcan cont
rolthopositiocsof thecameras.

joystick or1he Eke to dhtrtlbc contolloc to controluac

motion of Qm cameras so tley Ixlint to panicular areas

witbin ti
xirrange,tnc.
k inlerers
ting featurcsiljlbcimages.
etc.ItInayAlrp
()uset1
::inputdevicelococtrolthecontroller
to dkect llm controllerto provide particularoncs of the
camerasignal
st
ot
lm moaitor.

(%B7) FIG.IC sl
zowsanotimrarrangemcntofavi
deo

DETAILED' DFSCRIPTION OF PRESENTLY

PREFERRE
D EXEMPLARY EM BODIMENTS
ipg to anembodimenlofthopressnlinvention. n issystem
issimilarto the oneshown inFIG. IC witblbeu ceplion

aod supplylg tbc cannera signaY o henaoniur tbecou-

troller also umuitors imagesproducod by th1cameras for

certaiu coodilions msspocihcd by rule,s xlby lhe video
surveillancc system operalor, and produces altrts, akw
callcd alarms, orthe like when onc oflbose conditiomsLs
met. Alteruatively,the monitoring program ne:d notbein

1becontroller'butmayl
x srparateandmonitorimagesintbe

surveillance system. Here a video recording device is digilalstorage device aftorstorage.

connecte.dtotNecameraoutputs,the.monilorinput, orbol
b. (0015) Rcgardltssofw'
hcrethc monitodng isdone tbe
n e video mcordingdevice.c.g.
.a video casscttc rocorder baseof11:
* monitoringprogram le
.si
nitspattem recognition

foranalog cameraw can rocord tbc camera sknals for ofimagc features.Typically,pattcl
'n regtkitioa asm<;ed

acchivalvlat
erreview and the h'ke.Further,itcaa record herein iscapable ofidentifying people based on a shotof
imagesdispl&yed ou themonitoras evidenceofaclivities thcirfaceinan nage, etc.Furtber,tlle:pattra rlcogntiori
takingplaceiottm rnvironmentsbeingimspected.Fordigilal system canalso resolveobjects,suchaspurses,bricfcascs,
systems,lbevidoostoragedevice may be adigiulstorage ivjdi
vidualcards befting chips. n edegreeofresolutiom of
(lvvicr.amassstoragtdcvice sucb as ahard disk drive or cout
se depends upon many factors, asLsknown.M sucb

theb'
ke.Wheaabacddiskdriveisuxd,ilmaybeaseparate
unitfrom theuserconlrolleraadcameracontrotl
eroritmay
bepartofanintegratedsystem .

thingsthalmigbtbetbcobjoctofpatternrecognidon will
sometimcsbcrcferred loasenliticsinlhe following discussion andclaims

IIWJ Eventhougbvideosurvcillaucesystemscanhandle (00161 Patlernrecogmtioncaubcbasedouasingleimage.

multiplecafrmrasandstoreimagestherefyom itislypically

c g.,alflhscustodianisin lbevaul!shot notifythcsystem

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 28 of 48

1-J$ 2003/0095687 A1

M ay ll,2003
R

operator''ocitcaa bo bascd on multiple nagts c.g.,'*If

pcrson outwitb abeard orsmnglarxses and one wtthou!a

JobnDoeandJoeSroilb(twosuspectedbankrobbers)arein

beardorsunglassesexislthenbotbofll
ephotographscan

thelobby shotattimcT1aotloalyJohn Doeisin tboIobby

sbotala latcrtimt'1Q.tbeunotifytbesystem oporatoraod

be axsociatedwilhthatpersoa andsearchedwhensearching
fortbalperson.n osarncaltemativeinformationcanalsobc

staltlookingforJooSmith.'
(* 17) n ebasicpatt
ef'
nrecogaitionexprrssiomsare

storedwithrespecttoobjects.Amodificatieaofll
zisrulc for
examplepurjxE
sesusingonlypersooidcntiti
es1:

IFP1JtypflP2JGQIAP3 ..IIV N)l/thR7()2JQNID

1)3

f1)

I
FiyenonJk=xaaal:groasccse)>d(
)jxzrson
gko oaa1g.ofkaovzao:suspcctcdterrorsts)Jdqll
tpersooBz alpooothcltofknovaaolsuspectrd
t
rs-)
tje
oe
ateanalarax)JkhID(lookfor
Fc
'ol
rr
so
on
siX
rR
kI
thE
eSima
ge
)l

g(*181 and
(1z)
IsrloRr)ollr:r..a'uexozxxoqzykxfl03
(2) (a(c7J n ispallernrecogaitlonprocessmay bedoneon
( 19) Forex
ampl
e'rul
inelbso
sett
in
gofacmsino'themonitor i
ma
ge
s ii
rt'
t
'vitllo survcillance system a siogle time.
bav
e
a
uch
a
s
Al
ttr
nzl
vcl
yh
program alay
lmayl:ht:dontlxriodically,oron acontinu,i
otus bmsis Funhcr, 11x m les cau have time Iim its.For

IF
c
out
n
iz
rnrs
jc'
IHE
sheN
wltp
aet
et
f
cy
rvg
:
y
ast
om
na
op
Ie
c
t
at
of
r)knoucard

(3) e
xampleparultmayspedfythatifapelsorlAjsrecognnel
inanim age.tbesystem willsearcbforapersonB iclimages

((
K20) wheretbereLsonePatldoneQ.Allematively,arule
uaaybeof1beconjunctivefonn
Ii
(
Fmati
n
yt
i
moshT1
h
r
dec
usANL
-rA)
AND
gz
ca
ag
tc
tiaz
et
Tl
ow'
ss
co
aw
rdxcc
txa
ml
ro
B)
AGma
ge
Att
irx '
IQxlowscar
dcounterA)AND (imageattimo
'
r2 (
kye:notsbew cardcount
rrB)'ITIEN (noti
fy
sysbsulopcsztor)AJqII(aotlycasinosccurity)

(4)

((*z1) Altcrnalively.thc rulemay beadisjunctiveone

&VlCb 'S
tF (fmaeesbewszameuealeru casidierarea)olt
f
nzaels'
lowsganwvx l
crinvaultama)'I'
HE.
N(notz
fy
'i
s
pum
' operator)

(:
)

f0:j5 mkjutes(berefrom and. ifpcrsonB i

sfoundwilbin
akon
tbattinae a certain actj
on vwgjbot
(0028) n eembodjments(jer
.crjbotjaboveljavebeenprt.

Rntcd forpurjxl
ses ()fexplanati
on ouly.and the prtsent
uventiorlshould Ei
otbeconslrued to bo re limiled. Varialiorksonthoproseatiovention willbecorraereadilyapparent

tolhoscskillcdintbc;artafterreadingtllisdescriptioa,and
thoprcx ntiuventioa and appended claims are intended to
encornparsssucb variationsaswell.

Wllalisclaimcd ts:

(
*22) Someotberalarm generationrecopzitionrulcsthat uni1t'Athsystem forgeueralinganalertinavideosuf
veillance
m igbtarisein thesesituationsiacluck:
e system mprising:
IF@ ti
me'rlcbjectormrr.
otAisizlafi
rstil
rogtsklt
)
AND(atO eTI.objectorlwmoaBi
siatkefu'
stimage
siotlA.
lfD(sttrnen objectorersoqAi
siaasectmcl
imageshot)AND(attime'n ebjecterpei
rsonBisnot
inlz
esecxmdimageskl
t)THEN generateanahrm)
IF(attir
x n obj
'
rctA isi
naf.1s1imagcsl
xd)ANll
(
a
t
t
i
me
n
o
b
j
r
c
t
B
i
s
a
o
t
i
a
t
i
l
c
f
u
y
t
i
ma
g
o
s
h
)A
(attil
acTlobj
ectA.isiawVOH ic
aagr:l
xo4t
)
AND
ND
(a
t
t
i
z
l
z
e
'
f
z
'
o
b
j
e
c
t
f
$
i
s
i
n
t
b
r
s
e
c
o
n
d
f
m
a
g
e
s
b
o
t
)
T
HEN
smw atoanalarm)

(6)

accerx
s mtansforaccessing sequescesofdigilalimages;
pallernrecognition moans forrecognizing anenlity in al
leaslone digitaiimage from thescquenccs ofdigital
il'
llICCS,
nile applimtion means for applying rule-s rclaling lo

(T)

c
jtiticspotcntiallyapjgcaringintbeatl
ca.
stonedigital
ir

(
zuz
leuso
l
is
zl
is
ttv
armiouut
siaoiz
ur*23
itych)
ockine
lxa
ocmp
atior
vf
ytt
t)
a
nn
in
ie
tia
la
en
ry
npo
art
ps
ee
rsc
o
u
A isphotograpbedcarryiagnoobjects.Atanotl
wrlocation.

rflagl,tbc rulr.spertalning lo alleastone entity;and

means forgeneratiog tbe al
ertrespoluve to the atIcast

onedigitalimagesatisfyingoneormoreoflherul
es.

sucu as an onuyway oato an airplane anollzerpbotograph

2..f'besystem ofclaim i wbereio theIulesincludearule

slowste
ersoxzA witb anobjcctB whchcan bcuse.dto
ean alarm sbowing achamg'

specifyinstbegeaeratioaoftbealertwheotbeeotityiulhe

genera

ed conditioa.

IF(okjectoryer
xaA i
su aiuu
stssotofaphce
wb
je
cao
p
THe
Ea
N ie
@epo
eb
rA
te
ar
al
ar
ra
me:
l k nG perritod* be)

(1)

((*M ) Examplesof1hisl'
uleare:
kI
Pt
t
rc
t
in
g
at
z
ea
o
uner
b
e
A
iag:reb
ae
lt'
r
pl
scxiu
'p
(gu
esl
enra
e
al
at
n
)thanhkhstake.s

lirstdigitalimageArcrecogni
ze.
dbythepatternrecognilioo
(v)

(*25) C'r
lFleboaworkerisiaareaothcrt
ikankilcbenl'
ruelq
(selecateazral= l
IF(pezvoaezobjextAisiaaaIzsageofaseeoelAND
(pozsouorAPCZA.;
SonaI
istefropleoxebjectsof
4
ct
or
ui
yp
pl
e
(
pu
erse
of
at
o
rob
e
.
ct
Bi
s
alw
oHE
t
hNe
li
s
o
fa
pet
.
e
elAND
orobj
e
lmt
cl
e
n
in
t
lve
)T
(goxrataanala=lAt.
l:l(I
xkf
orpersoaorobfe
-ctB
iatlmimag:)

at least ooe digital im age is recognized by the patlern

rccognitiou meaus ascorrcsooodine to atrackcd cnlilv.
3.c'
=therulesipclu(jearuje
Tlm system ofclaim 1,*
whercin
spedfyiag tl
'
iegex ralionoftlK alertwben twoentitiesina
mcansasbeingentiticstolx Irackcd andortlyoneoftbose
t
rnliliesisrecognzed astvinginasubxcjuen!socorl
d digital
j
m age.

4.n csystcm ofclaim 1.wbereinthenllesincludeanlle

(11)

Sx dfying llm gcnfration of the alert when an eotity is

rscognizr,dby thepalternrecognilion meansasl
xiagintbe
atIeaslonedigitalimagecorresponding toan al'
eainwbich
theentilyisootsupposed lo tv.
5.'I'
bfSYSIQEEIOfclai 1 whereinlbcmlesiacludearule
specifying lbe gexrationoflhe al
ertwheo atirslentity is
recognized by llm pautrn recognitioo means as l
x irlg in a

(*26) Withrtsmcttotbeabovenll
e(11$ &modication

firslcl
igitalimage,andli
m III
'
.
I
;
tentityaodasecoodentityare

(1Q)

oftberulcalso providesfortheinclusion ofaltercati

vcor

recogni
zod by Ilw pattern recognilion mtansms being in a

ah'
asinformation ccmctxning aswcihcpcrson orobhcl. subsequentseccmddigitalimage.
A ccordinglyptbe group information can also indude altcraativooraliasfnformation n lm ifpbotographsoflhesame

6.'I'besyslelnofclahu 1 wberein 1henllesincludearule

where whentheparlem recognitionmeansrecognizesafirsl

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 29 of 48

%A

US 2003/0095687 A 1

M ay 22,2003
3

entityio lheatleastonedigilali
m age,asearch isinitiated
to look for&second entity ittothcrdigltalim ages.
7.'Iho syslem ofclaim 6 wbercin tbc rule furtherspecitics lbe generalion of lhc alert ifthtzsocoud estily is
i'ecognizedbytbopaueru recognitionmeansasIyelugwitiliu
atleas.toneoftllootherdigitalimages.

8.'f'
b:system ofclaim 1 whcreio tberulesincl
udearulc
wherethe gontratioa ofthealerlisspecied w ben a fust
condl
tion issalislied atal
irsttime atl
d asecond conditioa
issatisticdatasecof
idlimodi
frerentflom 1be fusltknc.
+ # # # *

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 30 of 48

No.C V06-00114

ETREPPID TECHNO LO GIES,INC.

VS.

DENNIS M ONTGOM ERY,ETAL.

Ex./(

Adm itted:February 7,2006

RO NA
ONG I , . CLERK
By
,Deputy

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 31 of 48

.

.. .,

v .

F'lease rem m reccg'ded lo:

P'dlsburyW i
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AttyDkt:042503/02F3341

1G)0TysonsBcqzlevw'
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Cli
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415(U)

Mct-ea a. Vkginla 22102

ASSIGNM EN T
qfU.S.Orizin PatcntAoplication
W HEREAS,theundersigned

w ir:DEN NIS L.M ON TGO MSRY , (herei

has nuade an invtntkm enlled taIMloETH
#erASSI
GNOR)
O D AN D API'AR AT IJS FO R D na
ETECTI
NG
Ae ,
REACTG G TO OCCURAENCE OF AN EVEMT'', forwhich an appscation for Letters Patent

ofthe Uncd States was filed in the United States Patentand Trademark OKce on N ovem ber 21.
20
01,undcrSerialhlo.99/990,868'
,and
W HBPX AS, e'rreppid Tecllnologies, LLC, ASSIGN EE, a corporation dul
existing
y organized and
underthc laws oftheState ofNevada and haviag itsprincipaloce and place
9410 Prot
ofbtksiness at
otype Drive,Suite 18, Reno,NV 89511, desiresto acquirean interesttherein'
,
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N OW ,THBRBFORE, forgood and valuablc coasideration the receiptand sufliciency ofwhich

,
areherebyacknowledged, said M SIGN OR (IOG hereby sell assi
gn and trarksfer unto ASSIGN EE, its
,
successors,assgm aod legalreprc entatives
t
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the said o l
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vi
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AN D M SIGNOR hereby agreu to eassgm
xecuteanypapersrcques'tedW ASSIGNEE,itssucccssors,
s and legalrqxo entatives, deefe d es
scntialto ASSIGNEE'
S fullprotection and tide in and to
theinvention hereby traasfcrred.
ASSIGNOR fudhernrre agrees upon request of said M SIGNEE and without further
rem uneratbn,to execute any and allpapcrsdc ircd by said ASSIGNEE f ,
fo
or the Eling and grantiug of

rcignapplicatorksand thepmTecting oftitlethereto in said M SIGN EE.

NOTE Tn e undclsigned hercby authon'z'tq Pillsbury W intlu'

op LLP,ofthe alm e addru s
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M ay 22, 2 3
1

M ETHOD AND AIVARATUS FOR DETECTING

AND RFA CTING TO OCCURRENCE O1?AN

arc comprc- d, and operated upon wbile comprcssed to

detcrlninetheoccurronceofanevenl

EVENT

yfxjgl Melbodsofoperaling upontlm dalarelating to tbe

1. FIELD OF THE INVEN-HON

weneoneaaeventisdctcctcd iucludepovidingastillimage
atintcrvals,lypicatlyovqv.f5-15 ffamc.
susingthedatafrom

tftjl.
l Tllepresentinvenlionpertaiasgeoeranylo vidco

atIeasttberocording devicetbatdelectcd t
l)eeveol.In A

im age collection.M ore particularly, 1b0 preseutlnventi

ou

relatmslo metlt
xlsand apparatusfordcl
ccting androacling

Drtbcr cmbot
limeat. still images from omer mcording
dtvicestllalarcasxciatedil
aapredclcnnine,d mancrwith

lo cbangt in alield ofview ofavideo camcra.

tlllrccordingdevicetbatdolvclsdtheeventareal.soobtaoed
z!inzrvals.

2.BACKGROUND

4. Bj
kjsyssscRjpvjoN oy'
IME Dltawm Gs

((*()2J Casinck
sare Iuulli-billion dollarindustri
es.Even y()l(j 'Ihe presknt invenlioa i'
gillmstrated by way of
though lcgalizodgambling is&mlativoly youug irxlustry in
tk
is countvy.itctmtinuestogrow.

example aIIJ notlimitatioa,intheEguresof11w accompasyirtg dr'awiogs in wbicb likc rcforences dcnote similar

(*Q31 A necesrsalyelemcntforanejrocti
vecasinoopera- ClfaKnts,Afl
dinWbicb:
tion isanelliciel
ztcasino rzlanagementandsecuritysystem
Cmsinosspend substantial amounts ofInoney to obsetve. yl
l
l
l
j
nc.
t
il
u
trazsancxcmplarysyxcm according
o tlx preseutj
i
nv
cl
ns
ti
on and variotlsditfereatdevicestllal
gamble.rs dealers aad otlw rs in tbe casinos
sin
g. El
tyo
th
eltu r
onicsurveillancoequipmcntand iivepersou
nn
cl
octronic surveillatx:e usually takes tbe. fofm of clectroaic

camcra glcbe.
s orvisiblecameras(collectively camcras)
whicilblankrt1bewallsaod crilingsofthecasinos n ose
came
rasgcnorateerlormoosamountsofdata whkh bas
O nventieoallyboen stored oavidootaposforp'oasiblrlator
retrieval.
!
(tx*4) Inmox iastancespcamer.sa:rstatioxdi,laroas
whorcatlcastsomtparto!1% imagoframebeingtapcddoes

oventon;
t9BIQ FIG.2Xustralescompre
.sse,dramespreucedby
aCmnlc'
r'Wbichhasanobjctparxsthroughilsfi
cldofview;
g()lllzj juc. 3/ illustrates a procosxs fordctecting and
readi
ngtoacl
zangeinth.siz.eofframcsofasourco,
'
Y jz
jj Iqc. 3: jausfzatos severalpossible examples of

Changc.
saadeventhenothorporlionsoftbcimagefrzmedo

P0151 FIG,4illustratesfourscroendisphysinwbicila

((*th51 Siac.
ctbeimagefratocscbaogo infroquently,itis

5.DETM LED DESCRIIVION OFTHE

s
sto
ge rcqtircments.Oncc imageframeshavc
lmbn
mnacnodmpr
er
sa
Kd
li
s stilldesi
rable lo l
x able l
o further
.i

(ltllt;j Mejhoclsandapparat
usfordetecting androacting
(
lo acha

procmss thc compmssr.d itrlagciframms lo delerminr ifau

cvtl)tbas occurred.

pu:isdi
0ut
gilized,andlypicallycompr:s'
sed,arc:dcKn'bed.

Eb(*(
'or
xamp
ee-ilisdesirablet
ot
v ablclodetoctll
.al
iMI
mageI
rrae
m.s
llwl

numeroussvecificdetaitsarese,fortbixlorderl
oorovidea

withoutNaviug to dccompfe.
sstlle previouslv compfvrxsed

inventioa maybtpracliced in avarietyofcompreswd data

'

w'
glanow forIhevariot
l
kpormulati
oasdcscri-dlmroinlo

bcundcrstood, alllxmgbitisuudelstoodlbatlbiscxomplary
system sbould notlyc:conslrue.
d as limiting tim prrsent

nolchaageoftom Foroxarsplc'acamctamay te Malioncd

outside a vaultordoorin . Mai
nvell. Itisonly when au
ac
i
i
on
occu
r
s
s
uch
a
s
som
e
one
enzl
slhovaultorcrossesa
d
oorin tbe.s,tairwell tlzata portion ofthe knag.o frames

notchange.

pPeratiolw thalcasbepedbrme.dinreaction to tizedetection

fznoccurrcrxx ofanevcslaccording l
o
o aoeml
xldimcolof
gleprcscntinveotioo;and

Perr
'
on causeda.Cbarlgtin tbesizr offrames to occur.

desirablc to useimage coui

pressioa to yowerthe traasmis-

PREFERRED EMBODIMENTS

nge ia 1% lield ofview ofavideo camerawbose

j
4thc:following descripli
on,forpurpoxsofc:
xpl&tlati
on,

to
cllangodduetoachangeintheseld tborouo understandingoftbeprewnliltveotion.ilwllbe
Ofv'
icw (e.
g.ysomeooecrcexsiugtlzroughtl)cfielclofviow) QMCI
CDV bfh
wrve'
r,10tmeSkilled intbearllbatthcpresent

imageframes.1hepreseutinvemtion-prov.s-ameGaaiswi systcmsinwbicltlwc'
ccurronc.
eofanevootLsrenocte
.dia
fordeteuiog thatacbange ia tlle sel
d ofvi
ew sroviouslv

lhe si
ze oftbe compressed data.In otlmriastances. well-

O
X ITCd in tllodaa wsocialed.wi
tbsoqucnt;Jllystom kmwo
omrati
o.s#sleps.funcuoasaadelemeotsaconot
framoswitbouthavingtodrcompre
ssimagrframesand also SI
Y WI
tinordTrdo avoid obscuring lhcinvenlkm
.

pmv
desseveralmechani
srssforreauiogtotbodetectionof
t11$Ci
h*nge.
3.SUMM ARY

((j()17j partsoftbe doscription willbr prcscnte.d using

tgrmnologycommonlyrmploycdbylb()re skillr
.d iotlm &rt
toconvey lhesulwtauceoftheirworktoothersskilkd intlm
zrt. suclz as comprerxsion, pallom recognition, framms,

(1* 7) A mmthfxlofdelectinganoccurrenccofancven! imagms.fioldofviow'andr

e fonb.Vafiousofmlatioasw111
tllztu istswitbin asequenoe ofstorod framesrelating to a
= nefsdescrbed, aswellasmethodsthalojv ateu& n the
dm mlaling to thesccneoacean eventisdetqcted.

(
O 8J 'flx mcthodofdotectingoccurronceofaucvecl
i(
nclades comparing a fl
rslstorcd fnme lo a lalerMorcd
flamc lo t
clxnino whetl
wra cbAnge in sizx betwocn tbe
frammse.
xiylsthatisgreaterlhauapredetermined tbrcsbold.
Inapreferred emlxldiment, thefirstarld laterstored framos
1

hcdmscrilxdasmultiplediscretestepspedorme.
d in turni?
:mannerlhatismor.tbelpfulia ulxkrstarxling tlycpresent
i
nvtntion.However,theorderofdescription shoul
d nolbe
conslrued asto imply lhatthr.
seoptrariorlsre noccr
xszrly
Iyerformedin1beorderthaltbryarcpresenled,orovraordcr
dcpendeat. Laslly,rcpealod tt
sage of lbc phrasms Nn one
cmlxxlimcnt''
fanaltcrnalive embodimenc oran Ralternale
embodiment*
'(lt
xsnotnccerxsarilyrefertothesameombodimcnt, althougb ilm ay.

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 39 of 48

'

t1S 2003/0095686 A1

M ay 22, 2X 3
1

tlKklsl FIG.1.illustratesanexomplavysystem 1% accovd- (% J.Z,J Fornageframes(xvesponingtothesfzene+at

ing to thc:prcsenlinventioa.wbicb is show'
n ashaving a
computcr120 thalcoprerx
sms3nd operazsupondigitizcd
dala using tlw fcattl
a softhcpresentiuvcntion dcscribcd
herein.Computert2o may also opcrate lo comprcss t
h:
digitizmd data and transmith toanotberdevice' showaasa

bavebocn compressedx ilisdesirablo lo tye able lo furtbcr

oGratcul
x)nltocomprossod icnagoframes, forexam plo,to
delerminelfanevcntbasoccur d in(beimagcframes.For
tXamPIe,itLsdesirablc lo be ablc to detem tbattbe imagc
frames hwe cbangtddue to acbange ia the.fiel
d ofvjew

using tbefeamresofthopfesentinventiondescribedherein.
W hil
e comprerxdon may be acbieved by computer 130'
practically tbisis 0olemcient. A numberofcompul
ers120
arosbowa asproviding dgilizr
.d dat
a toserver130,which
aspoctisillustvatef
linordertoexplain furtberbow varbus

having lo dccompress l
ae images.Tbe prcsent invention
providcs a mcchani
sm for dctectiag tbal & cbange bas
occurrcdia thcIidd ofvicw witbouthavinglodccompress
image fcames aud also providesseveralm echanisms for
reaclinglo tbedetection oftbechange.

server130*szlthalservor130operatesulxm digitzeddata (eg..someonecroui

agthrougbtbefieldofview)without

rdated streams ofdigitized data can tx opcrated upoa ((

j(
1131 FIG.2 illustrate.
s comprmsscd fral
ne.s Ihatbavc
according lo oaocmlyodimcnloftbcpresentiuvcntioa, as tmcnproduced by .camerathathasbad an objectpass
d
ew n-bed hereinafter
.

(Y19) wlzilethesystcm asdescribe,daboveilluslratesone

ma
er io whicb the atlvantages of tbe presontiavention
dosno
cn'bed herein can lyc use.d tlzis is exemplary. For
'
u zmpte,sim compht
t,
rstN and 13:couldlx;ilnpkmtck
ted
as x nelwork of com putcrs oras a devicr othtr than a
compulerthafcontairsaprocerxsortbatis.ableloim plement
lllo inveulions descr'ibr-d llerein.M auy olller vananl are
possible.An(1wbilc adlvicsucb asEnonli
oxd wiillypic
a
l
l
y
i
n
c
l
u
de
a
pr
o
c
c
r
x
r
/
o
r
of
s
o
mc
t
y
p
e
s
u
t;h as an lntel
.
P
entium 4 microprocessororADSP irlconjunctionwith
program instrucvtio% thatarcwrittoabasexlupontheteachings berein ot
herhardware r
bat implemenfs thc present
inveotion ca
.n a
l
s
o
b
e
u
s
t
d
s
u
dlas atield prepatnmablc
gale array.Tbe program ins,
tructionsareprcfrablyw ritton
inC++orsomcolbercomput
erpregramm inglanguage.For
repetitive routines thatare used repeatedly. tbese ca.u bc
wriuon in assemblerforfmsterproccssing. As menlioped
abeve,tbc presentinvt
m tion oporatesupontlalaprofcrably
formaued iuto amatrix arraywitbia aframc. asdescr
ibed
furthe.
rIzcreinafler.Fordatathati
s aoltemporally related,
ttm blockscan boformattodint
o frzmes(Ixalmay ormaypot
bavctbe zbility to slom tlzosameamoun!ofdata. Fordata
t
tgLs
en
mpo
lyrclat
ei
d,suc.
basimagrandttdiodala.oacb
ibz
mz
eta
dilsrarl
elated audi
o thtawllprcferablyhw citsew'
a
frame.although tl
ulisno!Anoceri
sity,sinceimageandaudio
datacanbestoredcm separatetracksandasalyzed indepcndeotly

((*2@J According t

througbitsfieldofview.Camera202 ispointedatdoonvay
2% in1z(s)ui
zwen andacomputer(ao'sbown)altacbea lo
camera 2 sucb as compulels 120 ofFIG .1 produces a
f
KZIUCICCCC1(ji
gitized and comprecx
sodframos20$/-,,210a;.ej.zrja214u.a.comprossioncan iyeacltiovr.
npzjat
dusing
l
tf
j techniqufes(kscri
bed in U.
s.PgtcntAppli
catioabealittg
altt
oruey reerrnc.
e(,42.
$03/0259665 estitle.
dfxM othodAnd
A a
P ratus For Delenrining Palleras Witbin Adjacent
sjPoc
ksofData''lilr.d op Ocl.31 2G )1atxlassigrmd to lbe

a
g2o
hepxxntappl
ical/n,artdapplicationSer.No.
()9/i
7
7x(:oft

.)
6optitle.
d usfotl
:odAndApparatus ForEncoding
si
pgle Pass'
*l
iled ou Nov.29,2* 0 and assigned to the
asskgnco of tbc presoot applicatioa, both of whicb are
ssl ucorpoated bcreinby rcfercn . 11iq
ex
inote.d that
jprc y
wj
j
e
.
n
usi
ngthesetecll
uques.partkularly forpatttru recog'
t
i
o
u
n a oalmta
ti
oualand di
agonal traversals of Ratci
l
blocks are typjcajjy not oocewqly parucularly wlw n a
camera isvd inr'osition.

Inform'
ation Using Multiple P&sses AIXI Decoding lrlA

(0024) Whctbcrtbcframes208:1-a,210a-a,212/-:1.znd

214J-narcopcratedufhoainessentiallyrcal-time,storedand
ol rat
od upon.compressed and tben operatr.
d upon, com pressod,storcd arld thon operated upouv orcom presw d,
transmilted,sl
orcd alanotberlocati
on and then o .
erzted
upon.theinvTntionsdescri
bcdhrreinareequallypp?
lmablt.
Forast
illscTnc lzaving a srqucrl
ccofframos,tbe uncomPrrsse.
d framf willbave acerlai
n relativelyconstantsizz,
wbetherilbaslxencompressedorno( andwbothertbereLs
adioa ormovcmontorooq tpcc-

andoperated upon.orcomprcaRd and tral

wmitlcd forstorAgeloin Anotherlx ati
ou.Furthcr tbcl'
rarGsituali
oaswhc.a
com
prcssion isunnc ssary,sucbasifpm em rrcognition
betwx
nframesism rformed tluringsubstantally rcaltime
oprrali
oasoa framms.

usotbesamonumberofbits
isuscd torepresentthe frameaOnc
r compmsse.
tk howover,
llw amolmtofdalaIv de.d lor.eme
stnlcac.
h frAmcthatLsof
thenmescenew111besubstantially1e..a ttantbcr.arlzeslxaq
ma
tarls
ol
:
ob
tssupcrimped thereoa.andtbat
c
omp
ra
dassot
ceh
nc
erwi
lj
lo
ccomp
trxs lo rougblytbcrsam esizra
tbough tixrtwillbcsomcnornuniformitydurlo noiseand
ottl
erfactcxs.n us asslxh
w? in FIG.(
) tbe comprm.
kc,
el
frafnes of212a-, are larger tban tbe compressed fraes
zto -n atxlzltu-nl
x caux perrwm 2% hasenlercdllrough
dx rway x 6. m mnpejx n2% loavts11)cfi
tld ofvicw'of

(X21) Insomeinstances,tbedm oblainodcorrmspondslo

bcatkms wlmrt thescctmsbti
ng mouit
orod andstorcddo

c
amen 292aft
besizeofcompressr
.d framesrtlurn to 1bt
jlrcviox rel'
ively smallsize

uoIchmgeoflcn.Forcxaplc,acamcramaylx stat
ioncd

(:025) FIG.3/illustralcsaproccu 300fodetectingand

oacebodimont,11x compuler120
or senrer130 is assuome
d lo have rrccived digitalimage/
A
u
d
i
o
f
r
a
mm
s
t
l
l
a
t
r
c
l
a
l
m
l
o zRquence.whichRquenccbas
b digitizod nt
o framr.
satl
dcomprmssedinsome manner.
nezn
e
.se frames may be comprossod in = eotially real-tirne

outsidea vaullordoorin aslairwclland record tlw w.4lle

wbichislxnroceivedbytlzecomputer1* .Itisonlywben,
someox enlers tl
x vaultorcrcuc
.ses ad rin thrstairw'
rll

thatlhc imagt Crame changesmbstzmially (since even

, ass%

w n in frames21*z-n.

tw cting to a ctzauge
a tl
x siz of cotw rerx
sed faqmsk
. i
obtainedfrorn1hesamosource.11sbouldbcappreciale,
d that
prtv nlinvcndon isrlollimilr
.dl
ooompressedvi
doo fzamos.

Eveathougbabovetbe fraamsbavebeendescriizediatbt

b
'etweeu Rquentiz! framts ttyzt Kcovfl ttt.samv ssxM ,
changesin tlm dataropreseoting theframewllexb;tdue lo

conttxtofvi
e.
o tlal:the frame.
s could lyt zudio data or a
mixLureofaudioandvieodalaorrvenanolherform ofdata

atlcastlxliseoFccts).

thalproviclmsanindi
calionoflhcccatrrenceofan event.

'

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 40 of 48

*e<

'

'

'v

US 2003/0095686 A 1

M ay 72,2 3
(3

.
.

'

Accbrding lo oncpmbodimenl.process 300,olxtrates oo . ()

0029) Theextcrnalpatterusofinlcreslarcconrainedioa
compre- dvideoframdsfrom theliel
d ofview ofacamcra tableofpreferablybothuncompresse.daodcompferw
sed les

whi
cbbatanitdtiatw ricdofsubsuntiallyrxlaclivityinlbe

ndwhi
cboflheElesbeingusedwllldependuponwbelher

Iiold of vicw folloFed a perioclpf acti

vity cauxd by an

pattern rccogaition willlE

< madbascduponuucompressed

obfeawhi
cbonterstbefieldofvicw causngachaugcinthe

sizoofthocompressedvi
deoframcs.Eacbofthoframesis

data orcompressed data tespectivcly.n e compressed

ObjectSf'finterestaresloredusingtbosame compression

Prefcrablystorodincompres-seaform asablockofdatathal ' 'echnique tllalisux d to obtaincompressio!lofthe frames%

hasasiw awsocote.dwthit.Iaprocss.s3* roreacttfxame, tbusallowisg formortomciontpattcrnrecogaition.

iti
sdetenninedatstep320wbethortberoaremorcfoll
owing
fcamesto procerxs.IfI
zot,t
henprocr.
'
ks3* stopsalstep 322.

(e(B(j Ifasarr
sultofthccxl
eroalpallcrumat
cbing a
match is found to exisl,as shown by stcp 312,a matcb

Ifthere are.foranothorframe 1besizeofadjacenlcom.

irldicatioawillcauseanalertofsome1n)e.tobegenerated

(1*26) FIG. :$: illustrates severalpossible examplcs of

recognitioaortbeIocatioooftbeevenl'orilcouldbea.
n

prerxsed fram esis com pared in slcp 382.Iftlze subsequeut

framc is greater:
W 4 tban theIxcviousframo by a ccrlaiu
tt
zrmsholdva rlactslcp 305 followslo indicltcdetection of
tlm occurrenceofthocvent.
om rationsthatcanbeN rformedinreactioa totbedetection
ofaocecurwnceofanovontacxxxdingto aaembodilzmulof

tbopmsontinvvation.SmciscallyasshowninFI(7.3hone
ormoro ofthree porxsibleoperalloas306 310 3l6 c.an be
porformedmsaresultofaneven!occurring,asdetermine.
d
by stcp 305.

g(*z7) Iftl
mrewasanovcntdrlermine.domration3% can

inslep314.n isc-anoccurateithetcomputcr120orx rver

1M . Aa alert can bc forexample an indication on tbo
monilorofaxctlrityguard orothcrautborityindicalingtbe
ideolity oftbc pclson identiliod by the external paltern
audiblo alerlovora wireleu radio to asccurily guard to
confrontsomcono w1t11a ccrlain descdption ata crrtain
location.A.a cxample of an alcn will bc ckscrilycd in

fon w ktjjnc.4j
xjow.
conncct

(0031) Addit
iouallyoralternatively.procoss301)allowsa
securityguardobserving tlw fkl
d ofview ofthccameraon

amonitorlotagormark auobjccepcrsonthatc.
attsedtbc
cbangc in the:sizc oftbc framesso as to jxrmitcasy

bo iastitutcd whi
ch willcausca sexjuence ofstillimagesy
obuine.d alsome inlervalfrom cacb otberlbatfollow the
initiatoa of ttm eveutto be obuined.n ese stillt'
rames
reprmsentzsigaiscantreductioa from ti
le totalnumberof

followingoftbepetx tias tbtpcrsoanavigatesinfrontof

tbe camera and appcals ontbemorlflor assbowa by step
316.DiFererltshapos antlcolols oflags can be tuv.e.d lo
difercntiatc l
xtweondilrertntlevelsofscrutiay t
laatshould

framesthataparticularcamerallasobtained.Bymakinzthc

beappli
edloeachobjoct.l%rexample,oncsllapedobjecl.

i
ntervalL'etweeaevce 4111lo 10thgrameypreferablyJvcry quch asa lriangle#cau bouscd lo designalc an oxtornal
6'h sume oc. oftbo stillimagosobtaitmd win costain a Paltcm Ibatbas a bigb prionty-wbereas anotlwr shapod
--bestview--oft
beobioclthathascausedtbeirxxeasew.c;.
,e

C'bjecqsucbxsacircle,cant.
,
eusedlodeseualeanuternal

o
ftlltcompreex
sedZme.witllcachstillfrarneobcain
''
e
M'
-W
d
PaYmtbathHalOWPrit
rity.Similarly,oWrincombination
operatio.sca
- w itl,tbcsbam s bcing .-.d,ooe color sucb as red-canl,o
nbem rformed,suchastranvnittiug-viacmag

'
ux dlouesignaz aaisercntlligh priosily.andanotbercolor-

orotl
wrlraasmi
ssiormccl
uausm sbown inuc1
?xs,cach
st
gii
ma#eto ,pxterminexllocatioa.Ifdmszre,d-image
recognitloqcanberrrormedoaeac:stinimage asshown
bystcp3:9indicatlngtlaltllestillframesll
ouidbeproce
-ssodforoxtomalpatternrecoenili
osoranol
gectsuchas

sucb asgrccn. c,u bo tuscd to (jesignatc a diakrent 1ow

priorjty

31e > tailed bcreinafter.

FIG.4zlustratcsingreaterdetailatecbniqueforfaciliuting

apcr.
;onorarticle,-xsl
yerform/diaandde
.scaa'bcd'bystep

(t)tB21 Onceaaobjec.tofinzrestisl
ocated,laggingthat
objectcanbcuse.dtocausethemarkerl(.apooaradiacoutto

tbeimage.Ofcoufse,tbisfeaturccaolxlura
Ae.doffi?dosired.

'
(* 2#J n e step 31@ exterual paueru recogniti
oo is
dfrocl
edtollringforpreviouslyobtainedexternaloatterns

followinganimageofanobject.suchasaIxrson,amol)ga
Mroupefcjectsdisplam don a monilorby marking tl
ze
lmueOftbeobjcclontbcmoni
torwithalagormark.FIG.

framcs.Tbispattem recognitioni
ssbowuasbtineinitiatod
by stcp 3B5zftcrzcomplvsscd fn mohasbeen aW
cte.d uoon.
'
nce
wbicb is preren.
ed for ('
reviously compressed dataa si

anobjed causedacbangelntllesizcofframest
oxcur.Iu
SW o ? displaY 404 atag.4t1lA isattached to ttlcimage of
Pfrr'
cm 40l''
X5th*itnlteOfPccson401movcsfrom display

withinoitbcrcomprcsse,
d oruncomprcsseddayareprv
* nting

oxtornal pattera recoguztion neetl not be m rformed on

frames thathavc rougbly lho same sizx lhatindicatms no
motion is uking plam . For framcs tl
aathavo notbcen

Z1illllslrat
e-sfourscrotndi
s.1
1lays402,4114.406,4:8iuwhicb

404* to display 4tl6, aod tbcn display 4a:, tag 4e1 a

f
ilitazsobscfvauceofwhtrttbtknzgcofpelson441Lsou
ta
bc
e(rsplay.

compreswl.cxtemalpatlernrecogsition canoccurontsc

(*33) Displays402 l'

>! 406 aud4:8 ake
,osbow ina

un mpressed datatbalL%beingseearche.dfortodctcrmineif
exterualpztlel
'ns ofsignificance existtbercio.using techrdque.ssucbasdescribe.
d inU.
s.IhlmntApplicationcotiucd
'Metlcd A.
IXIApparat
us ForDetercuning palterns witlgo

corner of the display an alrrls region. As descn'

lyed iu
connoction witb FIG.3 zccording lo one emixxlimcnt a
visualalerlisgenerated wben 1beexterualpauerarecogaitionProcess310thatproducesanindicarionthatamalcbbms

Adjacont Blocl
(s ofDaa''Iiled on cct
- 31 2a)1 and

OCIL
AIITC
A arxiidenliesbotbthematcbuame intbt
'qcasea

menti
oned abovo with atIoastouc separat
e tlread prefer-

ablybeingioiuatedforeachdizerentexternalpatterntbatis

Perscm'sname and thelocatortwberothemalch occurrr,d

thus descnYing lbt identity and Iocatioo ofl:e object

being Kafcbod for, zod M toad ofzrefcrence franxc being

identzifd'

uscdt
oobtainwzrchblocks tl)cextcrnalpauernisusr.dto

(:034) n us melbodsand apparaltksforexzmalpaucm

catllx used..

recoguition havc boen described. Althougb thc prcsen!

iuventicm bas bccn dmvz
clil
xd witb referencc lo s'
pccific
exemplaf
y cmbodimefltswilwillbecvidentlo oneofordi-

obtainsearcbblockstha!aresearchedforitltlxctargelfraam.
OcourseyotNerconventiorlalpattem recognitiontechniques

'

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 41 of 48

'

US 2003/0095686 A1

M ay 22,2003
4

nary skillinttk
e arttbalvarious I
nodtcationsandchanges
may bomadototheseembodimestswitbtltzldcparllug froal
tlm broaderspiritand scopeoftlm inventioaassotforth in
theclaiass.Accordingy
ly,thespec
'caliosanddrawings ar:
Io be rcgardcd in an illustrative rathcr tha.n a festriclive
scnsc
.

W edaicu
1. A mctliod ofdotecting occurrencc ofan event tlw
metbed comprising'
'
.
compx'ing aIirstcomprosse.ddigitalframesize to alaler
compre- d digitalframe siz.ein a sequcxe ofcompresx
;cddkitalimageframestodetermi
ne wl
wtber a
clxqng: in size oxiststhatks greaterthan a pr
etk termincdamount'and,iftbcclungc iasizeLsgrcaterthan
tlw prodetermined >mounta u'ging thatdetermination to
indicatolll
e occurrenccof11- eveut.

2.'f'
homcthcd ofclaim 1 wherein tbeoccurreocoofthe

6.n c mctl
'
i
odofclaim 2 fartborcomprisi
ngperforming
extcrnalpattcrnrccogniti
onon tl
)e.Iaterconprer
xscd frame
usinganexlernalpatlernaud furtbercomprisinggeneratiug
an ajcrtwtmnthc cxtcrnalpatteru recognition matchestlle
exle
rualpatlem tothenew object.
7.n c mctbod ofclaim 8,wberein tl
m alerlitkcludes a
visualaleu k

idi
catingidcntityoftbencw object.

8.n etuettgzd ofclam iI>wlereitttkie al

ertiwzludesaa
audiblc alert.
9.n eznttbodtyfclaim 2,furlbcrcomprisingpladngatag

onauil
nagcof1beI
ww cjecllhatisdisplayedonamonitor
sucb tl
zat lbc tag Rcilitates following tl
x image on the

monitorasd)exw objectmovesonthemottitor.
10.R'I
X nzetbt
xlofclaim 1.whemin theEl
slcomp
di
gitalframe Ixovi/ s an im'ageof&stationary scrne tbat
d snotol
m tanmovementtbcreinandtl
w laercompre.
ssed

evrn!isan apmaranceofancw objectin1belatercom- digitalframeincludesanew object indi

catingmovemcnt
preascdframe.
occurringwithinlhsccne.
3.'
lhenxtl
iodofclaim 2.fzzrthercomprie g#riodically
u. 'nw metl)fxlofchim l0.furthercompfisingpcritjdiselectingaframein tNesequeoc.
eofcompressed framesafler
t
fbcoccur.renco of(he eventand lransmitting eacb R lected
ral
4xm .
,n emt
btxlofclaim 3'whcrTinthostopofperil
xlically

caljy seIecting a frame in the sequence of coupressr.

d
framesaftertbeoccunrntr of tbe cvcntand transmitting
cachsclccto(jframc.

lx)d ofclaim 4 furtbercomprisiag pcrfonnng

,s n cmot
externalpattrn l
'
ecognitionontim seloctcd frame using an
extornalpattcm .

frame-sduling theoccurrenceoftbe evenl.

sdectingsel
easatleastoneofevely 1:adjacenlfrauxs
duringtI
zeoccurrenceoftileovent.

12''
f'
bfmf't
botlOfClailnl1.WbercintbmslepOflxrit
RtliCally Klectingreltct
s Alleastoneofcvery 10 adjacent
+ #. # * *

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 42 of 48

kNo.CV06-0O114

1
'

IETREPPID TECHNOLOGIES,INC.
?vs.

DENNIS M ONTGOMERY,ETAL.

Ex. /C

'Adm itted:February 7,2006

RONAL . ON TIN J ,CLERK
By
,Deputy

'

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 43 of 48

#m q, ie-w.'e >

'

A GREE M ENT lND M ODIH CATION OF

PROM ISSORY NOTE AND SECY TY A GREEM ENT

-

(M odm cntion No.2)

'PITTS AG REEM ENT A ND M ODIFICA TION OF PR OM ISSOR Y N OTE AN D

SECO TY AGREEMENT (M ODIFICATION NO.2)(thcAzkacomentq)is entored into

effective;tsorDECEM BERUW,2* 5.botweenFRIENDLY CAPITAI,PARTNFRS,Lxm a
Califom fa corpontuon (tho ALen(
.!c.
rgl, and DE''
NNIS M ONTGOM ERY AND BRENDA X .
M ONTGOM ERY,M TnlsteesoftlleM ONTGOM ERY FAM ILY TRUST (theABolrowee),
and ism ade9.
,1t
.
11z'
eferencr to the following faetst

STATEM EN FS O F M W ;
A.

Lenderoxtended a loac to Bonowczaacvidcnccd by thatcmlain M m issory N ote

(secarcd)datodlmluazy14,1999,oxecutctlbyBorrowerinfavorofT-zndcrintheprincipalamunt
ofup toamaximum yum ofOnoHundcedflightyn ouqaqdDollars($1:0,(m .09),mqamendedby
the A grezm entand M odifk atioa ofProm issorylfoto andsecurityAgrecmcntdate,d effective as(zf

Deceno r21,2000(theAX (
.)JJ#l.
B.
'

ThN otoissecured bytatt= taj.

n socurityAgmom enkdatM lmp ary 14,1999.* m

Borrower,asebtor.hzfvorofLcnder,assecured Party.nd UCC-I.NationalFinnncing

Statemeat,filed with the Calfornia Secretary of State on M amh 10. 1999.Filing Number
990746* 54.as cuoended by the A greem en:and M otliticatiop ofProm issory N ote and Secmity

'

Agroem/ntdated tffeotivemsofD rcsm ber21,2000mtdUCC -IN aEOV FinancisgStatea eaqfded

with thoNevadaSecm ta'

yofStatoon January 19,2001,FilirtgNumlmr0101033(colloidvely,the
AseouritvAqreemegt@),whembyBorrowergrautedtotandsrasecurityintorrstinits Mrmbership
lnterestin e'rtmppid Teclmologies)LLC.a Novada limited-liability company (the Aerfreppid
Intezestg).
.
C.

IrndcrlmsalsomadoyarieusadditionaladvancesundcrthoNrotoBocowerfmm

t1n11totim ein thoaggrogate ataountofCh ehfillioa'IhreeHundre,dSovonty-Ninon ousand Seyen

.
'

Hundred Ninty-riveDollarsand OqeCent($1,379,795.01),togerberwithaccrued andunpid

intezem thereon ofOnc Hunti
h'ed 'Twmlty-lliven ousand Two H uudzr.d Eleven D ollarsand Forty-

siahtcenrs($12s,2li,48)- '
--

'

D.

'

r.

Borrow crwishosto add th: aecruod butunpaid intzm stto tllcoutzandingptindpal

balanceoftheNoteandtooytond theNots
.

E.

Lznder m qujrs a persenal gaal-anty from Dcnnis M outgom ery and Brcnda K.

M entgomm'
y(thet'Cfuarantorm .

'

'

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)q'
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Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 44 of 48

F.

Borrowerand Lm iderwish to m otlify thc Notc andSecucity Agreem enta11llpcn.the term s

and conditionsastllforfh La '

thlsAgrccmentand subjccttothotcrms.provisionsandgcantoftlno
securily intclrstundertbcN o.

'

NOW , TI:
tEItEI?OR E, ia cousidoratioa of the mutual covenanfs and condltlo>
contained hereit)yBorrower and Lenderhereby am end and m odify the term : oflhe Noteyaa
previously m edified and extendcd:asfollowst

1.
Contlrm tlon ofAddltlonaln 'lnclpalftdv-vncesb-.
y-l
-e
wnder.bozrowerandLonder
hereby ackmowledgeaadap'
eelhatLendethasm adoanupberofadditiooaladvancesto Borrower
overthe amountoftheNotc through tllodatchereofi theagw egats am ourttofOneNfttlion'rhree
-

Huntktdsevent/-hrmet-hotusamtsovonHundrodNinrty-lRvoDollau andOneCent($1,379,795.01)

'

and tllatttt
eaccm ed and lm paidinterestundertlacNotelaOceITundtv-dl%ventp fk
jven oc r dTwo

HundredElevcnDollarsacdForty.EightCents(.
$125,211.48).
2.

'
.

Contirm ation cf Outstandlne Balance of Note- tecder and Borrowerher.by

acknowledgeand agreethtasoftltedatehcreeftheagregateoptstaltdin:principalbalanceofthe
Note,mqadjus:ed byadding thraccqucd buttmpaidiqtetrsttherroupisthrsmn OncM illionFivo
HumlrvdFive'Thouoand Si&DollarsaadForty-NineCents($1,505,006.49).togetberwithirtterest .
.

acczuing from and aflertbedatehercofon theunpaidpriricipalbalmlcoand on allaccm edbutunpaid

intcrestthcreon.

3.
M bdificat/on oftheN ote.Borfoweraad Lendc'rttem by agm e thatthe tornlsoftlio
Note archereby Izlodilicd asfollows;

(a)

'
f'
lm aggrcgateoufstandingprincipalbalanceoftheNote.asadjustodheroby

andfzom timeto tim ehereafter,togetherwith a.

lllnfernutpaymml? wllich arrst?ttimolym adrxshall

contintletoacsm eiutoxstattlw ratcof81.

xPmcen!(6*)mrazlrmm (or.ifapplicable,anydefault
intzm-st)flom thedatchereofttttiltheNotej.
spaidinfttll.
(b) n etzm noftlx NotoisdtleK dpayableuponwrittendrt
m andofthel-ender
and ifnodemand ismade,wthoutpodceordem aqd on Decemlxr31,2 7 CM aturityDats'').

(d)

R'
omtiodalooftheNote,nopaymentsofaccruedintermstorptincipalwiilbe

duefrom Bozrower,unlrssanduntilanoventofdcfanltoccum thezrundeq untitthoM aturityDate,s

exteadedhemby,atwhicbtim ethecntirooutsundinglxincipalbalanccand a11accmedbutunpaid
jntexostarld costs willbe due and payablc in fu11.
'
o

(9

n isN otesluallbeN ou llyr ra e byD= isM eptgom- u dBr &

K .M ontgom esy
CoqClrm ation pf Cmntiuuinz Scvritv lnlero t'
. M odificatom ef Secaritr
A eree- nl- Bom m eracknowledgesand agroe,s thatlbe sesuzitz intercstin lho e'rreppid Tnterest
gm otedby Bonow ortolwendortosccuruthcllotr isasorthedate hem ofi'
n fullfom oand effoct and
shallhcrcafte:
rcontixucin fullforce untiltheN ote isfutly paid nnd m rform cd. Fortlziaputyoset
4u

-- -

Notelflt/zrtzffo?l(No.2)-Page2
'
.

'

e'rreppid 0140
2e 1.GX)1

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 45 of 48

'*

Borrowcragrees to exccuteand dcliverlo Lender or1tscounszladditienalfinarlcng utemeatsia

favorofLenclcrcovezingthec'
TkejpidfntcmstfcrrfjtingintheStateofNcvadain ordorto centinue
and m aintain LndorzzG secaritrntsrestin tho c'
Tt
reppd Iaterest.
.

BorroweracknowlcdgesandagreestharQtisAgreem erltslaallin now ay affectsamendo

altor,release orterminate thc securify itttzrestheld by Leadcrin orto tbe e'rm ppid Tm mpstcr tllo
security agreemenq orany othtrdf
x ttmentscrrinsm lm entaperfecting orevidcncing anyofthesm e.

6,

Gm rantors. Asacouditiontolr deraoceptingN sAgreementfrom thoBofrower

and asadditionalsecurityforthcrcpaymentotthiaNoto,theBorm weracknowledgesalzdagrezstI:M

tbe repyment i
m d performance of tbe Com pany hereunder shall be m rsonally guaranteetlby
Guncantors.Th: tennsand provisionsofGuarantors'guazallteeoftl'
ljaNote1 a.
11beevidcmcodand
furthcrdefiacd in tbatceztain Guaran!y to beexe-cutod and delivervd ctm currcntly hem w ith bytlle

GlxprxlntozsinfavorofLender(the*'Gttarant/'l.
7.
No W '
aiver.Bonowerereby aca owledgcsand agreo thatanypartialprem m ent.
advauce,cxtension,renewalorforbearance ofa11t)ranyportion oftheobligation ovidenced bytlte
.

Noieshallgn nowayeffoctBorrowzr'sliabilityundertho'Note(oranyotl)erobliaationofBozrower
toI-cuderl,anditherobyagroegtopayallprincipalandaccrlze,
dinteregtandanydefaultimerest(1

anyshallbcapplied)andcogt.
qducunderthc:Notoiotketimem d in tlm mannersctfotthtllerejo.
8.
No O ther M odifie.atlon. Faxcoptasothorwisooxpres:lyxnodifie.d hereby,a11otlter
terrnsandconditionsoftho Note and SecurityA gnxm entshallromairjI
m affectedy tmchangoi &nd
unim pairedby reason ofthe foregoingm odification.
.

--

('I'
heremainderofthispageisintontionally1* blank'TIZLSAm eam tiscoqliqned andsigne.don thefollosvingpage.l

'

>

.
.

Nete&#bffi
rtcfzfezz(No.2)-Pake3
e'rmeppitl0141
ze fgm

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 46 of 48

**

5.
Defined Term s-Exccptasothet
wdso definedherein.allcapitalizcd.tr
znasstl
allrtfzr
to and ha'
ve thc sam om eaningsas defiaed orm ferred toiq the N ote and tllu Socurity Agrezm ent-

IN W ITNESS
O F,thepartie.
shercto haveoxecutod and doliverud,orcaused tol7e
executed and delivezed by a daly autllorized rrpresentativoz tttis AG
A h'
l.
l

M ODJPICATION OF PROIG SSORY NOTE AND S

Y AG

(M oditicatioa

No.2):usofthedayandyearKrs:ybovtwlkten,which.when executed.shallcoustitutoavatid axtd

bl ding obliga6on ofthe pardcshcreto.
ALEND EW SECIJRED PAR TYB
FRIENDLY CAPITAL PA RTNFRS,L.P.
A California l-iznited Parmorship
Byi Fli ndly Capital,Inc.
Its encralP
r
By:

p.Itsprosiljcnt

ABORR SVER/DEBTORe
!

M ONT

>

YF

TRUST

Nu

N N.

By:

NIER Y Itsco.Trustee

Byi
'

BREND A K M ONTGOM FRY,11 Ccc mstc

A clcnowlodgod and 'p rod :0:

zxctr Iu xa.o

D ENNIS

>W ,/ ...,w
/xp)gw z-xo t?# ;,t
,l,
s(s, st.L yx

BRENDAK.MONTCXO< RY

ZW ZFM odi
jicuttvn(& .2)-PVe4
ev reppja :14:
.

20*05* :

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 47 of 48

h. e

No.CV06-00114

'w .

ETREPPID TECHNOLOG IES,INC.

VS.

DENNIS M ONTGOM ERY,ETAL.

Ex./T

Adm itted:February 7,2006

RO NA
O N l R.,CLERK
By
y
- , Deput

Case 3:06-cv-00056-PMP-VPC Document 644-14 Filed 05/28/08 Page 48 of 48

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'

Catalog Num ber478452

Rev.A,9/83 --

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 2 of 76

Table ofCo'Y) nts

;

1.0 1N TRODUCTION
1.1 lntroduction

1
1

1.2 How to U se thisM anual

1.3 O verview ofthe Infortn System

1.4 A bouttbe 1nform Package

2.0 INSTA LLATION

2.1 Cbecklist

5
5

2.2 HP-86B Set-up

2.% DualDisk DriveSet-up

2.4 SerialPrinler

3.0 SYSTFM OPFRATIONS

3.1 Keyboard Functions

11
11

3.2 O perationalFeaturesofthe Inform System

12

3.3 Disk Utilization

13

3.4 Getting Started

13

3.5 Everyday Usage

14

3.6 Periodic Usage

15

4.0 PRO G RAM OPERATIONS

4-1 M ain M enu
4.2 Basic Program Operations

'
)

.,

17
17
'

18

4.7.1 So U HC E D escription arld D ispiay

18

4.2.2 SO U RCE NormalOperation

19

4.2.3 Baslc SO U I
ZICE!Program Operation and Data Entry

19

4.2.4 Basic Sot?RC E Program Operation AfterData

Transm ission

22

4.2.
5 Basic Sarnple Identification

23

4.2.6 Sample DataM anipulation

24

4.2.7 SelectQuality Contro!File Num ber

25

4.
2.8 SelectQuality ControlLevetNum ber

26

42.9 Accessing Com mands

2j

..

Inforrr!ll$Rev.A,9/83

Case 3:06-cv-00056-PMP-VPC
Document 644-15 Filed 05/28/08 Page 3 of 76
4 2 10
.

t -SOURCE Program Displays

(.t

27

4.2.11 Starl-up Utilily

29

4 3 Run Sample-Kl

30

4.3.1 ield Lim its

4.,
3.2 Entry Rule.
s

30
.

30

4.3.3 Procedure for PatientSam ple Analysis

31

4.3.
4

33

Procedure fora Quality ControlSample

4.4 Report/Enler/Edil- K2

35

4.4.1 F ield Lim its

35

4 4 2 Entry Rules

'' 'i

'

35 '

4.4.3 Procedure to Entera New Sam ple (M anualM ode)

36

4.4.4 Procedure to Edita PatientSam ple

38

4.4.5 Procedureto Printa PatientSample

45

4.4.6 Procedure to ArchiveSample Data

48

4.5 Patient Listing - 143

52

4.
5 1 Field Limits

52

4.5.2

52

Entry Rules

4.6 OC Analysis- K4

.
'

56

4.6.1 Field Lim its

56

4.6.2 Entry Rules

57

4.6.3 Procedure forOuality ControlLotAdd/change

67

4.6.4 Procedure forQuality ControlLotDeletion

61

4 6 6 procedureforQc Enter/Edit

62 - ----

4.6.6 O.
C Retrieve Tables

67

4.6.7 Quality ControlStatistics

70

4.6.8 Quality ControlPlotting

71

4.6.9 Quality ControlEnd ofM onth

73

4.6.10 Qualit'
y ControlArchiving

74

.,

. j

Infocm 111Bev.A.9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 4 of 76

4.7 CaIAna..- a- K5

'xm e

78

7
4 .7.1

Erltry Ru!es

78

4 ./.2 Prtlcedurf)to D Isplay Catibratlon flepoft

4.7.3 Prtlcedurfgto PrirltCallbration Report

79

4 .7.4

80

Prtlcedurt)to Purge CaIibratIon Data

4.8 lnstrumentMaintenance - K6
4.8.1

Field l
-irr'
iits

81

4 .8.2

Entry Rules

81

3 Pfocedurt!forSetup/Altera Maintenance FEi1e

4 .8.

82

4.
8.
4

Procedui:
lto Deletea Maintenance Fi1e

82

4 .8 .5

Procedure to Fntera Maintenanc:

e Report

83

4 .8.6

Procedurt)to Display Mainterlance Records

84

4.8.7 Procedtlre to PrintM aintenance Records

85

4 .8.8

86

Prt
acedurt?ttnPorge M aintenance Rectlrds

4.8.
9 Procedure to Priflt/purge Diagnostic Report
' 1:

4.9 System Manager- K7

87
89

4 9.1 Field L-imits

89

4.
9.
2

Entry R tlles

90

4.9 .3 Forms Ctlstornization

90

4.9.4 PassworclCustornization

92

4.9.15 System Configuration

93

4.9.6 InstrumentConfiguratio'
n

96

4 .9.7 lnterpretation Custom ization

98

4.9.8

Backup rgata D isk

4.9.9 Correct'
I'oday's Date

5.0 GU lD ELIN ES
5.1 GeneralOperationalGuidelines

81

:0g
110

111
111

5.2 M erging and Spooling

113

5.3 UseofArchiveDisks

114

5.4 System Set-up G uidelines

114Inforf
'
n 11$Rev.A,9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 5 of 76

6.0 PERFORM A.
$' CHARACTERISTICS
l:
115
y.z SEnVICES A ND SUPPLIES

117

8.0 APPENDICES
8.1 lnstrument Interfacing

121
121

8.2 M aintenance

126

8.3 Troubleshooting

128

8.4 lnform lnterpretive Program Defaults

8.5 Bibliography

'

'

130
132

lnform I1IRev.A.9/83

z'

f
'

'
j

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 6 of 76

1 0 lntroduction w
'-

1 1.1 lntroduction

* monitoring instrurzlentperformance

-I'1)e lnform CrltlcalCare lIIData Manaqement

Svstem is a highly sophistlcated and versatiIe

e r
'
ninim izing m easuremen!errors

m eans forentlancing the efficienc'/ofcriticalcare

3. Clinical/Diagnostic Benefits

Iakloratory functionsand procedures.Thesoftw are

isse4t-guidinq,and prom ptsyouw ith sinlpiem essagesthatcan be resporlded to w ith typew riter-like
entries from the keyboard. The system offersyou
m axim um fIexibility to organize clata in away that
m eetsthe reporting needsofyour instittCtion.
)-1)e nucIeus of1he Inform system isthe SOU RCE
program .The lnform system ,while usingSOU RCE,
w !I1m onitorm ultiple Instruments,and distribule
the data transm itted by tl
aem intc,acom m on data
base.ln thism ode,tY operatornlay enlerand edit
dem ographic Inform ation prlnt rilports,and request
Inform atlon from the data base,w h'ile the system
m ooitorsthe instrumentnetwork fordata.

esta4)1Isjaing consislentdecision rTlaking crlteria

forpatientdata
-

* providing diagnostic aids to help psnpolnta

palient'scondition
* provlding a m eans to train the hospitalstaff
and attending physickan in the interpretive
process
. provicjing rapid availabiIity ofpatientdata and
reports

Ttle HP-86 isbacked by Hew lett-packard'sreputation as aw el1.know n Inanufacturerofcom puters,

arld the softw are representsCorning'sm any years
ofexperierlceasan innovatorin the blood gas field.

1.2 jjow to u selj

aisM anual
T his m anualisdesigned to instructyou in the
overalIoperation of1he lnform CriticalCare llI
system , and to help you tailorthe program sto the
specific requirem entsofyour Iaboratory. Begin by
carefuIIy fo1Iowing the installation instructions

1nform iscom patiblew ith Corning'sentire famiIy

opl
-l
/Blood GasAnalyzers,the 2500 Co-oximeter,
(
j
1
he
902
Sodium/potassium Analyzer,the 101 and
'
-J
102 Printers,aswellasblood gasanalyzersand

(section 2 0 and Appendix).O nce the HP-86 is

proper1y setup and irlterfaced with your Instrum ents, read through System Operations (Section
a())to Iearn keyboard operationsand definitions
.

''

accessory instrum entsfrom otherm anufacturers.

fcom m ands.
o'

O nce you tlave learned thebasic operation ofthe

Tjae program Operations section (Section 4 0)

.

system ,Inform w iIIbenefityourlab in 1he foIIow in9 Wa'

/s:

contains a diagram w hich explains the overalI

organization ofthe Inform program . Thissection
is subdivided by program module,to show step
b step how to execute the various functions
w ithin a particularprojram module.

1. Data M anagementBenefits
* m inim izing com putationalerrors
- - - -- -

' slapdardizipg the laboqalory's repoqtir?g ppc-

dures

. . -

Onc yOu pl fqfpiliqrljthppchprogram and i

ts
available options reaqjtjjrou:j.
jjyejatjoo j;.
(j,wlaic;ka

--

. . .

-.

.- . .

.-

explains guidelines forthe use ofyour Inform

system .
Foradditionalreferences,
' referto Sectjon-6.()
--an(j
the Appendices.Section 6.0 summ arizes tj
ae perform ance specifications and Iim itations of each
program .The Appendices include interfacing instructions,hardware m aintenanc;
e recom mendations'
i
troubleshooting guide,and the interpretv() pro.
gram inform ation,including fIowchartsand default
settings. A bibliography includes references for
i terpretive proadditional information about n
grams, norm alvalues,and acid/base physiology.
'

* perform ing Quality Controlstatisticalanalysis

@ computing derived variabIes that are 'iNconvenientto produce by manualmethods
* m aintenance of consistent and high quality
dataacquisition
* organizing the documentation required in
criticalcare Iaboratories
2. Inslrumentation Benefits
* ease in tracking QC resuIts,and spotting trends
thatm ay indicate potentialproblems

'

* docum enting m aintenance procedures

'

lnform IllRev.A,9/83

Case 3:06-cv-00056-PMP-VPC
1.3 Ov
erview of4helnforrn4 I 4

Document 644-15 Filed 05/28/08 Page 7 of 76

INSTRUMENT t ! 'TENANCE- Thisprogpam
T'h f
stem hasbeendeslsdied to automate
a1lOWS f0rthe free .
m entf
'y of inform ation pere Sn orm sy
the analytical'data management and maintenance
tinentto the m aintenanceofthe interfaced instrum erl'
ts.This information may be displayed or
functionscom moo to aI1criticalcare Iaboratories.
Thisisaccom plished through the following seven
printed in reportforrn.Diagnostic data on instruments isstored and accessed through thisprogram .
programs:
The mainlenance
' data m ay be printed and purged
RUN SAM PLE - The Run Sam ple program is
upon Operatorrequest.
tl
ne most jmporsantprogram in the Inform system .
SYSTEM M ANA GER The System ManagerproPatientrsample,tluality control,calibration and
gram aljows forthe customization ofthe Inform
diagnosticdata may be collected from asm ar)y as
system .Tjjrough thfs program , the instrum ent
three device ports.through theSOU RCE program .
netw ork is configured,.reporting is custom ized,
Data may beedited.merged w i'
th datafrom another
interpretations defined, and disks are copied for
device,,
and printed whiIe instrument m onitoring
vepurposes
archi
occurs.Aftercom pleting otherfunctions,the opera-

'

-.

..

torshouldreturntotinisjrogramztoalIow entryof

dem ographicsand analyslsofsamples.

1 4 Aboutthe Inform Package

'

REPORT/
ENTER/
V IT - Through thisprogram.
..l
,.

ong form reportsm ay be generated,to include

alIpatientdemographic inform ation,sam ple data
and optionalinterpretation.Data may be edited,

Take a m om entto Iook through the contents of

the packing boxes.You should find:

* HP-86 desktop computer with a Dual Disk

Drive,printer,cables,a ROM drawerand an

'

orentered manually through the keyboard.To

Inpul/output(1/0)ROM.

select an individuairecord'the operator may

j toame

* SpecialFunction Key Overlay

plusthe dateand time ofsam ple analysis,or

lestsequence numberto ensure properdataselection.Patientdata may be stored On an archival
disk.ifdesired.

. Disks include: System Program Disk, Daily

Data Disk, System M anager Disk, Qualit
jve
controlA rchive Disk. Patient Data Archt
Disk and Back up Program Disk.

P
ATIENT LISTING -Varioussampledatarepor'
ts
mav be generated through operator search re-

. DiskStorageboxwithWorkStationOrganizer ' ' )

searcb t)yzpatient lD numbecorinateo

'

ts The data may be searched according to

ques .
patient lD number'patient name'dateofanalysis

(timespanlzorare.
a ofthehospital.Inthismanner,

Iisting rqportsmay bejenerated on individual

Patien'tsz foralIpatlentsln one area ofthe hospital,

or for a particulardate.W hile reports are being
generated instrument mopitoring for calibrations

* Iflform CriticalCare 1IIM ini-userGuide

'
* OC Dala Organizer

'

* PatientDataOrganizer

..

* Maintenance/calibration Organizer
* Interface m odules

isavailablethroughtheSOURCEprogram.

Theentirepa
-ca
-'
ge
''wa
-sdeveloped to helpyou

'.--

-' ''' ''c 'AN-AE/SI''

-'
througla this program ,qulitv' '' -orgarfize-and'storevour-dataand.reportsin .
aw ell-.. --.. .
controlfiles are created for the storage of data
and calculation ofquality controlstatistics.Data

ordered fashion.The D isk slorage box has been

' provided to protectvourdisks,and keep them in
mav be added to the file manually tbrough the
One Convenient Iocation.Use the organizers-to
keyboard,modified' displayed,ordeleted.In the
Store hard copiesofreportsforthe currentm onth.
SOU RCE portion ofCIC Analysis, QC data may be
oc data reportsand l-evey-lenningschartsslnould
retrieved and printed in tabular reportform ats.
be insened in the Clc O rganizer.Patient reports
Levey-lennings charts may be generated for each
and directoriesshoul
d be stored in 1he PatientData
file and levelofquality controlm ateri
al.QC data . Organizer.M aintenance reports,Calibration reports,

'

mayalsobestoredonanarchivaldisk,ifde-sired.

and Diajnoslicreportsshould beplaced inthe

CALIBRATION ANA LYSIS - The calibration

data collected from corning instruments on the
syslem is stored,and accested for display or
printingthrough thisprogram .The calibralion data

ofeaclaorganizermay be lransferred on a monthly

basisto vourpel
-manentfilu .

M aintenance/calibration Organizer.The contents

'

maybeprntedandpurgeduponopecatorrequest.

...)
2

Infocm IIIFlev.A.9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 8 of 76

Eiach organizer also conlainsY A introductory
m onograph thatdiscussesbasic ?oratory theory
and practice.Thlese rnonographk w i11give you a
betterunderstandinjofthe im portance ofvarious

--

..>

) procedures,and how they relate to the overal1

goalofproviding tlm ely and high quality putIent
care.

.M

J
3

Inform lIIRev. A.9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 9 of 76

7 0 nsfa atlon

w)

' Note:The 1nform CriticotOare II1systerr)should be

installed by vourCorning Service Reprasentative'

--

2. Remove the protective coverfrom the port.

3. w lth the Iabelrigbtside up,inserttbe cootael
end ofthe module into the port,arld pusl
a until
Itisseate:jfirm ly.Do notforce the m odule ioto
lhle port
4 To rem ove a m odule,firm ly grasp the module
lod Pullitfree from the port.A side to side
motion may be required to pullthe m odule free.
Store the modules in theiroriginalpackagewhen
rlotin use.

2.1 cbecklist
Before attem ptinjto setup yourl-IP-86M desktop
computersyst
m akesur
eat
that
you
a level
fem
ce,measur
fng
least
34have
rpches
wid'e
f
l
at
wor
k
sur
a
,
b 26 inchesdeep,by 22 incheshigh.It issugges.
yd that the Inform system be located ln close
te i ity to ti
ae anafyzers and accessory instruprox m
mentswhich are beinq interfaced forease ofopera.
ti(.
)n.The interfacecablesprovidelqare 6 feetlong.

cablesofgreaterIength (up to approximately b00

feet)maybeused.Aeesstoalinevoltatlasupply

1F
a

is required.Once the space bas been prspared,

ensure thatthe follow ing com ponentsarepresent
in the packing boxes.
* i-1P-86B Desklop Computer
. 12 inch m onitor

. oualoisk orive
@ SerialPrinter
@ Two HP-IB Cables

2-

'kk

Xuj
'

(rrr;r:$;

;
lr.)
rq
y
!,

y
,
y
V

........

oo
o

%.

10

---

oor? * +
9

---

* lnform Disks
-

System Program Disk

i. . -

-'
e

System M anagerDlsk

:- @

D aily Data D isk

e;

Archive Patient Sampte Data Disk

Archive Quality ControlData D isk
Back up Program Disk

Fiqure1.RearPanel

l
ru:
-

uswa

czu

L
!
#-L- =-' *

-.-

s
e

sr--..

'
'

ITEM

* ROM Drawer

D ESCR IPTIO N

Powerf utlet

* Input/outputROM (9/O R0h/l)

vidoo Ioput

Each analyzer to be interfaced r

'equires an inter-

ON/OFF Sw itch

face m odule specific forthe analyzer(see Appen-

Voltage SelectorSwitches

dix,section 8.1).

PowerOutlet

2.2 HP-86B Set-up

6
7
8
9
10

Fuse
'
I-lp-ln port
Video Oulput
M odute ports
V ideo Controls

There are fourmodule portsin the rear panelof

the I-IP-F6B.Sach portis fitted w ith a protective
coverwhich should remain in place when the port
isnotin use.Neverplace fingers,tools orforeign

'- --

objeetsinto theports.
2.2.1 Generallnstallalion and Rem ovalofM odules

(see Figure1)
J 1. Ensure thatthe HP-86B isdksconnected from
'

the lioe v'

oltage,and the powerisO r-l
Z7.

'

lnform 1l1Flev A 9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed I05/28/08 Page 10 of 76

2.2 Plug-inR

nsta atll t

emova

. onnectt&.r trcor 113o epowerInpu

The ROM drawerisaplug-in mouulewhichcontains

six slots forindividualROMs (Read-only Memory
units) Each slot is pfotected bg a pIaslic cover

receptacle tct. .ed by a Iabel)on the back

panelofthe HIi'l
86 Plug the othereod ilnto an
ippfopfiate AC powersupplg.
.

'

wl
nichshouldremaininplacewhennotinuse.Tkhe

7 l-urnthegowerON/OFF switch (rightrear

Input/output ROM is required for operation of

sideofunlt)ON The powerindicatoron the

.

the lnform system w ith interfaced analyzers.

kevboard should light

.

'

To insertthe I/0 ROM into the ROM drawer:

1
.

0. TO C'
Ontinue installation,disconnect from 1he
line voltage,and ensure thatthe powerisO FF.

Rem ove the proteclive coverfrom any slotby

inserting the eraserend of a pencilinto the
circular hole on the underside of the RO M
drawer,and pressuntilthe coversnapsoff.

2. lnsertthe I/O ROM into theslotw ith the fabel

side up,and beveled edge toward the contact

end of the ROM drawer.Push the HOM inlo
placeso thati'
rliesflush w ith 1he ROM drawer.

To rem ove a ROM from the ROM drawer:

1. Cnsure thatthe HP-86 isdisconnected from the
linevoltagegand the powerisO FF
2. Remove the ROM drawer from the module
port.
3. Flem ove the ROM in thesam e mannerthatthe

coverwasremoved tseeabove).
4. Beplace the protective coveroverthe empty
slol.

N.
xx

.'

2
'q

2.2.3 HP86B Assembly (see Figures 1,2)

Figure2.Fron:Panel

1. Ensure thatthe HP-86B isdiscopnected from

j-ryx

orscn Ip-rloN

the Iine voltageeand thepowerisO FF.

2. lnstal!the ROM drawerm odute into module

1
:
z

SpecialFunction Keys
Keyboa'rd

Fort//1.Ensurethatthe I/O ROM hasbeen

contrastConlrol

3 Installtlne Interface module into the appro-

ON/QFFISWittlh

Inslalled.

pr
iateports.Referto Apjendix,Section8.1
forinform ation regarding Interfacing analyzers

'

''

Briglatnesscontrol

'

to 1be Inform system .

4. Check to ensure thattbe voltage sesector

2.2.4 Monitorlnstallatipn (see Figure3)

'
ro connecta m onitorto the HP-86B:

voltageinfourarea

'

1. EnsurethattheHPT6B isdisconnectedfrom

the line voltage, and the powerisOFF on the

HP-86B and the m onitor.

5. To installorreplace1he fuse,disconnectfrom

'

'

sw itch located on the rearpanelofthe I-1P-86B

issetfor1he voltage range ofthe nominalIine

t
hejowersource.Removethefusecapbolder'
and lnsef-ttheappropriate fuse into the holder
('7s()m/$ for llsv -r315mA for230VJ.

2 Place the monitor in its operating positiona

On1Op0ftheHP-86unit.

InstalIthe fuse and fuse cap holder into the

3 Attach one end of the video cable into the

V IDEO jackontheback ofthe HP-86. Attach
the otherend ofthe video cable lo theV IDE0-

fusereceplacleby prerssingthecap inwardand

sim ultaneously turning clockw ise until the

assembly Iocksinto place.

INPUT jack onthebackofthemonitor

.

.
. .

Inform IIIRev.A,9/83

);

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 11 of 76

< (

'

..

'
s

ty

'w

j (,

y'
h

.,,.

'..

:1

2:
()

.-.
OOO @ @
=

n - :gua
.

r# >

u= = cwx

.- .

Lu

e
-J

..

2 3

---.

Figure 3.Cabling Diagram

ITEM

DESCR IPCION

2.3.2 DualDisk DriveSelfWest

1
2
3
4
5

PowerOutlets
H P-IB Cables
HP.
.
86 to 'Video M onitor
ROM Drawer
F1P-86 to Analyzersvia SerialInterfaces

1 Connectpower cord to the line voltage.Turn

the pow erO N/OF F sw itch ON .

2. The OualDlsk Drive w i$(autom aticaffy perform a selftest.The disk drive is operational
asIongasthe ligi
ntorlthe frontpanelofthe
di
sk drivedoes riotbIink continuously vv'ithin
-

b seconds (See Figure4)

3. To continue installation disconnectfrom line
' O FF
voltage and turn alIpower
'
.

'.

4. Conneclthe powercord into the powerinput

receptacle on theback ofthe monitor.Plug the
otherend into an appropriate AC powersupply.
b. Turn the H P-8C;B and monitot'ON .W ithin 12
seconds a cursor should appear in the upper

2 # serialPrinter
'

leftcornerofthe monitordisplay screen.

2.4.1 SerialPrinterSet-up (See Figure 3)

6 '
T'o continue installation,disconnect from the
line voltage,and ensure thatthe vovveris (()fcy.

1. Fnsure thataIIunitsare disconnected'from theIirle voltage,and the powerisO FF.

2. connect one HP-1B cable betw een the HP-lB
coanecttk on the'
back ofthe DualDisk Drive -

'

2..
3 DualDisk DriveSet-l-lp (see Figure3)

and tl
ae back ofthe SeralPrinter The cabte

2 a.1 connectingthe DualD isk Drive Unit

Connectors fitinto the receptacllesonlh/when

'
properly oriented.
3. Hand tighten thetwo mounting screwson-the
cable housing.

1. Ensure thdtthe I'

-IPO ISB isdisconnected frc?m
the 1ine voltage,and tl
ne poweris 0f-F.
2. Connect one I-IP-IB cable belween the back
ofthe Dua!D isk D rive and the H P-1E!porton
the back ofthe I
-IP-86B .The cable connectors
fit into the receptacle only wben oriented
properly.Hand tighten the two m ounting
screwson the cable housing.

Inform !IIRev.$.9/83

'

Case 3:06-cv-00056-PMP-VPC
Document 644-15 Filed 05/28/08
Page 12 of 76' .'
!
-

z
,

t'
?r:x-.

boncartridgel aand qush down onto the

'

priotermechaIl'
sm untiIItsnapsinto place.
'

c.

4 . Place the ribbon betkveen the printerl

nead and

l111l * .-

bbon mask. Thisisdoneby turning the ribr'i

..

'
.

s 2

bon feed knob on the cartridge in the direction ofthe arrow whiledepressing the ribbon
w ith a pencil-like toot.
5. Make sure thatthe ribbon is not twisted or
creased.Check forproper cartridge placement.
Tighten 1he ribbon by turning the feed knob
in the direction ofthe arrow .

s a

2.4.3 lnstallingtl4ePaperSeparator(See Figure5)

h'
xx

,
..

;
o

The paperseparatorm aintainssm ooth paperf1ow

tl
nrough 1he printer.lnsert the protrusions on its
fronledge into the tw o holes Iocated atthe rear
ofthe paperfeed m echam ism .The paperw illbe
inserted through the gap between the plasticroller
paperguide and the paperseparalorfram e.

lkj' x
> %,

lllI s
g y@

'

z9 x'0 =x3

!*

#/*4 . o
5 2

3 4 5

o
-

Figure4.DualDisk Drive

ITEM

*
. ..

DESCRIPTION

. o o *'-

;
,

( )

,
.

FrontPanel

O N/OFF Switch

'

2
DVEVC 0
3
Drive 1
4
Latch
5
Indicm or Light
RearPanel
1
HP-IB Receptacle
2
Device Address

'

43

- '--'''Figure5.SerialPrinter

:$
4

Power O utlet
Fuse Cap Holder

VoltageSelectorSwitch

. IT EM

2.4.2 Installing1he Ribbon Cartridge (SeeFigure 5)

..

''

D ESCR IPTIO N

ON/OFF Switch
PaRer Feed Kiob

3
4
5

O n Line Button
Form Feed Buttom
Line Feed Button

7
8
9
10
gg
12
13

R ibbon Feed Knob

Printer Head
'
P
rinter Head Gap Lever
P
apergetainer
joaperj-jolding cover
SprocketPin
Lock Lever

14

1
2

1. Raise 1he printerIid.

2
M ake sure lhal the paper retainer is turned
.
t
oward and louching1he platen.

- ---

RibbonCartridge

PaperSeparator

Inform 11IRev.A.9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 13 of 76

2.
4.4 A-djstlngte rlhtr--l:ll
fsee Figure 5)

(''
-;

ap

'Nt.-rnce the

i fbltton Isset o not

tlse the Paper F.* 'Knob,as ltw iIlchange the

'

The gap between the printer I

aead and pIaten is
l

Pipi'rPOSItlOn.

a
djtjsted by movingtlleadjIufst
inj IeverontheIefl
s
1he Iever Is m oved
ide ofthe printerfrarne.
forwafd,the gap w idens.Ifthe Iever is moved
back the gap narrow s.Fora single sheetofpaper
the center position is generalIy (zorrectto ensore
properprintquality.

2.4.7 PoWerSource and Self--l-es'

t
1 Connect the printer end of the power cord
into the pow er receptacle or1 the back pane/
ofthe printer Connectthe otherend into an
appropriateA C poweroutlel.

2.4.5 Loading PrinterPaper (See Figure 5)

2 Turn the powerO N/O FF sw itch on the right

sIde panepO N .

1. Raise tl
neprinterlid.
2. Move the paper retainer toward thijfrontof

3. To execute the self-test place the power

itch ()N w hiIe depress'inj the LIN E FEED
sw
j
autton. l'he se1f-teslw ilIcause the printing
OfaIlCharacters provided by the prlnter.
4 nesetthe top ofform .
.

theprinter (away from the pl

aten).
3 M ove the paper guide roIler to the centarof
the sprocketshaft.
4. Raise the tw o paperhoIding covers.

5. lnsert the paper betw een the paper separator

fram e and paperguide.

6. Push the paper into the slot between the

paperguidesatthe rearoftheprinterm echanism .Ensure that the paper passes under the
upperpaperguides.
7 A tterthe leading edge ofthe paperhasem er.
ged from underthe platen pullitthrough.
)
'

8. Release the two papersprocketsby raising the

lock Ievers M ove the sprockets to accom m odate the paperwidth.Lock the sprockets in
place by Iow ering the Iock levers.
9. Centerthepaperfeed holesovertht
?sprocket
pins.Push the scale back against the paper,

and adjustthe papertension.Push the two

paperholding covers back into place

2.4.6 Setting 1he Top of Form

To establish the top ofthe form turn the Paper

- - ..

Feed Knob until the paper perforation lines up

w ith the top of the Paper Retainer.ln this posi-

tionethe otherpaperperforation aligns with the

end of the paperseparator.Once the printeris
turned ON itw iIIrecognize thispaperposition as
correct.Each lime a fuIIpage report is to be

'

prnted,fexceptOC StatisticsReport),thesystem
wiIIautomatically resetthe top ofpage.Once the

paperposition is set,ihe FO RM FEED button

may be used to advance the paperone fullIength
1n orderto use the FO RM FEED,the printerON
LlNE indi
catorm ustbe O FF.

)
9

Inform I11Flev.A.9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 14 of 76

3.0 System O per' 4l ns

)

z'

'

.M

3.1 Keyboard Functions

1t
lissection describes tae keyboard and keysthat
are used w ith the 1nform criticalcare IIISystem .
A com plete description ofthe 8.
1f3-86 keyboard can
be found in pages 16-20 of the HP-86 Manual
irlcluded w ith yoursystem . Figure 6 show s the
entire 1
-1:-86 keyboard. Three sections ofthe key.
board are relevantto Inform 'tle specia,functlon
keys,1he typew riterkeyboard,and tl
ae num ertc
keypad.
3.1.1 specialFunction Keys
The specialfunction keysare Iocated above the
typewriter keyboard.The specialfunction keys
operate in the unsln/ ted m ode,the shifted designationsare used infrequently in the lnform system

W hen a program m odule has been selected/ the

Screen Iabelidentifyirlg that m odule w illappear
W ith a dark backgroufld W hen thecorresponding
SPocialfunction key ispressed ajain,varloussystem Com mandsw illbe m adeavailable to the user
tO assist in system operations.w here these com .
N'ICIR'EIS ire nOtnecessary,pressinj the key will
Clisr
lla'
/ the m enu fortlne program m odllle.
'
I-he second funclion ()ftbe specialfunction keys
is an extended mode, occurring during sam ple
entry operations.'I-he screen labels cklange to
reflect the specific operations required for the
processing ofasarnplt).W hile acting upon sample
data,each time a key ispressed asubsequentset
ofscreen Iabels isdisplayed,untilthe data isstored
Ordiscarded.W hen sam pling iscomplete,1he m ain

These keysperform two majorfunctiol

ls in the

menuscreen Iabelsbecomeavailableforchanging

lnform system .Prim arily,the specialfunction keys

are used to access specific program m odules io
thesystem .Each specia!function key ctlrresponds
to a Iabeldisplayed in an inverse video sreen square
at tl
ae bottom ofthe display screen. Ttle label
defines the function ofthe spechaifunction key
.
.r
o address a particular screen Iabel' press the
corresponding specialfunctioo key.In lhe Inform
svstem ,special function keys and their screen

prcqram m odules.
I
n this m anner prograrn functions are accessed
'
sim ply by pressing tl
ae specia! function keys,
and m aking the approprlate entries. (A tthispoint,
you m ightwantto brtlw se through thekeyboard
sequences in F'rogram o perations'section 4.0'
to gain an appreciation of the wide varlety of
s
lcreen labels and key correspondences In the
nform system .)

labelsare s'
gnonymous
.

specialFunction Keys

'

1
! @
2 #
3 4
$ l
I%
5 6
A 7
& *
8' 9
4 Ol

oisplay Editing Iteys

+ :
x ==

U-

wEsv .--ii i'

z
.ssuvj
(
), ,

cw o w E n '
r1v u I'o 1:
, :
( 1
, ''
c
uso:M. 7 8 .
9 /
'
wq A s L.o
-F L-oJ1 H j( a jjusKgj .L 5 '
, .
so.
a. a s 6 .)j1
l
-J (
-

. ,

, . .

s.r Z X C V B N M <
, >
. z
? S'
.T @
.ba
b
/
J
at
sj
STEP

Alphanum eric Keys

:

System
Com m and
Key:

'!

1 2 3 -1
(; x j +j
Num eric
Keypad

./

'
---lDij-ii'
f'-i;.llpA6-ltfboafd
@ I-lewrqtt-pak#rd Compal
w .BproducedwithpermjMion.
11

Infocm I1IRev. A .9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 15 of 76

CAUTI
ON:Othek-? alphabetickeysonthekeyboard are active bq .nothavea funetion in 1he
Tlae Typewriter Keyboarclsuse.- to make word
.e keys m ay
lnform system .Prekjing any ofthes
and num ber entries sucb as Patient Name or
Patieclt 'D Num ber.T>e keyboard is used as a
COUSO8I
'IOrror.
convenlional1t
er,
lhough
the
dl
FT s
key
1ype
lettwr
ersit
ar
e al
aut
omatical
lySl
pr
oces
ed
3-1.3 Ntlmeric Keypad

a.1.2 TypewriterKeyboard t1

'
i
s re
as
cver
apisted.
als,abv pressing SHIFT the letters w ill

The Num eric Keypad m av be used to make numeri-

appearlowercase.To indicate tbe placemer)tc)f

entries in theSOURCE displays,there are inverse

ca!entriesinto thesystem (filenumbers,barometric

pressure,patient1D number).Each program section

video screen areas,corresponding to th& maximum

length of1he entry.Otherprograrnscontain data
entry fi
eldsnot indicated by inverse vzidtlo.W ith
any program ,the operatorm ay advance to a data

has a table indicaling the proper form at for data

entry.The'se form atsare controlled by theprogram .
and mustbe ctoselv followed.
The SH lFT + R ESET key stops the
s.v (..w4
)1
u program im mediatelywand reinitiates
the 1nform system .Pressing 1he RUN
key wiIltellthe system to restartthe
previously used program .

entryffeldtclmakeanentry,orskipoverantlntr'g
.

field .
Fach seclion in thismanualwillexplain the type of
entriesrquired.Severaltablesindicate '
the m axim um num ber ofcharactersallow ed in each data

entry field.Any tym Ofpunctuation mark,and

each space countsasone fuIlcharacter.
The typewriterkeybox
ard coqtains a number of
non-a
'lphabeticalkeys.Some nonalphabetic keys
may have m ultiple functions.Tlneirm airkfurlcticms
are described below:
Ao9 time there i
s auser-requested
':'d' k-

(
=)
Z

..v
'

3.g operationalFeaturesofthe 1nform System

severaltypes of com mands and requests willbe
utilized in the 1nform svstem ,
'
3 2 1 selections
Some displayspromptthe operatorw ith ''SCLEC-

enlry (alphabeticalornumerical),

T1ON''.Thisnromptallowsan item numbercorres-

the ENDLINF key m usl be pressed

after the information has been
entered.

pondingto a desired activity to be selected by the

operator.The END LIN E key m ustbe pressed after
the item number isentered.The system willprompt t )
theoperatorforthetype ofadata to beentered if ' '

T
hesame
HACK
SPACEaskon
eyaop
eratesitir
l. amat
nitie
mlynuIoad
mbeor
risper
sel
eor
ctmeda.Tprhogr
esyamslefmunct
wil
aut
the
manner
typewr
er
cal
f
il
on
ifoa
Each time you press the key,tl
ne
cursor willm ove to 1he left one
ace Theentf'y that ismade will -.
Sp .
automatically repl
ace the one above
the cursor.SHIFT + BACKSPACE
w illclearthefield w here the cursor

function isselected via an ilem num ber.

'' ''
a 2 a prom pts
-The system w illprom pt the operator for the
proper data to be entered.afteran item num ber

islocated.

l
3asbeen seletdohd-the END LIN E key pressed.
Afteran item numberisselected,the Inform sys-

The SH IFT key isused to change

1em w illd
splay m erx
sages lo indicate the activitv

uppercase letterslo lowercase Ietters' ' being perform ed.

and isused iiconjunctionwith the

ENDLINE key to move back to

1
'
V
X*''

'

'-

'

oreviousentrids.

3.2.3 BACK
'
- ''The com mand ''BACK''isarxsigned a specialfunc-

T
heCONTkeyallowsprogramslo
be rastarted,after thev have been

t
ionkeyintheSOURCEprogram.B/hen1he
specialfunction key correspondfng to BACK is

temporarily qaused to allow pro-'

pressed.thesystem willdisplay thepreviousset

grams to be Ilrlked to data disksor

ofspecialfunctiofhkegs.BACK m ay be typed in
to 1he System Manager.
manually from 1he keyboard in nOn-SOURCE
The SPACE BAR m ovasthe eursor
Programs,10 return to the previous prompt or
0ne space to the right along the
' m enu.The END LINE key must be pressed after
deleling any characters
entering BACK.
screen,

above the cursor.

'

12

lnform I11Rw .A,9/83

3.2.4 Case
EN D 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 16 of 76

'I-he typed command ''END''''

<% be tlsed in a

''
..--

non-SOU RCE program to retufn thesysterr)lo the

M ain M erlu specialfunction keys, allokving selec; lion ofanotherprogram module.END istyped in
m anually,using the typewriter keyboard. The
ffN L)LiN E key m ustbepressed aflereflter1ng EM D.

''

3.3 D isk Utilization

The Inform system is com priseclofseveraldisks
ofw hich only tw o are utilized atany pointin tim e.
T he lnform system prom ptsthe operatorforentry
and rernovalofdiskswhen required foroperation.
The following tabl
e indicateswhich disksm ustbe
used in orderto perforfrtcertain furictlons

DRIVE 1

DRIV E 0

INSTA LLATION '

*
e SYSTEM CONFIGU RATION
e CUSTOM IZATIO N

SYSTEM PRO GRAM

SYSTEM M ANAGEI
R

DA ILY OPERATIO N

SYSTEM PROGRA M

OAILY DATA

LONGTERM STO RAGE OF QC DATA

A RCHIVE QC DATA

DA ILY DATA

LONGTERM STO RAGE OF PA FtEN-FDATA

ARCHIVE PATIENT DATA

OAtLY OATA

3.4 GettingStarted
Thissection servesasan aid to the new operator.
It outlines,step by step,.
'the activities involved
from instassalion to basic aisy operation of the
lnform system . A ctivitiesand theirsuggested frequency of perform ance are also outlirled' By
following this suggested outline tlne operatorw iII
become fam iliarwith the m ostimportantfeatures
oflnform .
.

Note:Before following the outlined actlvities,the

operatorshould read Section 1.0'lntroduction and
Section 2.0 on lnstallation,to become fam iIiar
with thecomponenlsofthe Inform system Read
Section 3.0, Syslem Operations to Iearn the
m etho dsofaccerssing the programs.

3.4.1 Getting Started

Afterinitialinstallation oftl
ne Inform system hardware/ thesuqqestrd acti
vitiesareasfollows:
'''
''
1. T
Ensure lhatthe powerisOFP on the HP-86.
urn the D ualD isk D rive pow erO N . 1nserttbe
System M anagerDisk into Drive 0,and the
System Program Disk into Drive 1. Turn the
HP.
.
86,Video M onitbr and SerialPrirlti!r'ON .
The System M anager program w illbe automatically loaded into the I-IP..
EI6.

2. The System M anagerw ilsrequesta Password

Since a passw ord has notyet been entered'
select ''1''+ press ENDLlNE ,press END L1N E
89311 tO bYpassthe entry
.

3. Ifdesired forsecurity purposes,a password for

the System Managermay be entered bv select-

ing ''2,'.(seeSectl
on 4.9.4)

13

lnform II1Rev. A.9/83

Case 3:06-cv-00056-PMP-VPC
Filedf'05/28/08 Page 17 of 76
'
zz zz Document 644-15
4.On
c
e
i
n
t
h
e
S
y
s
t
e
m
Ma
n
a
4
4
e
c
t
1
f
o
r
4
.
A
f
t
e
r
a
n
yzjq J -am
Qua
li
tyfrCom
ontir
ol
samptileon,
Form sCustom ization.ln thi. .ogram function,
analvze aal
pat
pl
e,
nt
roduc
-

'

theoperatormay specify theheaderinforma-

into '
tl
ne blood'j
'as analyzer,'demographic

tion desired on each pcinted report.(See Sec-

entry.to identification of the sam ple and

tion4.9.3)

storage ofthe data into the data base.(See

Section 4-3)

5. The information aboutthe placem entofanalyzersand printers mustbe entered by selecting

3.5 Everyday Usage

,, ,,

for System Confkguration.(see Section . Thisseclion outlinesthe activitiesthatshould be

439 5)

ed by selecting''4'*.(seeSection4.9.6)

undertaken during the day to day operation ofthe

Inform system . Refer to the appropriate sections
foroperating jnstructions.

I
fyourinstitution hasspecificnormalranjes
and 'breakpoint values used for interpretallon

1' 'rheRLIN SAMPL.Eprogram moduteshould be

of patientsam ples.select .'5''for lnterpreta-

13rogram forsam pfe anafysisand forinstrum en-

'

6. The InstrumentConfiguration should be enter7

utilized themajority of1hetime,asthemajor

tion Customization.fsee Section 4.

9.7)
8. Tbe System M anaper functions renuired are

tation moniloring.
2 The FIIEPIIFkT/IENTER/FD IT progcam moclule

complete.SeIeck''8'/toload theMainProgram.

' should beutiIizedwhen aIongform patient

report,m anualsam ple data entry orediting is
required.
'
a vj
ae pAy jljl
s
j-.
r g- ls-rIXG program module

3.4.2 lnitialOperation
1. Insertthe System '
Program disk into Drive 1,

theDailyDatadiskinto Dri
ve0.
2. The Start-up Utility wiIlautomatically Ioad
whenthepoweristurnedon.RefertoSection
4.
2.11forcompletion oftherequested entries.

IIstif)g ofalIpatientsanalyzed in a particular

area of the institution. The patient Iistings
sf
aoufd bestored in the PatientOata Organizer.

, )
4. TheQCANALYSISprojram moduleshould be ,

module.

utilized to generate adally listing ofal1qgality .'

controlsam ples analyzed.A Quality Control
plotshould also be generated daily.Thestalisticalanafysisofeach fevelofcontrolmateriaf
should be reviewed once perday.A1IQuality Controlreportsshould be generaled and reviewed frequently, to m ontoranalyzerperformance. 4.
11Jlpjlil.
ycontrolreportsshouldbe

Before perform ing sam ple analysis, calibrations

m ustbe performed,and Q uality Conlro!materials
analyzed.Thefiles forstorage ofQuali'
ty Control
data mustbesetup.
1. To setup the QC files,Press K4,corresponding
to Q uality ControlAnalysis.

2 Once in the OC Analysi

s program module,

stored in theO.
C DataO'
rgarlizer.

select ''1''to setup the QC data fi1es (see

Section4.6.3).

.
'

Calibration reportshould be inserted-ln-the

Note:Before continuing,read Section 4.

2,discus-

M ainlenance/calibration O rganizer.

sing the normal operation of the system ,and

explainingtlnedisplavs.

6. Tbe INSTRUM ENT M A INTENA NCE program

modulem ould be accessed daily to generate a
jisting ofaIldiagnostic errorcodeswhich may

1. Accessthe RUN SAM PLE program by pressing

'

K1.
2 To view how the hnform system monilors

haveoccurred duringtheday.The Diagnostic

listingshould be inserted in the M aintenan /

calibralion data,perform a calibration on a

Calibration Organizer.A ny rnainlenance per-

Corning pl-l/Blood GasAnalyzer.

form ed during the day,including basic daily

maintenance, sbould be eowred into the
. system

3. After transm ission of the calibration data,

analyze aQuality Controtsam ple' from intro-

'
-

utztmn lnM .the-blood-gaanalyw v -identi.

------

ficalion ofthesam pleand storage ofthe data

- . . .-

'''-

5. Tbe CA L A N A LYSIS program m odule should

be aecessed daily,to generate a Iistir'f
g of aIl

cafbrationsperformed duringthe day.The

3.4.3 Sam ple Analvsis

'

' sbt
ntlld beutil;
ze(jto generataa Iistingofalf
patientsanalyzed duringtheday (oncejerday)
toserveasadailylog,alistingofajartlcular
qatient'sresultsforclinicalevaluatlon,ora

3. Once complete,the R U N SAM PLE display and

the M ain M enu SpecialFunction Keysw'
illbe
displayed, allow ing access to any program
.

.
-

inthecorrectfile.(SeeSection4-3)
14

loform 11IRev.A,9/83

!
'

,'

'

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 18 of 76

3.6 PeriodicUsage

z'- j
i

.'..
-)

This section outlines those actlvlties perform ed

occasionally.Referto :he appropriate setrtionsfor

' '

') operating instructions'

1 The data on the DaiIy Data disk shtluld be
archived onto the appropriatl)A rchive dlsk
once perw eek or m ore frequently If necessary.This w iIlensure properstorage of data
adequate fiIe space on the D aily Dala disk
and m inlm ize search tim es

2. Quality Controlplottingshould be performed a

m inimum of once per week uslng 1he QC
ANA LYSIS program rnodule to review perfor.
m ance.Ideally,Q C plotsshould be generated
daily.The plots should be inserted into the
QC Organizer.

'

3. M aintenance repw'tsshould begenerated once

per week,usinq the lNST RU M ENT MA INTENANCE program m oduI
e,and inst?rtetlinto

the M aintenance/calibration O rganizer.

4. A back up Daily D atadisk shouId be created
onceperweek,using the SYSTEM M ANA G ER
program m odule.
5. A Ilotherfunctions,such asQ C FiIe Setup,and
System M anagerfunctionsshould be performed on an ''asrleeded''basis.
''

j
)

1b

lnform I11Rev.A.9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 19 of 76

rY

ro ra

e i I0 n S

-'

'- '- '--

4.1 M al
.n M enu
The M a1n M enu 1sthe start1ng po1nto1the Inform
Cr1t1caICare 1lIsystem .The M a1n Menu 1s displayed 1n the speclalfunction key screen labels
atthe bottorn ofthe screen 1n al1program sexcept
the Svstem M anagerProgram .Figure 1 1IIustrates
the bas1corgan1zat1on ofthe M a1n M e#1u and the
functions accessible from each M a1n Menu sel
ection.Each specialfunction key correspondsto one
program m oduIe. To select a program m odule
you press 1ts correspond1ng specialfunction key.
Thisaction w illdisp1ay variousprograrnsaccessible
from the selected program m odule.T le operator
shouId return to the M ain M enu speclalfunclion
- '- - keys af
ter'
com pletio
Mn-of-a funetjo
-n to enable-the..
selection ofotherprogram modules.

.
...
-

.-.-.---- .

.-

-..

..- . . - - -

..

MAIN MeNu

'

''

CK2Aaalyxlx
K4
M

J
'
' q
.x.

GC Ree- /fx M zypf

K4
SOURCE

@N
Sj
ea
t
o
eg
aa
pj
ay
nd
ea
dl
el
fo

l
ec
CI
d
Cat
datafdes

*
Se
ga
m
rcl
h
od

u
eq
la
ue
bn
ac
sep
(ou
f
on
ObC
ef
d'
at
la
e
ch
ac
o
cf
or
dateBL/EI1+<

* Ed1tprewsouslvstoTedCFZdata
. f)4u;uvard prtnlLeveydennlngs
cbazls
.PrlnlC)Cslallslpcsreporl
* gkrchepallentandC)Cdala
C
alepew Dzllv DalaaadArchlve
Chwe
gks

$01* MK;
@ Conf/uresystem ollnlerlaxf
a iyz-s
* conl/uvewttem efaults

Rtm ryarnplv
K1
SOURCE

*a
S
ec
c
a
o
lc
r
hdla
d
gt
1
e
5th
I
o
D
p.
eN
t
?
ar
a>
Kt
'.
RA
Nkr
l
egJa
t
C
lo
ale
orSequenceNuo:bel andpriol!he

r
.
A
nj
o
ae
l
v
ude
pa
pt
aj
l
e
l
e!
o
ns
la
ge
qv
dyl
QCQKCs.nn
e
ebr
sp
cp
al
h
lsopandJlagnesllcJala (Iotn
.

hsllng
Analyzepatleqdasd QC LRoAples
* cojjec,qatseokojs,ow oc cajj
bratlonandlagqesldc'dala'lro1,

* #knapyzepatenlandQCGanAPIeS
* Colletlpauefuxannple C)C call
brallonand dlagnosllcardt/on3
folevfauedalaivzefs
Prlntshofl1ceR&reporlsasgzlected
io SystenAK!aaa?eF
* Enteripbbrevdaled dvoaogsaphLc
dala1o'sasspleldentdltaoon
* K6onltor&yllenzluoctlon anddara
stosavecapabllaLes

lnlellacedaqalvzerl
* P'lnrGboIItlllAfeilflGa:A'lected
josysjecAkdaooaer
* EotefdeoyographdcdatatofLRlApke
ldentdlcanon
* K1onltofsyslennfunct'onynd dat;
stciagecaqabklqles

lnleflacedanalyzers
* Prtnls6ortlorcAreoorlsasselecled
mSyslennNianaRer
* Enlefibbrevdaleddennoqraphsc
dal: forwlrnple Ilenllflcalioc
* K!ondtotsyytec4fuxlalcn yrdjdala
sloraqecapa6::11:e:

'

Repou/Enxaw/rdi,
K1
@ olnltofx fofm refxyrlsonmecllpc
Jxjjlentrampses
* pln<e
Nu
ePSO1aJI@1engodlnler
lal
lonon repon&
< Manllyent- palpentnmpleata

jesoom-ntKM6Yph-enG4

m Cvslomlzemlerpretatlx s
* Enteroormalrv IOToxm p+e

@ Ente:Inslruc-ntfaalntenaoce
tecoras
* oIAPqpy.prlolo:purpeualnteoaaoe
fecofdG

''etez
. e.ckwptlapyoalzthwk

. P,fotofPoraeoxapnosl'coatafo'
'ntertacedanaiyzvfs

*CQtomlzewmpor:leaerw

Pate ttlxtl%
K3
SOURCE

e.

anddeGoFaph'cs
* EdH pfeoouNlv5!01*pgklenkOm
?ledataandde- raphlu

C1 AAMYWI
K5

. oI
spqvypooto,pura,czjlurallon
oala$ordntemlacedesalvztrs

* Tsrch've0:1.*013ndCx7Jata
* c'ealeoew Daavoata*dArcoer
tllsks

Figure 7.M ain Menu O rganization

17

InforrnIilRev.A.9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 20 of 76

4.2 Basic program operation- f
qram m odules rx--eeasily accessible from tiae
'

'I-hi
ssectiorlserves to ifltroduee tkyeoperatorto

SOURCE displa.l#le SOURCE program serves

the basic day to day operation ofthe Inform sys

tem . Progression through the proqranlmodules
f'equired for the analysi, identhflcation, and
storage of patient sam ples and qualitg control
m aterials isoutsined.

to m alntain the sam pling rate oftheanadyzerson

theS'/stem ,while provldlng rnonitoring and other
data managementcapabilities'
'
I-k
ae so u RcE display is dlvlded into five basic
areas.

4.2.1 SOUBCE Description and Display

TheSOU RCE program lsthe centerotthe Inform
system .w hen uti1izingSOU RCE,the Inform system m onitors m ultiple instrum ents during their
operation,and distributes the data gerlerated to
the appropriate patientand quality controlfiles.
The m onitoring and data base functions are performed autom atical1v allow ing the operator to
perform basic Iaboratory procedures,and baslc
system procedures,such as information entry and
reportprinting. '-

. SpecialFunction Key Screen Labels

* Inleractlve D lsplay
. oata and Calculation D isplay

'

'

.-

..-

. -.

* Monitored InstrumentStatusDisplay
* Data Base StatusDisplay
vj
ae specialFunction Key screen labelsare located
acrossthe Iowerportlon oftj
ae screeo. These labels
correspond to the specialfunction keys on the
HP
86 keyboard.The keys are actioe when a screen
labelisdisplayed in the inverse video green boxes.
The keysare inactivew hen the boxesare em pty.
After Selectin: a program rnodule the program's
key is turned off indicated by a normalvideo
display Pressing t
'hat key again w iIIchange the
specialfunction key Iabelsto comm andswithin the
program .
The Interactive D isplay is Iocated on the Ieftside
ofthescreen. Thisis the working partofthe screen,
-

The screen display uti1ized by the SOURCE proram is unique.The SOURCE display includes
1he follow ing information'
.
*
*
*
*

1he m enu of the accessed ;lrogram modu1e

transm itted,manually entered,oredited data
the status ofthe instrumentsbeing monitored
the rem aining capacity of the data base

* the specialfunction key screen Iabels (see

Figure 8)

used by the operatorto run the system The major

.

com ponentsofthe program selected from the Main

Meou are dlsplayed in thispartofthescreen. lnformation requested by the system is entered or
selected via thissection ofthescreen. The accessed
program module isavailable foroperatqr inputs
W hile SOURCE m onitors the system , and stores
tj
ne data Thesystem automaticalIy returnsto the
defaultM'ain M enu specialfunction keysalIow ing
()uick accessto otherprogram s.
.

The Inform system SOURCE display has been

designed 10 maximize operator and instrum ent
throughput. Cursor control usin: LN DL1N E,
for movement to data entry fields alIows the
operatorto quickly enterand editdata.Special
function keys corresponding to frequently performed functions allows performance of these
functionsw ith a single key selection.Other pro-

'' :,! .j,.x4t

x .
z/ n.

'- '
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*''*,- .-

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lzi(1tlr(,1).1)(:,t-l!;l(E
:i!1:,isr)I.,:,

18

Inform 11lFiev. A,9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 21 of 76

--

.-

Thelnteracli
vedi
spl
ayal
soin$$ i
sDevi
ceand

Partoftl
neMonf
i
'
!' aInstrumentStatusD
splay

Merge ldentification.Each interyace and its arxsociated instrufnentscorrespondsto a Device N um -

includes an area fomgzarnings.The lowerportioo

ofthisdisplay.below the Spooling indicxation,wilf

ber(1.2 or3),preselectedatsyslem configuration.

display system warnings,sample warnings.and

Patientsam ple,qualitv controland calibration data

isassociated w ith and identified by device num ber.
As data is transm ittedgSOURCE willnotify the
operatorthatthe system hasreceived data from an .
analyzerby displaying itsdata.Atthe same time,
the device num berofthe interface,and the analyzernacne are displayed.The operator may entera
device numberm anually aliowing entry ofpatient
dem ographic information before data transmission
occurs.M erge allowsthe operatorto combine data
transm itted from morethan one analyzerinto one
patient file. Forexample,blood gas data from
Device 1 m ay be merged with electrolyte data from
Device 2.The operatorenters the device numberof

warnings indicating that the data disks are approaching fullcapacityTh

e D ata Base Stalus Display is Iocated in the
I
ower
right-hand cornerofthe screen.Thisdisplav
i
nctudes the follow ing information regarding the
remaining disk storage c-apability.
e PAT IENT DATA - indicates rem aining capacity for sam ple storage on Daily Data Disk.
Maximum storage is 1000 sam ples.
* D IAG NOSTICS - indi tes rem aining capacity for diagnostics data storage on disk.
Maximum storage is 100 entries.

Ahq-inlerjj: to bev erged wi

@ MA INTENANCE - indicatesremaining oapanterfa
e
devicenumbe
- .r
..jjys
..p
-yay
-sj . th..t
.he i
.-c
-.
-.....- . city formaintenanceentrieson disk. .-.-... ..... .-

. ..

M axim um storage is 100 entries.

.
indicatesremaining capaci
f
.ty
oroalibration data on disk.
M
axim um storage is 150 entries.
* QUA LITY CONTRO !
- - indicates remaining
capacit'
/ for qualitv controlsampr
eson disk.
Maximum storage is 1400.
4
.2.
2 SOU RCE NorrnalO peration

The Data/calculation Display is located in the

* CALIBRATION

center portion ofthe screen.Data received from

the interfaced analyzers is displayed in this area.
Som e editng and entry functions occur in this
section.This may include transm itted data from
a single analyzer,merged data from m ore than one
analyzer,updated data,orcalibration data.Ifthe
transm itted data isidentified asa quality control
sam ple,1he parameters for the instrum ent and

qualitv controlmaterialare displ

ayed.

SOURCE iscontained inthreeprogram modules:

RUN SA M PLE-KI
PATIENT LISTING- K3
QUA LITY CONTRO L RETRIEVE
TABLES- K4.

The M onitored InstrumentStatusDiplay is Iocated

in the upperright-hand cornerofthe screen.This
desthe following information on each
section provi

oftheinterfaces,accordingtodevicenumber.

program mustbe accessed.souncE i

s Iocated in
I
RUN SA M PLE and to a Iesserextentin PATIENT
LISTING and GUALI
'
TY CO NTRO L RETR IEVE
TABLES
. To cont
inuously m ontor interfaced
inslrum ents for calibration data,and in RUN
. SAM PLE forsample data,a SOURCE program is
required.ln a nOn-SOURCE program ,only data
from one calibration can'be stored in each irfterface buffer therefore,w hen notin use,the s#stem
,

* UPDAT
ING - india tesifthe currentsam ple
d
at
a
t
r
ansm
itted ona device isupdated rs
ample
d
ata. .
e CA L!BRATING - indicatas ifthe currentdata
transm itted on adevice iscalibration data.
* TRA NS ERRO R - indicates if 1he Iast data
lransm itted wasassociated with a transm irssion
error.

. ..

'

@ M ERG,IN'
G - indicatesifdata from one device '

uajm onitoring. ldeally,thesystem should always

be returned to the H UN SAM PLE program , where
fullSOURCE functionsare available, and the M ain
M enu isaccessible.The FIUN SAM PLE program
allows full patient demographics entry during
sampling,and wilIm onitorthe instruments.Other
SOURCE programs allow partialpatient demoaic entrvz for proper sample identification. - '
grapj

device.
..
* SPOO LlNG indicatesifdata hasbeen lem-

4.2.3 Basic S0U RCE Program O peration and Data .

Entrv
-'
'

hasileen combinedwithdatafrop another

-

should be keptin a SOURCE prbgram forcontin-

f 1

Whel
heversampleanalysisisrequired,aSUURCE -

. tINTERFA CE - indicates ifthe interface beween theanalyzerand tl

ne HP-86 isin place'
and functioning properly.
@ O K TO RUN - indicates if the HP-86B has
received a data lransm ission from an inlerfaced analyzer.

'

porarilystoted.allowingcompletionofanother

TheoperatormustaccessaSouRcf-frgram in

'

data transm ission.

orderto sam ple patient,quality controland ca1i-

19

Inform Il1Rsv. A.9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 22 of 76

bration data.AheSO URCE pq'

h- #
-m isab1e to

SM

acquire dala from the ioterfat-.a instruments,

allow s entry of dem ographic inform ati
on and
providesforidenLification ofsam pIes.Shortform
' reports are autom aticalIy printed on the System
ticketorrollprintersafterthe traf
nsm itted data has
been stored ifsetected in the System Mtinager.
During operation,blood gas.quality corltrol co.
oxirneter,orelectcolytesam plesshould be run on
the analyzerspriorlo enterlng demographicinform ation.Tbisallows the entry of the appropriate
dem ographlc inform ation whiIeanalysisand trans.
m ission occurs.1fanalyzersare ''piggybacked''to
each otheron the sam e interface orexam ple a
2500 and a blood gasanalyzer,thedemographics
entered forone w iIIpertaln to alldata transm itted.

'- ' ''-

'

..

ENTRY RULES
Use the ENDLINF kibzto m ovethe cursordow n
to tbe field ofentry desired. UseSH 1FT + ENDL1NE to m ove the cursorup the display.Enter
tl
7e information into the field.Press E ND L-IN E
tcaccep!tb8 t
jata and fnove to tbe nexlfieltj.

Enterinformation into the dataenlry fields.Refer

to the tabl
e on maxim um numberofcharacters
allowed in each field.Enterthe device numberof
the instrument performing the ilnalysis If the
sam ple isapatfentsample enterthepatientdem ographic information to properly identify the
.
.l
sam ple. Patient nam e or patient ID num ber is
lbe m inimum entry requirild forpatientsamples
The Inform system w i1Inotallow a patientsafnple
to be stored and reported withouta name or 1D
num ber.The Device numberw illautomatically be
entered during data transm ission but to ensure
thatdata isnotassociated w ith ttle incorrectdem o.
graphics,enter the Device num berdurirlg dernographic entry.

1
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..
.. . .

Inforrn 11IRev.A,9/83

Case 3:06-cv-00056-PMP-VPC
05/28/08 Page 23 of 76
t.@ 1 1ry Document 644-15 Filed(
V
f
'
f
Procedure forPatien: Demograj .. n

WhenworkinginaSOURCEqrogram andentering

'''

dem ographias,the prim ary dlsplay utilized is the

lnteractivedisplay on the leftside ofthe screen.
In IRUN SA M PLE,full dem ographic entrh/ is
allowed.w itb partialdemogravhics for PATIENT
LISTING and OC R ETFIIEV E.
Advance to ................ Any data entrv field in the interactive display.
If in lZlUN SAM PLE,any demographic field.
Enter.....................

The feld'srequested information.

For Exam ple .......-...-..

I
E)UN SAMPLE

lntroduce ..........-......

The sam ple to be analyzed into 1he instrument.

Advance to ................

''Device''field using ENDL.INE.

Eiiiii

Devic number(1-a)+ pr'

r EhlotcrqE

' ' '-''' '''-'--''-'.. -'-.,... .

Exam ple:''
*1''+ Pre.rxsEN D L IN E fordevcenum ber.

Display ..................-

lqstrtlmentname nextto Device.

Advance to ................

''ID#''field using END LINE.

Enter..................... ?'ID# ''+ EN D LIN IE.

Exam ple:,,123546''+ PressENDLINE forpatientID num ber.

Enter.....-............... ''Name''+ PressENDLINE.

t )
q

Exafnple:*'BillJones''+ PressENDL.INE forpatientname.

'

Enter............-........ ''Age''+ PrerssENDLIN E.

Exam ple::'010750/'+ Preas END LIN E forbirthdate ofJanuar'
y 7,1950.

''Y33''+ Pressi2N D LIN E for33 yearsoId.

''D33''+ Press END LlN E for33 daysold,
Enter..................... ''Sex''+ pressENDLINE .
Example:'*% 'e+ press END LINE formafe.

' '
-.'-....-

.--.
.

''V''+ press END LIN E forfem ale.

Enter

'

''Sourcs'+ pressENDLINE

'

Example:''A#'+ pressENDLINE foran arterialsample.

,
'V'
ss
ussampl
sampl
e.
''
M ''
'+
+ pr
pre
eg
sENDLI
END LINE
NE f
Jor
bra
avmen
ixed
e.

'

Enter..................... ''TEM P''+ prem ENDLINE.

Example:2'37''+ pressENDLINE forpatient's tem peralure in dgree.
sC.
.

Enler..................... ''DRAW N''+ pressEND LIN E. .

Example:''1345''+ prerxsEND LIN E fora sampledraw n at 1:46PM .

Enter.-..........-........

'

;y

'

.
.

'

''Fl
02''+ pressEND
LlNE.
,
.

Example;''50z'+ress:NDLINE fornspiedoxvgeo icp%.F1O2entryisrequired forinterpretations.

.'

'

. .

-.

.;
.
.'
)

-'

-- ''
21'

jnform I11nev.A.9/83

3:06-cv-00056-PMP-VPC
Document
644-15
Fnter.Case
. . . . . . . . . . . . .
. . . .
''V FNT MODE'
''fpres
sEND LIFiled
NE. 05/28/08 Page 24 of 76
. .

.''

Examptel''Bearblowby''+ --lssENDLINEfortheventilatortypeankw Ytus

.

Enter.

. . . . . . . . . .
. . . .. . . . .
''Resp. Rate''+ pressEN D L1N E.
Example:''20''+ pcessEN D LIN E forthe respiratory rate.

Enter. . . . . . . . . . . . . . . . . . . . .
''Vtlsufne''+ press EN D LIN E'.
Exam ple:''1000,'+ press EN D LIN (.
7forthepatierltorventiIator'
tidalvolum e.
.

Enter . . . . . . . . . . . . . . . . . . . .
''Area''4 pressEND LIN E
Fxam plez''CCU''+ pressEN I3I
-IN E.forCardiacCare U nit.
.

Enter...... . . . . . . . . . . . . . . .
''Physician + press END l
- I
N E.
Example:''Johnson''+ press ENDLIN E forphysician name.

DATA TRANSM ISSION .....

Datatransm itled from D EV lCE appears in centerportion ofthescreen.

lnform Response... ........

SpeciafFunction Key Screen Labelscbange to alIow sample identification.

.%.

Y2
.

'

-.

...

.
'

..

'

klr- ':; - ''

'
4' .
.
.

-*
.

'

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q
..yi ..

.. '

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.

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.
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*.

:..

4.2.4 Basic SOURCE Program Operation After

Iftheoperatprisin ttle processofenteringpatient

Data Transm ission

'
rransm ission ofpatientsam ple and qualitv control
data sometim esoccurswhile tlae operatorisenterin9 ata through the lnteractive display. The

'

demographicsfora devicedifferentfrom the trans

lnform system allowscom pletion ofthe datatransm ission, so thatthe perform ance of instrumentat
ion is oot degraded.The cursorw illdisappear
during data transm ission,and reappearaftercompl
etion. The SO URCE program w illdisplay the
t
ransm itted data in the center portion of the
screen,and willalterthe Special Function Key
Scr
een Labelsto allow sample identificalion. The
DEV ICE numberw illbedisplayed to identify the
source ofthe data.The operatorw ilithen enter
dem ographicsand identify tqedata. lftheoperator
isin 1he processofentering dem ographicsforthe
) data transm itted. continue to input the data and
z
identify thesample.

m itling device, so u nc E w illtem porarily store the

dem ograpbics,allow ing ider
atification and storage
Ofthe tcansm itted data. Thestot'
ed demograghics

W illbe displayed afterstorage ofthe transm itted

data.
cAu-rjoN :The operator must be aware ofthe
activities being perform ed on the devicesinterfacing to the Inform syste
m .It isim portantto watch
for data transm issions so that the.demographics
'
and identifications are
correct,and correspond lo
the data
.
.

22

lnform IIIRev. A.9/83

Case 3:06-cv-00056-PMP-VPC
425 B
asicSampleldentificatl

Document 644-15 Filed 05/28/08 Page 25 of 76

Afterdata transmission,tbe of- atorwi11be re-

quired to identify the sam pleasa patientsam pleor

a@ualitycontrolsample.To storepatientsamples,

'

thfsrequiresentryofa patientnameorapatieat

ID num ber.Fiveoptionsare available to theoperatorafterdata transm ission.In addition,the operatorm ustselectthedata typezusingspecialfunetion kevs. The specialfunction key screen Iabe'
ls '
w illchpngelo com m ands,to allow properidentificationSPECIAL FUNCTIO N KEY SCREEN LABELS

Procedure

..

1.

Prass ...................'..

PATIENT SAM PLE

lnform Response............

ldentifiesthe transm itted data asa patientsam ple.Thedata wiIlbe

identified by the demographicsdisplayed.The m anipulate sam ple
data specialfunction key labelswillbe displayed.
.

2Press .....................

'

ED IT SAM PLE

'
.

Display ...---....
'.

- . . .. . . . -

Advance to ................
'

'

lnversevideo editfields in the Data Display.

'

-. '

Any editfield:02 Sat,THb,COHb,M etl

-lb,HHb,02 Cap,Na,K.

Enter...................... The corrected data foreach field.

Example:02 Sa1of93.4% edi
led to 93.
8% .

23

lnform 11IRev.
'A,9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 26 of 76

3'
u '
Press . . . . . . . . . . . . . . . . . . . .''x ..
N-x
7QUA LITY CO NT RO 1
x. ..
-

lnform Response............
:
4.
Press ..... ....... ..... .

Inform Response............

.. .

N ..

IderhtiCies the transm ltted data asaquality controlsample. The QC

File # specialfunction kek'tabelsw illbe displayed.

DISCA RO
Clears the transfnitted data and demographic inform ation and prevenls
incorporation in1o the dala base.

4.2.6 Sam ple Data M anipulation

T ransm itted patientsam ple data once properly
identitied,may be stored.In addition,a P5O may
be selected for this sam ple data to be ctaculated
and reported w ith the Iong form report.w hen
analyzing venousblood
SPECIAL FUNCTION KEY LABELS
)

Procedure
Press .....................
lnform Response............

STO RE DATA

''

Transm itted data,w ith orw ithoutedited inform ation, and patient
demographicsw illbe stored in the PatientData file The Remaining
Entries in the PatientDatafile wifldekre'
as'e by one lfselected in the
.
.

system M anager,ashortform reportw i11be printed on thesystem

ticketorroIlprinter.

PrOSS .....................

Pb0

lnform Response............

The system w il1select forPt$0 using thetransmitted and edited data,

forIatercalculation and reporting on the long form report, when
analyzing venousblood.

Press .....................

BAC K

Inform Response............

The previoussetofspecialfunction key screen labelswillbedisplayed,

allow ing the operatorto reidentify the data ifnecemary.

24

Inform 1IIRev. A.9/83

Case 3:06-cv-00056-PMP-VPC
4.2.7Se
lectQualiw ControlF(I' mber

Document 644-15 Filed 05/28/08 Page 27 of 76

)
k
Afler identifying transmitted dat
.-asquatity conx-z
troldala,ll
$e properfle numberrnustbe selected.
The lnforfn system m onitorsand stores quality
conttoldata for'
twelve files.Each instrum ent is
assigned a file number in the QC LotAddilion
function.If'
two setsofcontrolmaterialsare being
run on an instrument,the instrument rnay be
assigned km o file numbers.
SPECIA L FUNCTION KEY LABELS

(t

Procedure
Prss .....................

File 1

lnf0rm 2eSPonse. . . . . . . . . . . .

nkllttstesthi-ihtiiisfii
-iii'
d Uc-d-ti'
i-7
for-pil-l'' -'' '' '''-- '' '-' ''''-'

Pr s .........- .- - ...-

File2

lnform Response..........-.

Indicatesthatthe transm itted QC data isforFile 2.

Press .-...................

File 3

Inform Response............

Indicatesthat1hetransmitted QC data isforFile 3.

Press ..................--.

File 4

Inform Response....-.......

lndicatesthatthe transm itted 0C da'

ta is for File 4.

Prass .................-...

File 5

Inform Response...... ..-..

Indicalesthal1he transm itted QC data isforFile 5.

'

)
h

'

''

-'

!'

Pr% s .....................

Fife 6

lnform ResponO .....-......

lnditlate-s'
thatthe transm itted QC data lsforFile 6.

PreLs ..-......-...........

File 7

lnform Response............

lndicatesthatthe transm itted QC data is forFile 7.

.-

'

- ---

Press ..--.........,..-.... Shifl+ thespecialfunction key correspondingto 1hefiledesired (8-12).

'

lnform R- ponse............

lndicatesthatthe transm itted QC data isforthefile selected.

Press .....................

BAC K

Inform Response....'........ TheIyevioussetofspecialfunctionkeyIabel

swillbedisplayed.
'

allow ing the transm itjed dala to be reidentified,ifnecessarv.

25

Inform l11Rev.A,9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 28 of 76

4.2.8 SelectOuality ControlLa>.- lN ufnber
; q
mw h
T ransm itled data identified a&. .4uali
ly control
... ..
sam ple and assigned a file num berm ustalso have
its LevelNumberspecified.The lnform system
i alIows for3 levelsperfi1e number Oncethe Ievel
num beris identified,the Iim itsforthe levelwillbe
displayed.The quality controlsam ple r'
nay then be

stored orrejected.A rejected OC sampleisstored

in the CIC data base flagged as rejected and rem oved from aIIstatisticalcalculations. Ifselected
in theSystem M anager.a shortform reportw illbe
printed on the system ,ticketorrollprinler.

SPECIA L FUNCTION KEY LABELS

.

q .'-.- v

..-. .... .. .
-. --'u-... ....-z
w..
.

j:: . '.
-.J..
'
ztk
.t
+a... . .' wm
t
,.. r'..
&
41
. .

-.

--

%
procedure
Press .....................
-

.-

-.

.
...

> xs%
.
pee(
xvs...
. ''

.
.

#
. : ..

7.

qpi
.

.
jr..x.
..z
,
.5
4wzwsavil
.W Y..
XF
''.'..
wsu.. ..x.'..
oe.
W Y&4'-s.v.
R
r
l
f
t
cs... ...'.
.#

.
. .. .

LFV EL.1

D isplay ...................

Level1A ction Lim its

Press .....................

LEVE L 2

Display ...................

Level2 Action Lim its

Press .................. . . .

LEVEL.3

) Display ................... Level3 Action Lim its

'

Note:You may move back and forth from one

levelto anotherto evaluate each setofIimits. This
w iIInotaffectthe system ,butthe operatorm ust
ensure thatthe data isstored in thecorrectIevel
num ber.A Ievelnumber m ustbe selected before
attem pting to store the data
Press ... . . . . . . . . . . . . . .

.. . .

lnform Response............

'

R ExJECT QC

RejectsQC sample? fIagsitasrejected,and removesitfrom statistical

.

calculations.Tostoretherejected sample,selectSTORE QC asdescribed below .

'

.-

-.

Press .....................

STO RE QC

Inform Response............

StoresQC sam ple in the Quality ControlData Base. The Flemaining

Entiresforthe Ouality ControlfiIe decreasesby one. Ifselected,a
shortform reportw illbe printed on 1he system .ticket6rrollprinter.

Press .....................

BAC K

Inform Response............

The grevioussetofspecialfunction key labelsw illbedisplayed,

alIowing the operatorto reselectthe file num ber.

26

Inform 11IFlev. A,9/83

'

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 29 of 76

4.2.9 Acce-ssingCommands (f

Com m ands allow specific func-.ons to be im plem enled im medately.The SOU RCE program
within RUN SAM PLE contains the com mand
''SEARCH'' SEA RCH allows Patient Data files to
be searched for previously entered patient demographics.SEA RCH interrogates the Patient Data
filas by Patient Name orPatient lD forthe first .
qualifying entrv found within the pastlhreedavs.
SPECIAL FUNCTION KEY LABELS

.J

.
)

Procedure

Enter.-............-......

Nam e orID forthe Search.

press..................... nuN bAMF'I

A (currentiyJisagled,innormafvo eo(
ilspf'
yj
Inform Response..--.....-..

The com m and specialfunclion key labelsw illbe displayed.

Prass .....................

SEARCH

Inform Response.-..........

The patientdatafleswiIlbe searched according to Patient Nam e or

.
PatientlD forpreviousdemographicentriesin the pastthree days.The .'
entriesw illbe displayed in the lntera
'ctive display area.

Press .....................

BAC K

h.

'

lnform Response............ The previoussetofspecialfunction key labelsw illbe displayed,

allowing selection ofanotherprogram module.
4 2 10 Non-SOUncE Program Displays
The NOR-SO U RC E Program displays differfrom
the dis;lI
ay found in theS0 U RCE program s.The
differences in disglaysCorresponds 10 the differ-

- -

''
'

'

PflCP.
S in W stom O9'
er8tioI
7 in 1he I
ROI
3-SOURCE

- --

Programs.The DOn-SOURCE programs include:

REPORT/ENTER/EDIT-KZ
Q UA LITY CO NTRO L-K4

(exceptQC RETRIEVE)

CA L A NALYSIS .K5
INSTBUM ENT M AINTENANCE-K6
SYSTEM MA NAGER-K;

'

27

Inform II1Rev.A.9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 30 of 76

I
n
t
hes
e program m odules'the.*11jgirrs no automatc
d
... .
ata acquisition.Instrum entm .)orllg is lim ited
:
'
.
,
to one setofcalibration dataps'fnstrum ent. The
'
calibration datacollected in the rIOn-SO URCE pro.
gram is autom aticalIy read and stored once a
SOURCE program isaccessed. 11 is im portant to
return to a SOU RC E program aftercornpletion of
every function,to allow reading ()fcalibration data
and forautomatic data acquisition.
.

The I
-IOn-SOURCE displays are divided into five
areas:

ACCESSED PROG RAM D ISPLAY

ENTRY RULES
W ARN INGS
DATA BASE STATUS DISPLAY
SPECIA L FUNCTION KEY SCREEN LABELS
W

'

'' '
7 '-' - R'OQ

,
7X:
1.

'-

E
)

'

,
*

Figere 9.Non-source Display

The Accessed Program display,located on the Ief4

and centralportion ofthe screen contains the
information required for the operation of the
selected program m odule.
The Entry Rulesdisplay, located on the upper
right-hand corner ofthe screen, contains inform ation to assist the operatorin the m ethods of
properfunction selection and data entry approach-

ing capacity.

Entry Rules
There are two basic methods ofoperatorentry
in the nOn-SOURCE display. The first method
involves1he choice ofan IT EM lo beentered. T he
' oper
i ator.through a m enu selection'choosesao
tem number, presses ENDLINE'and is tkhen
prompted forthe appropriate informatien te-be
entered.Once the data is entered'the operator

then selectsthe item num berwhich alIowsstorage

ofthedata.The second method involvesthechoice
ofa FUNCTIO N to be perform ed. The operator,
through a selection, choosesan item num berand
presses END LlN E. The Inform system w illautomatically accessorperform the function chosen'
W hen the operatorw ishes to Ieave the accessed
program function, select the item number that
feturns the M ain Menu SpeciasFunclion Keys.

The Data Base Statusdisplay, located on the Iokver

rijht-hand cornerof the screen, displays the rem aining storage capacity forthe data files.
Tl
le Special Function Key Screen Labels are
Iocaled across the lower portion ofthe screen.
They correspond to 1he seleclions which may be
made utilizing the specialfunction kevs, Pressing

) aspecialfunction keywillautomatically load the

-.--'

Tl
ne Inform svstem willreturn 1l)e Main Menu

selected program module.

SpecialFunction Key Screen Labels,allowing the '

operatorto selectanotllerprogram rnadule
28

lnform 1ilRev A. 9/83

4.2.1Case
1 Star3:06-cv-00056-PMP-VPC
t-upU'
tility (x(

Document 644-15 Filed 05/28/08 Page 31 of 76

tk

y function ix ccessed e-acb time

1w .,
The Start-up Utilit'
powerisreapplied to 1he HP-86 system ifthe Daily
Dataand Svstem Program Disksare in place.Ti
s
tunction requiresthe.entrv ofthe currentdate and
tim eyto setthe internalclock ofthe l-1P.
.86.
Procedure:
Ensure-.-..-......-....... Thatallcomponentsofthe Infclrm system are properly installed and
.

inlerfaced (SeeSection 2.0).

Turn on ...................

Powerto the DualDisk Drive unit.

lnsert...........-...... . . .

The System Program Disk into Dri

ve 1,and the Daily Data Disk into
Drive0.

Turn O n ........-....... . .

Powerto the HPY 6B the M onitor,and the Printer.

Inform Response............ TheStart-u Utility willautomatically Ioad and bedisplayed.

-

'--

Select -...................

''1r'+ PrerxsENDLIN E-

Enter....--.........-. . . . .

''Date(MMDDYY)?''+ PrerxsENDLINE.

Selecl ....-........... . . . .

''2''+ premsEND LINE.

Enter....-.....-...... . . . .

''T ime (1-lHMM )?''+ pressENDI

-lNE.

Select ................ - . . .

..3.'+ pressENDLIN E.

Inform Response........... .

The new ly entered dale and time are stored and selection 4 appears.

Selecl --..-.............

',4''+ pressEND L.lN E to Ioad the Maia M enu SpecialFunclion Keys.

. .

'' - -

.
.

29

Inform IIIRw . A,9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 32 of 76

4.3 RUN SAMPLE.KI
z''
M
,-'
-.
t )
j
The RUN SAM PUEIprogram mwdule is the m ost
frequentlv utilized program .The SOURCE prc)-'

jg
ram functionsareperformedautomaticallywithin
FtUN SAM PLE,ensurinj the coIIection oftransm ftled data from interfaced instrum ents w hife

demographic entries orotherac1ivities are performed .For basic operation ofa SOURCE pro(lram ,referto Section 4.2
Short form reports,containing transm itted data
and sam ple identfic-ation inform ation may be

jenerated by thesystem,ticketorrollprinters

Ifpreviously selected in the System M anager.

Referto the chart below fordpta entry field lim its.
Only the specified num ber of characters wi1lbe
altow ed lfexcesscharactersare entered the entire
entry forthatfield w i11beerased and ttlecursor

--

wijj--reoajn-i
o-o atf;Idv.--.-

- --

4.
3 .1 Field Limits
Field
Lim its
ID#
11
Name
16
Age
6
Sex
1
Source
1
Temp
5
h Drawn
4
' .) FI02
5
VentM ode
16
Flesp Rate
4
Volume
4
Area
16
Physician
16

-.-...
-

- -.-.-. .-- .. .

.. .. .

.---

Type
alphanumeric
alphanumerics
alpbanumeric-s
M orfzonIy
A ,V orM only
numef'ics
numerics
numeric-s
atpharlum eric.s
num erics
numerics
alpharlum erics
alphanum erics

---- ......-..

4.3.2 Entry Rules

To m ovedown 1he screen to the appropriate dala
entry field,use END LINE.Tvpe in the data,and

pressENDl-INE to accejtthedala and advance

to the next data entr'

y fleld.END LIN ii must be

.
-

'
.

qressedaftereach entrv to storethedatain the

fleld.To move up 1be screen to a data entry
field,prerssSH lFT + END LIN E.

'

--

The minimum demographic entrv required for

identificationandstorageofthepatientsamqleis
patient ID# orpatient NAM E.Heferto Secton
3-1 fordata entr'
y rules.

')

30

1nform 11lRev.A ,9/83

Case 3:06-cv-00056-PMP-VPC
Document 644-15 Filed 05/28/08
Page 33 of 76
t(
('
STA RTING DISPLAY
'
.
.
( )
'.

k ZJ

.-

=w.
v.wvvm.
-v
e
q4s1--. .sJ
q
zG=tvv
jjm
.
ku
Ak.
'
?
t
v'
r
+T
='dJrt
:!.
w
'
%'
<'.
-..:*.
rm'
e6'':''-''****'''
*
t):
(jJf
h*vcr
v
j - .- .

.. .g : (*-ra.. w-m 4. .
.

'

....
.

vx
,
...
72)
.
.C%
.-

' '-J,
'.'R''''
eQ
*tY5
k''.C
?Jv' ''

:
:

LL'
g.
' ...
.

'

-'

'-%-*
M4*

'

.i

m.

.. - -

$
1
.

(
t

..

4.3.3 PROCEDURE forPatientSample Analysis

Note:11 is im portant thatthe demographics be
correctly associated with the da'
ta by entering 1he
correctDevice num ber.
.

Note:Patientage, F102 and sample source are required forinterpretations.

Press .....................

R UN SAM PLE

lntroduce ...-.............
'

Thesam ple into the appropriate analyzer. Determ ine the Device num berofthe analyzer.

Advance to ................

zgDevicez/
'

'
.

Enter.................-... .''Device''+ Press ENDLINE.

Sxample:l'1''+ Press END LIN E forthe prim ary analyzer.

..

Advance to ................

ID # using the ENDLINE key.

Enter............-........ 'Patient'sID #''+ PressENDLII

JE.
Exampl
e:''12345''+ Press END LlN E forpatientID number.
Enter......-.............. ''Name''+ Press ENDLINE .
Exam pte:''
John Srnith''+ PressENDLINE forpatientname.
Enler.................-...

'

'

i'Sex''+ PressEND L!NE.

Enter...-....-............ ''Sourcg''+ Prerxs END LINE.

' Example'
.''A''+ PressEND L1N E forarteria1.
''V''+ Press ENDL-INE forvenous.
z.M ''+ Press EN D LIN E form ixed.

'

'

''Age''+ PressEN D LINE.

Example:':031445''forbirthdate ofM arch 14,1945.

''D38''for38 daysold.
''Y38''for38 yearsold.
Enter........-............
E xam ple:''M ''formale

'

31

'
.-

Inform lIIRev. A,9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 34 of 76

Enter....................z. .q ''Tem p''+ PressEN D LIN E.
>
,.
,z
Exarriplez 38 1.PressENU
i..jN E forpatient,stemperature in degrees'-s'intIgrade.
.-

-'

) Einter..................... ''Drawn''+ PressENDLINE.

Exam ple:''1000''+ Press FND LlN IE fora sample drawn at10:00AM .
-

Enter. ................... ''F1fJ2''+ PressEND LlN E.

Exarnple.''45''+ pressFND l-lN E forinspired oxygen in %.F102 entry isre.
quired for interpretations.
Enter....... ............. ''V entM ode''+ Press EN D LIN E.
Exam ple:''Bear,blow by''+ PressFN D LlN E fortle V entilatortype and status.

Enter..................... ''Resp Bate''+ PressEND LlN E.

Exam ple:''40''+ Press EN Dt-lN E forpatient'srespiratory rate in breathsperm inute.
Enter..................... ''Volum e''+ PressEN D LlN E.
*
' ' 'Exam'ple:'z5O0f1 'F-fress EN'
D L-IN-E forpaiientor--ventilatortjdalwoluroe.-

- -

.. -- ---.-

.--

--.
-..

Enter..................... ''A rea''+ PressEND LlN E..

Exam ple:''lCU''+ Press FN E)LIN E fora patientIocated in the Inlensive Care U nit.
Enter..................... ''Physician''+ PressEN D L.IN E.
Exam ple:''Johnson''4-Press END L1N E for1he attending physician name.

DATA TRANSM ISSION ......

The sample data transm itted by the analyzerw iIIbedlsplayed in the

Data/calculation Display,and the ldentify Sample SpecialFunclion

keyswillbe displayed.During datatransm ission,the specialfunction

keysw illbe turned off,and the cursorw illdisappear.

,
'

,
b

.,

.> '

32

Inform 111Rev. A.9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 35 of 76

f colr sAvl-L.s

Preu..................-(-

().4

lnform Response.......--...

A llowsthe operatorto edittransmitted data ifrequired.

Prers ..................... PATIENT SAMPLE

Inform Response...-........

ldentifiesthe data asa patientsample.

Press -....................

STO RE SAM PLE

Inform Response...-........

Stores patientdemographics and sam pfe data in the palientfil

e,and

printsashortform report(ifselectedinSystem Managerl-TheMain

Menu specialfunction key screen Iabelswl11be displayed.ifno other

data isspooled.lfdata isspooled,itw illbe displayedzand m ustbe
identified before the Main M enu w iIlbe displayed.
C or ninq 178 - 1

0 8/07/83

HAROLD SOLOMQN

- - w s - -- w -z-a ss PCO 2
85 .%
PO2
3O .O
' HCO329.*
PE
1.1
O2CT
----.O2SmT
47.3
TENP
37.O
THB
---- .TCO2
32 -O

COHB

METHB
HHP
02cAP
N4
K
# 18

---.-

---.---.---.---.--.-Ar't

18 :0 1

76458

---.e a.
sua .- . - - . .
mmldg
Ne asure
mmHg
Neasure
mmol/1 Gctjzal
mmo l/ 1 V1tr'o
VDl X
Default
X
Calc
* C
Default ,
qm/d l
To tal
mmD1/1 Calc

.-

-.-

.-- -

.-

-- - ...- .-..--

'

Meaaure

'.
)

X
Measure X
Meaeure
Volx
Calc
mmtal/'l Neaeure
mmol/1 Maaaure
Syrringe

...

.
'

'

'

''

- .

Figure 1O.PatientShortForm.Report

4.
3.4 PROCEDURE foraQualiw ControlSinple
Pr'
ess ....-.'. . . . . -

. .. . . . . . .

lntroduce ..-..............

l
:1UN SAM PLE
The e'
ample ito the appropriate aqalvzer.Determ inethe Devi
numberoftheanalyzer.'
.
.
'

DATA TRANSM ISSIO N ...... The sample data transmitted by th analyzerwillbedisplayed in the
.

'

Data/calculation Display. '

''

Press .....................

Q UA LITY CONTROL

lnform Response.'...........

ldcntifiestho lransm ittcd data asquality contro!data.The file num ber

specialfunction key screen Iabelswillbedisplayed.
'

'

Press

.,

. - . . . .. . . . . . . . . .. . .. -

F1LE #.

33

Inform IIIRw.A.9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 36 of 76

Inform Response..........;'
.-r Thedata isreformatted on the displap.- include the OC File specifica-

1 z? tions The l-evelnum berspecialfunJt zkkey screen Iabelswillbe

.

displayed.

) press .................... LE'

.VEL#.
D isplay ...................
.

?J%
r l
.'z$
-

7*.
?h.
.
%PJCY.''
b
:
-1.
.
t4Jitk.
'5
dtt
yf
.
y
,
j
L&
'
.
Ja,
''''r 1 J
.z . <

.
,

TheA ction Lim its ofthe selected Level.

) ..

' > *::t;

'
4
'r.-:
V.
'
%W. = '
*.'.+ ..- .
*i
n.
2:.
L
''/li
)
t#
i
, 'r
'>
.'
,-'77-.
,
t
/j:
u .
!y
j
J
.
y
.- . y
j.
j
.
yj
)
.

..

!.

k
.

.(.4
1('

.
'

'

')j:
;'
.J
.(

Press .....................

S'
1'O R E QC

lnform Response............

StoresQC data in the appropriate data base. Ifselected,ashort form

reportwillbe printed.The Main Menu specialfunction key screen
Iabelswillbe displayed.

.
j
7

Note: Ifthe QC sam ple data is unacceptable press

R EJECT OC,to remove the dala from aIlstatistical
calculations then pressSTOR E QC to store the re-

jected sampleintheselected file.To reselectafiIe

'

num ber,redisplay the FILE specialfunction key

screen Iabelsby presslng BACK.To discard the

data,pressBACK to return to the previousspecial
function keys and then press DISCARD
Corn inq 17 B- 1

08 /0 3/93 15 :3 9

'''
corning 178- 1
' 1e T

F lle : 1
Levelz 2
Inatrumentt CORNING 178
c on tro lz CONF IRM
Lot#l 2862
L im it Type z &B S
Tech ni c ian z
R e-u lt s) m ccep ted
MEPS UR ED
PH

J F
'co2
f102

'

'
08/03 /83

.
OLD 7.390
OLD 3/.0
OLD 8 3 .8
76B

15 :54

NEW 7.382
NEW 3&.0
NEW 88 .5

Figure 12.calibratipn shortForm Report

R/ NG E

7 .4 32

7 .388 - 7.428

41.1

91.6 - 111.6

97.2

PH
/C02
P5 Q
PP

'

:$9.8 - 42.6

Figure 11.Quality ConlrolSample Report

34

Inform 11IRev. A.9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 37 of 76

4.4 REPORT/ENTER/EDIT-PPS

''
-

-rhe REPORT/ENTE.R/EDlT'p/ograrn modu1e

alIow stheoperatorto rnanualIy entersam ple data

generated from any interfaced or non.interfaced
analyzer. Previoiasly entered demoqrapbllc infocmation and sample data m ay be ediled ''Long form ''
patientreportsm av be printed forboth transm itted and m anually entered sample data Through
this program ,patientdata filesm ay be (ransferred
from the Daly Data disk to the Archive Patient
Disk providing space foradditionaldata on the
Daily Data disk. Ti
nis m odule is a HOn.SOURCE
program .

4.4.1 Field Lim its

Field
Lim its
Seq #
3
ID #
11

Type
num eic
alphanum eric

Name

17

alphanumeric

Date
Tim e
Age
Sex
Source
Tem p
D raw n
FI02
VentM ode
Resp Rate
Volum e
A rea
Phvsician

6
4
6
1
1
i5
4
5
16
4
4
16
16

numeric
num eric
. alphanumeric
M orFFonly
A , V orM only
num eric
num erlc
numerlc
alphanumeric
numeric
num eric
alphantlm eric
alphanumeric

4.4.2 Enlry Rules

Selectthe item num beroftbe function to be perform ed, and pressEND L1NE. To move down the
display to theappropriate data entry field press
END LINE.Foreach data field entry, type in the
entry,and pressEND L.1NE to advance to the next
entry.To skip overan entrv field pressEND LIN E.
To m ove up the screen to an entry field press
SHIFT + END LINE.

'

35

infocm (16Rev. A.$

1/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 38 of 76

' laquirecffor
(';-4
The m inim um dem ographic en identification and storageofthe'a'
ample data is
wy
patien'
t lD orpatientName.Referto Section 3. 1
fordata entry rules.
STARTING D ISPLAY

'
i

4
J
:
)
.
W'
:J
I
F'
qoi
1
r
e
a
jf.= 1' '
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W?
v
+q
bl
igqt
y$
*0<:
2% rtgkyu
'Jyjytqjv
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+x.
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.ya
j.
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.;
xa.
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.

... .

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,
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>*.:xpujj;:e
yi. . -. .i
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s.,.
. - . . ....
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=
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.
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;
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a
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.. .
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-.s

!r;<rbx.ax 4.. ...$

. .

4.4.3 Procedureto Entera New Sam ple

(ManualMode)
Thisfunction alowsthe operatorto enterpatient
demographicsand ram pledata m anually via the
keyboard.Thisenablesentry ofdata from an
analyzer'not interfaced to tbe lnform system .
and entry ofdata generated on an interfaced
analyzerduringa nOn-SOUIRCE function- Data
njay be entered only forthose parametersdesired

'

Press ... -

.. . . . . . . . .. . . . . . .

REPORT/ENTER/ED IT

Select .............. . . ; . . .

''1''+ pressEND LIN E

Inform Response........ . . . .

Accesses Entera New Sample.

.?

'

..

36

''

. .

j
tM
-?Jv.a

..

k
.

. ..

lnform ,11Rss
v. A.gAa

..

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 39 of 76

Advance tcl..............7-rx..e,,jg),'
e
: )
/ '-T
.
Fnter
.
. ..
' ''ID''+ pressEND t-lN E
-''''
Exam ple:''23456''+ pressEND LIN U.
Fnter..............,...... ''Name''+ pressEN D L-lNE
Example:''BilIJohnson''+ pressFN D LIN E.
Press .....................

SEA RCH

Inform Response............

Ifselected,a search wi11be performed based upon the nam eand lD

forpreviousdernoaraphicentriesin the paslthree days.

Fnter.....................

Thedata entry fiefdsrequested informatioll+ press END LINEE.

Fieldsmay be Ieftblank by using EiN D L.lN E to advance to the
nextdata entry field

Advanceto ................

''pl-1''using tl
ae EN DLINE key.Then move tlhe cursorto the farleft
position in tlle field by tsing S1-l1FT + BAC KSPACE.

Enter..................... ''pH''+ pressEN DL1N l

ii.
Fxam ple:''7.38''+ press EN 13L1N E .

''39.
8''+ press END L 1N E forPH in rlm ol/litel
'.
Enter..................... ''P(2O2''+ press EiND LlN E,
Fxam ple:''40''+ press END LIN E'forPCOZ drlmm l-lg.
''5.33''+ press EN13LlN EE
.forPCO2 in kPa.
'

Enter..................... ''PO2''+ pressEND l

-INE.
Exam ple:''80''+ prerx
s EN D t-1N E forPO2 in m m Hg.
''1O.22''+ press 6N D LlN (
- forPOz in kPa.

Enter.....................

''-fHb''+ pressFND L.INE.

Exam ple:''14.6''4-press ENIDLIN EEforTHb in gm /dl.

Enter..................... ''COHb''+ press ENDL jN6.
Example:''1.2:'+ press END L1N E forCOHb in % .
Enter..................... ''M etHb'l+ press EN DL1N E.
Exam ple:''0.6''+ prerxsENDLINE forM etl-lh in %.

Fnter.....................

?'Na''+ pressEND LINE.

Exam ple:''140''+ pressENDLIN E forNa+ in mM o/L.

Fnter.....................

''K''+ pressENDL.INF.

Exam ple:''4.1''+ press END L1N E for K+ in m Mo/L.

Press .....................

SW ITCH IN-I-ERP

Inform Response............

Ifselected,thedefaultsettingforinterpretations(setin tl
neSystem
Manager)wi1lbeoverridden forthissample.Theoriginalseleclion
made in the System M anagerisdisptayed in the upperright-hand corner
ofthe screen when entering thedisplay.

37

Inform I11Flev.A,9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 40 of 76

(f swlrci
apso

sam ple.The originalselection made in HUN SA M PLE is displayed

in the upperright-hand cornerofthe screen when entering the display.
Prerxs -....................

PR 1NT PT SAM PLE

Inform Response.-..........

Linksthe efltered d'

em ographicswith the entered sam ple data and
printsthe ''long form ''patientreport.
Note:The entered sample data w illnotbe stored using thisprint
function.STOR E PT SAM PLE m ustbe pressed to More theentered
data.

Press .....................

STOFIE PT SAM PLE

Inform Response......-.....

Linkstheentered demographicswith the entered sam ple data,and

storesthe data n the data base.Ifa reportis required.printbefore
storing.

4.4.4 Procedure to Edita PatientSam ple

Thisfunclion allowstheoperatorto editpreviousIy transm itted orentered dem ographicsorsample
data.A search sequence is initialed to retrieve the
data from thedata base.
Entry R ules

Select the item numberforthe funcfion to be performed and press ENDLINE.Previously enlered
rsam ple data may be found by using theSEARCH
function. The Inform system w ill search by
Sequence #.lD # plusthe date and time,Name
plus the date and time,A IINot Yet Printed or
Last Sam ple.Enler the search inform ation,and
prass END LINE.Once the search parameterinformation is complete select the appropriate item
number to begin the search Before printing a
patient ram ple repor'
te1he System M anagersetlings
for Interpretations and P50 Calculations may be
overridden.To print the new ly ediled report,
press PR lNT PT SAM PLE.To slore the newly

'
.

'

''

l
'

'

edited dala,presxsSTO RE PT SA M PLE.

To relurn to the REPORT/ENTEB/EDIT m enu,

'

select ':9''and preas END LINE To return to the

Main M enu specialfunction key labels,select,'10''
and prass ENDLINE.

'

- --

'

..

38

jnform lIIRev. A.9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 41 of 76

1. To search by Sequence nunVN
J
Press ...................'-

.>

R Er7O R T/EN 1-E.f'

l,
/ED lT

' ,

Se1ect .. ....... . .......

''2''+ pressL-N D LIN El

Inform Response............

Act-essesPatientSampI
e Editing.

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Select ....................

''1''+ pressE.N D LINE.

D1spIay ...................

''Sequence # ?''

Fnter.....................

T he sequence num berofthe sam ple to be searched forand edited

Thlsnumberm ay be found on allpatiefltreportsand PA TIE'NT

j
'

LlC
u'
>T ING reports.(Selections2-7 w illbe disabled afterthe sequence
num berisentered )
Select ....................

''8''+ press EN D LIN E.

lnform Response............

Accesses ReportFditfunction

39

Inform lIIRev.A.9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed

05/28/08 Page 42 of 76
.
($
.
(x= '')
Enter. . . . . . . . . . . . . . . . . . . . .
The new information forthatfield
Example:,,7.38,'forthe new pl
-loftbe sample

Advanceto ..............(
..('Anyfieldofdataentrydisplay
.

Press .. . . . . . . .

.. . . . . . .. . . .

lnform Response......-.....

SW lTC H lNTERP

Ifselected,thedefaultsettingforinterpretationstsetin theSystem

Manaqer)willbeoverriddenforthissample.Theoriginalselection
m ade ln the System M anagerisdisplayed in the upperrigbt-hand
cornerof!he screen when entering the display.
'

Press ........-........... .

tW ITI;H P50

lnform Response............ Changesthe selection made forthe calculatitm ofP50 forthispatient

sam ple.The originalselection made in RUN SAMPLE isdisplayed in
the upperright-hand cornerofthe screen w hen entering the display.
Press .................. . . . .

PRlNT PATIENT SAM PLE

Inform Response.....--...-.

A ''long form ''patientreportwiIIbe printeds withthenewl

d
yentered
ata.The newlv entered data willnotbestored using thisprlntfunction

Press ......... . . . . . . . . . . . ,

S-FO RE PATIENT SAM PLE

Inform Response............

Thepatientfile willbe updated and stored w ith the new ly entered

data,withoutprinting a Iong form report. lfa report is required. print
before storing.

2. To search by ID #:
Press .................. . . .

REPOFIT/ENTER/EDIT

Select ..................

''2''+ pressEN D LlN E.

Inform Reesponse....--.-....

AccessesPatientSam ple Editing.

. .

)
'

40

lntorm l11nev.A,9/83

Case 3:06-cv-00056-PMP-VPC
Document 644-15 Filed 05/28/08 Page 43 of 76
i ',2''+ press END L

Select

. . . . . . . . . . . . .

. . . . . .'
.

).

lN E . (Sel
ections 1,

'
N
d
7

s
..
'r

U)lsplay ..... ............'

.'- ''l()# ?*'
)

pnter

Select ..... .... .........

ind 7 wilibe disabled.)

The lo # ofti
le patientwhose data is to be searched forand edlted
''4.'+ pressFNDLIN E

Dispfay ................... ''DCIte (M M DDYY)?''

Enter......... ... ....... ''D ate''+ pressFND L1N E.
Exam ple(''12.
2382''+ press END L)NL-,forthedate the sample wasanalyzed.

Select ....................

''5''+ press END L1N E

Dispfay ................... ''Tlme (HHMM )?''

Enter..................... ''T1me''+ press END LlN E.
Exam ple:''102:4'+ pressENDLPN E,forthe time tbesamplewasanalyzed
Select ....................

.,8.'+ pressEN D t-IN E .

Inform Response............

Accesses ReportEditfunction.

Advance to ................

A ny field ofdatantry display.

Enter.....................

The new information forthatfield.

Press .....................

SW ITCH INTERP

41

lnform 11IRev.A 9/83

'

3:06-cv-00056-PMP-VPC
Document
644-15 Filed 05/28/08 Page 44 of 76
l.
i lfselec
tedthe defauh
setting forinfl
lnfoCase
rmIles
ponse.......-..
,
lt
ati
ons(setintheSystem
'Manager)willbeoverridden forthiss' !
e
'

'

..

'

'

Thepri
ginalseleetion m ade

in theSystem Managerisdisplayed in the upperright-hand cornerof

thescreen wben entering thedisplayPK SS ............ . . . . . . .

;
..

SW ITCH P5O

lnform Response.....--.... -

Cbangesthe selction made forthe calculation ofP5O for thispatient

sam ple. The originalselection rrjade in RUN SAM PLE isdisplayed in
the upperright-hand cornerofthe screea w hen entering the display.

Press .......

PHINT PATIENT SAM PLE

. .. . . . .. . . . . . .

Inform Response..--..... . . .

A patient''long form ''reportwiIIbe prinled with the new ly entered

sam p'e data.The new lv entered sam ple data willnotbe stored usirp
this printfunction. STORE PT SAM PLE mustbe selected to store the
new ly entered data.

Press ........ .. ..

STO RE PATIENT SAM PLE

. .. . .. . .

lnfovm R esponse..... . . - . . . .

Tkle patientfilew ilsbeupdated and stored to include the newly

entered sample datazwithoutprinting a lof)g form report.
lfa report isrequired printbefore storing.

3- To search by Name:
Prass .-.....-..... . . . . - . . .

R EPORT/ENTE R/EDIT

Select .....c........... . . .

''2'.+ press END LIN E.

'

lnform Response............ AccessesPatientSampte Editin.

)

Selecl ............ . . . . . . .

Dspfayr

. . . . . .. . . . . . .. . . . . .

'23''+ pressEND LINE . (Sel

ectiofls1,2,6and 7willbedisabled.)

'zNam e''

Enter.-...... . . . . . . . . . - . . . ''Name''+ press END LIN F.

Exampse:''Susan James''+ pressENDLIN E forthe name ofthe palientto be search

edforandetiited
.

42

joform II1Rev.A.9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 45 of 76

Select ............. .....
.'4''+ press ENDLIN E
t )
M

Dispfay ...................-'V ''Date tM M DDYY)?''

Enter............... ..... ''Date''+ press END LIN E .
Example:''020683''+ pressU-N D LINEiforth)e date thatthesam plekvasariaIyzed.
Select .... . .............

''b''+ pressFN (
3LlN E .

Display ...... ..... ..... ''Time (HHM M )?''

Enter................... . ''Tir'
ne''+ pressEND L-1N E.
Exam ple'''1347.'+ press FND L.IN E
-Eforthe time thatthesam pIewas analyzed.
'
Select ....................

',8''+ press EN DL1N E.

Inform Respense............

A ccesses AeportEd 11functlon.

C>
.

''

C-7

!p7

'

.W

-<N*f

1:/:4:C*'

K-

Yy

A dvance to ................

Any field ofdata entry display.

Lnter.....................

The fieldsrequested inform ation.

Press .....................

SW IT CH INT ERP

Inform Response............

lfselected,the defaultsetting forinterpretations(setin theSystem

Manager)wi11beoverriddenforthisomple.'
Eheorigina!sel
eclion

m ade in the System Managerisdisptayed in1he upperright-hand -cornerofthe screen when entering the display.
Press .....................

SW ITCH P5O

Inform Response............ cbangesthe selection made forthe calculation ofP50 forthis patient
sam ple.The originalselection made in RUN SAM PLE isdisplayed in
the upperright-hand cornerofthe screen when entering the display.

'

43

lnform 1IIRev.A,9/83

Document 644-15 Filed 05/28/08

Page 46 of 76
PrG SCase
..- -3:06-cv-00056-PMP-VPC
..- ........- ,
4
-

1l . PRlNTPATIENTSAMPLE
..

lnforrn Response............

Press . .

. .. .. . . .. .. .. . . . . ..

lnform Response...-........

1J

,..

kw z

A patient''long form''reportwillbe printed with the newly entered

sampledata.The new ly entered sam pledataw ilInotbe stored using
thisprint function. STOR E PT SAM PI
-E m ustbe selected to store the
new ly entered data.

STORE RAT 1ENT SAMPLE

The patientfilew iIIbe updated and stored to include the newly entered
Ram ple data,w ithoutprinting a Iong form report. 1fa reportisrequired
printbeforestoring.

4. To Search by LastSample:
Press . . . . . . . . . . . . , . . . . . . . .

REPORT/ENTER/ED IT

Select . . . . . . . . . . . . . . . . . . . .

''2,,+ press ENDLINIE.

Inform RG ponse.......-....

A ccesses PatientSample Editing

'

Select .. . . . . . . . . . . . . . . . . . .

:,6''+ press END L1N E. (

Selections1,2,3,4,5and 7willbedi
kabled.)-

Select .. . . . . . . . . . . . .

''8.'+ press END L.IN E.

;....

Inform Response............ Accesjes FleportEditfunction.

./

'

:.

44.

Inform 11IRev. A.9./83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 47 of 76

A dvance to .., ... . . . . . . . .
Fnter.....
'

. . . . . . . . . . . . .

d ofdataentry clispl
ay.
hosm ny fiel
( ?
.
The field'srequested inform ation.

r -T

Pless ....

SW ITCH INTERP

lnform Response.......... . .

Ifselected the defauItsetting forInterpretltions (setin the Syslem

Manager)wiI1beoverridden forthissample The originalselection made

. . . . . . . . . . . . . . . . .

in tl'
he System M anager isdisplayed Irithe upperrght-hand cornerof
thescreen w hen entering the display.
Pferxs .

.. . . .

.. . .

. .. . .. . . .

lnform Response............

SW I'
I'CH P50
Changesthe selection made forthe calculatlon ofP50 forthispatient
sam rlle.The originalselection made in R UN SAM PLF is displayed in
the tlpperright-hand corneroftKe screen when eotering 1he display.
.

Press .

.. . . . . . . .. . . . .. . .. . .

lnform Response............

PR lNT'PATIENT SAM PLE

A patientlong Jorm reportw ilIbe printed w ith the new ly entered
sam ple data. The newly entered sample data w ilInotbe stored using
this print function. STO FIE PT SAM PLE m tlstbe selected to store the
new ly entered clata.

Press .

.. . .. .. . .. . . .. . . . .. .

lnform Response............

STO R E PAT 1ENT SAM PLE

The patientfilew iIlbe updated and stored to include the newly entered
sam ple data w itdloutprinting a Iong form rtlport. lfa report isrequired
printbeforestoring.

4.4.5 Procedureto Printa PatientSam ple

Thisprogram allowsthe operatorto printa ''long
form ''gatientreport lo inciude transm itted o
m anually entered rxam ple data A search sequence is
initiated to retrieve thedata from the data base.
Entry Rul
ps
Selectthe item numberforthe function to be performed and press ENDLINE. Previously entered
sample data may be found by searching according
to Sequence #,ID # plusthe Date and Time, N am e
plusthe D ate and T im e orLastSam ple. O nce the
search param eter information has been entered
select ''8''to store the dataand b in thesearch.
A patientreportw iIlbe printed forthe sam ple
m eeting the search requirements. Select ''/''to
printpatientreports foraIlramplesthathave not
been printed previously. Select .'9.'to return to
'

- '

'

theREPO RT/ENTER/EDIT mentl.select''10''to

return to the Main Menu special function key
screen Iabels. Enter BAC K to return to the previoussetofprom pts.

45

Inforrp iIlFlev A .9/83

'

Document 644-15 Filed(05/28/08 Page 48 of 76

Pre, Case 3:06-cv-00056-PMP-VPC
!

as ...................1
'
u

Select ................... .

FlEPORT/ENTER/ED IT

y .

.*3''+ prerxsENDLIN E.

Inform Response..........-. Accesses PatientSam ple Printing

'

.
'

. ..

*'
m-.
. .

'

-.. .

>. : ..-.

'

m'

'

<'

. ..

.
.

'

.'

'

'
!

:'

e !t
li
.(.'';11
y

'

.' '*

.
-'
Z1
.-

'' *'
.

'/ .v .
j'SA,
1' :+

+
.

;
P
!J
.

'
(..

t'
-

y,
;:

i
:
.
'

k
lt

L
)r
;.

Selct .................. . .

''1''+ press ENDLIN E to search by Sequence num ber '

''2/'+ pressEND LlN E to search by ID # .
''3'/+ press END LIN E to searcilby Name
',6''+ prerxs ENDLIN E to search for LastSample
W ith search by lD # orName,the Date and Time m ustbe entered using setections''4*'and :,15/'.
.

Enter. . . . . . . . . . . . . . . . . . .

S
efecl

..

'

. .

.. . . - . .. . . .. .. . . . . . .

The appropriate inform ation forsearch param eters.

''7''+ press ENDLIN E.

Inform Response............

Printpatient reportson aIIsam plesnotpreviously printed.

Select ............ -

',8,'+ pressEN D LIN E.

.. . . . . .

Inform Response............

'

'

Store the search parameters, begin the search and printthe appropriale

patientrepor4tsl.

'
.

46

Inform 11IRev. A.9/83

Case 3:06-cv-00056-PMP-VPC Document

644-15 Filed 05/28/08 Page 49 of 76
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Ccar-Iazrag 178- 1

Catlu
'

mmo 1/l
cirn(al/1

146%
4

t c)
tc3

15r;
4 5

INTERRRETMT JON :
Uncompenaated cesp icator'y ac iclemia .
These values are also compatible with putients hav knq

COF'D
and wbo ase in fact ccmpenaa ted to Gomo
i
exten t . U%e Gpecia l came jn
n ter'pnetat cn of raaults .
qlveclar Mypcventilaticn and Hevere hypoxia due tc bypoventialtion

plus V/Q tmbalance and/or shuntinq .

Normal carboytyhemoqlobin .
'
Tbia
interpretation s baaed on tMe above data and is intended to aid marfing -di
a
agnoHur bowevers it should rlDt De used es kMe sole criteron
CLINICGL JUDGENENT IS NMNDRTORY .
.
.

F'HYS ICIAN:
F'O2 30 -b

TECH :
F'CO2 &5-':
?

F'H 7 . 263

F l02 2 1

DGTE 0E1/07/8l:

T IME 16: 15

Figure 13.Palient Long Foem Report

47

lnform $tlRev.,$.9/83

05/28/08
Page 50 of 76
4.4.6Case
Proce3:06-cv-00056-PMP-VPC
dureto ArchiveSJr( Data Document 644-15 Filed i
$

Thisfunctionallowstheoperaftyreto transfersome

t
*'
---,,

oralIofthe individuatpati
entsamptesof'
the Daily
Data Disk onto the A rchive PatientSample Daa
Oisk.Quality controldata on the Daily Data Disk
may be transferred onto the A rchiveQuality Con.
trolData D isk. The capacity ofthe Daily Data disk
w illincrease by the numberofsamplestransferred
The transferofdata is ssquential, beginningwith
tl
ne otdest sample. Three types ofdisks may be
created using this function: Daily Data Disks,
Archive Patient Sam ple Data Disks, and Archive
QC Data Disks.
Procedure:
Press . . . . . .

.. . .. . . . . . . . . . .

Inform Response.-.-..-.. . . -

'

FIEPO RT/ENTFFI/ED IT
Accessesthe REPO RT/FNTER/EDIT program m odule

Selecl

lnform R esponse. . . - . . . . . . . .

''4ff+ press EN D L1N E

''

Accesse.
sthe Sample Data Archive Function

48

lnform I1lRw . A.9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 51 of 76

1. Create Daily Data Disk
w., ,. ,
'rNw f
Select . . . . . . . . . . . . . . . /I
... -.
1 ,+ press EN D L.IN E.
.

o4
;
.'
1u
> r.

'

1. u7a .

'f

t '. Jc*' yq t #y':.y 7. :.. .

.. .

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w.r..e s.

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.

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r :..
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j6:k.jjy,
.;gnjj
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s
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.
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losert. . . . . .

. . . . . . . . . . . . . .

Select ........ . . . . . . . .

.. . .

A blank disk into Orive0, and the System Program D isk into Dr'ive 1.
Note:Any disk in Dclve0 w itlbeerased.
''1''+ press EN D L.IN E.

Inform R esponse..-.. . . . . . . .

A new DaiIy Data D isk iscreated

Select ...

''2''+ press EN D LINE to return to the M ain Menu.

. . . . . . . . . . . . . . . . ,

2. CrealeA rchive PatientSam ple Data Disk

Select ... . . . . . . . . . . . . . . . .
''1''+ press END tlNF
-

lnsert...... .

.. . . . . . ,. . . . . .

A blank disk into Drive 0, and theSystem Program Disk into Drive-1.
Note:Any disk in Drive 0 w illbe erased.

Select . . . . . . . . . . . . . . . . . . . .

''1''+ press EN DLlN E.

lnform Response..... . . . . . . .

A new Archive PatienlSample Data Disk iscreated.

Select . . . . .

''2',+ press END LINE to return to the Main Menu

. . .. . . . . . . . . ..

49

lntorm 1IIRev.A ,9/83

Case
3:06-cv-00056-PMP-VPC
644-15 Filed 05/28/08
Page 52 of 76
1! AataDisDocument
k
i
3. cr
eate Ar
cbive Ouality con'
'
.
select
' '
r
. .. ..
. . . . . .. . .
''3''+ pressEND LlN E
'-..
- x
''

wko
k
itF

'

'

jC.Y
!G -. .,. .
y%:: (.
nxz
. .. .. . .%.=.
l'
i)
el
'
lll
v
t.
z.
.

'

:
a A '%
.

'

'' '

Insert.......... . . . . . . . . . . .
..q

'

qkzzn
g.wQuk;z
a:

.
.

:.

.....

r'F
:

:7.yjk
y . z' 0o. ' .;
.

. .'

IC
.

A blank disk into Drive 0z and the System Program Disk into Drive 1.
Note:Any disk in Drive()wi$lbe erased.

Sefect ............... . . . . .

''1''+ press END l-IN E.

Inform Response.....-......

A new Archive Ouality ControlData Disk iscreated.

Select ................. . . .

''2.'+ prers END LlNE to return to the M ain Menu

4. ArchivePatientSam ple Data

Select ................ . . . .

''4''+ pressEND LlNE.

'

lnsert.... . . . . . . . .

.. . .. . . . .

The currentDaily Data Disk into Drive 0, and the currentArchive.

PatientData Disk into Drive 1.

Select ... . . . . . . . . . . . .

. .. ..

''1''+ prerxsEND LINE

Enler........... . . . . . . . . . .

The numberofsam plesto remain on the Daily Data Disk.

Inform R esponse... . .

Tht)numberofrecordsavailable and rem aining on both tbe Daily Da'

ta
Disk and the Archive Patient Data Disk w issbe displayed.

Select ...

.. . . . . .

. .. . . . , .. . . . . . . . .

''2''+ pressEND LlNE

Inform Response.... . . x . a . . .
.

The patientD mple dataw illbe transferred to the Archive PatientData .:

heremaining data wiIlbe renumbered
D isk andt
'' ''j

Select ... . . . . . . . . . . . . .

''3''d.press END L lN E to return to the M ain Menu.

.. . .

..

50

lnform I11Rev. A.9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 53 of 76

.
'
xm

(5. A rchive O uality ControIDhn

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c.
x
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&

The DaiIy Data D isk in1o DrI

ve 0 and the Archive Quality ControIData
D 1Sk 1nto D rIve 1

Select ... ................

''1''+ pressFN D LIN E.

Enter... .............,..

Thi?num berofQC samplesto remain on tkle Da1Iy Data O isk.

lnform Response............

The num berofrecordsavailable and remalning on b0t1

3tl
ne DaiIy Data
D isk and theA rchive Qua11ty ControIData O isk w 1I!be dispIayed.

Select ....................

,'2''+ press END l

N E.
- I

Inform Response............

The QC sam pleswillbe transferred to theArchive QualIth/ControlData

D isk and the rem a1n1ng dataw illbe renumbered

'

Select ....................

''3''+ press EN D l
- 1
N E to return to the m ain m enu.

Note: Remember to return the System Program

D isk 1nto Drive 1 afterarch1ving.

'

51

Ipform l11Rev. A,9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 54 of 76

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 55 of 76

ZN

45

'

PATIENT LISTING-K3,')

'y

The PA TIENT LISTING proglam m odule allow s

the operator lo generate Iistingreporls, through a

variety ofoperatorspecifications SOU RCE operl-

ates kvith
lin this projram modufe, erlabjing thie
opeqatorto search ttae data base wkhile cialsbration
data is co1Iected from interfaced analyzers. Tlle
data base may be searched by'
PatientName
PatientlD Num ber

DateofAnalysis(timespar
n)
A rea ofthe Hospital

Referto the chartbelow fordataentry field limits.

Orlly the specified number ofcharacters wiIIbe
accepted.Ifadditionalcharactersareentered, the

entry w illnotbe akcepted and the cursorw ilIre.

m ain atthe fieId.

4.5.1 Field Lim its

Field
Lim i'
ts
Type
PatienlSam ple Dem ographic Entry Field
Device
M erge
lD #
N am e
Age
Temp

(,

)
1
11
16
6
5

F:l02

num eric
numeric
atpt
-tanumeric
atphanum eric
alphanum eric
numflric

numeric

Patient Listing Search Parameter Entry Field

lD #
11
numeric
Name
16
alphanumeric
Area
10
alphanumeric
Start
t5
numeric
End
6
num eric

4.5.2 Entry R ules

To m ovedown the screen to the appropri
ate data
entry field,use END LIN E. Type in the data, and

pressENDLIN E to acceptthe data anJ advance to

the nextdataentry field To m ove up the screen
to a data entry field,press SH lFT + EN DL lN E
Referto Section 3 1 fordataentry ruIes
The upper Ieft-hand portion of the screen is the
Patient Sam ple Demographic Entry field associ

.-

'

- '-

ated withtheSOURCE jrogram.The cursorwill

initially be Iocated in thls field.

The lower left-harld portion of1he screen is the

Patient Listing Search Param eter Entry field
where 1he search paramelers m ay be entered
Search pararnelers may not be entered into the
PatientSampleentrv field.
.

f
V

..-

.-

52

Inform IllRev. A.9/83

Case 3:06-cv-00056-PMP-VPC
Document 644-15 Filed 05/28/08
Page 56 of 76
i
2!
1
'
'
.

Prerss the disabled PATIENT LrbF1NG special

function key to sw itch the M ain M enu special

?
''

tunction keys to the com mand keys applicable

to the PAT IENT LISTING accessed program
functions. Pr
essPHINT LIST1NG oncealIthe
search requests have been entered. Press ABORT
LISTING to tefm inate theprinting of a repoct.

V
'

STA BTING DISPLAY

Procedure
Prass .....................

Advanceto

. . . .. . .- .. . .- .. .

PATIENT LISTING

'

''- ''

%.

''ID #?'in thePatientListing field using ENDLINE .

Enter..................... ''ID #''+ END LINE.

Exarnple:,'98760''+ END LINE fora search accordingto thispatient ID num ber.
To generate a reportforaIllD numbers skip overthis entry.
Enter............... . . . . . . ''Name''in the Patient Listing field +-'
EN D LINE.
Exarnple:''JaneAnderson''+ END LINE fora search according to thispatientnam e.

. .-

To generate a repoft for al1patien''

tnam es, skip overthisentry.

Enter....-.......... . . . . . .
''Area''+ ENDLIN E.
Exam ple:''ICU''+ ENDLIN E fora search accordingto tlnisarea ofthe hospital.
To generate a reportforany area, skip overthisentrv
.

Enter..................... ''Staf4''+ END LINE.

Example:''123,'+ END LIN E forthe starting sequence num ber.
'

'

''122382,'+ ENDLIN E forthe starting date.

Any num berIessthan six digitsw illbe considered asequence number.
Thesearch w illbegin w ith thissequence numberordate, and wiIIinclude
alIdata in the data base.

'

53

'

Inform IllRev. A 9/83

!
:

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 57 of 76

xr

EEnter............ .......
''END ''+ FN D LIN E
l
/NExampe.''14t$''+ EN D L-l'. .-1forthleendingseqtlencenumber.
''012383''+ EN D L-IN E forthe ending date.

..

A ny num ber lessthan six digitswillbe considered a sequence nl

amber.
The searcl)w iIIend w ith thissequence numberordate, antqw i11irlclude

'

a1ldata in the data basetqntered previotlsly.

Press ..................... PA1-IENT LIST lNG (dlsabled)

.
.
.

,
'

,.

z'
.

'
.

:
'

j
.

:
'

YW

.1
f.
.

Press .....................

PR 1NT LIST ING

lnform Response............

The sam ple reportkvillbe printed on the system printer, after Inform
searchesthe data base according to the specified parameters.

Exam plez''ID #'' = 98760

'
'Nam7''=JaneAnderson
,,

,c
jr(,a,' = jco
''Start'' = 123
,.rn(j,, = g45
The report printed w illirlclude alIofthe data onJane A nderson, lD # 98760 durlng her
stay in the 1ntensive Care Unit,beginning with sequence num ber123 endingw ith sequence
number 146.

1fthe operatordoesnotwantthe requtlsted search

and report,press ABO RT LlST ING .Te report

) beingprinted willbeterminated,and theprevious

se'
tof specialfunction key screen Iabei
s w illbe
displayed.Iftheoperatordoesnotneed to request

a search report,pressBAC K to return t()the Main

M enu specia!function key screen Iabels
.

Note:lfsam ple analysisisrequired during a listing

generation, abort the Iisting antl note the Iast
listing entry.Perform sam ple analysis, identification arld storage.Aftercom pletion reinitiate the
Iisting,starting w ith the Iast listing entry noted
previously.

. .

.-

54

Inform 11lnev. A,9/8:3

G O Case
RM I
NO
k
R O Y644-15
I G N Filed
Y ;!
.Y n Page
U IG
3:06-cv-00056-PMP-VPC
Document
05/28/08
58YofI76N G
(
'
.

searcbed R'
/J
1d# :
Namez

COMMUNITY HOSPITAL
CLINICML CHEMISTRY
48Z Centval Street
Medfeld y Maaa 02:752

mrear

Irrcafn 073 183 TG t

:lBfJ:
593

Sek

pate Iize

ldI

k.e

pq P:22

JASI: S;11H
F3EI HIXSBN
5:Lt /EAI;LL
4211:1 JCNES
JASZ: 5dl1P

7.22,
7.:14
7.159
7.480
7.1:1

b 08/:5/:5 19:97 25161

FREIHANSI:

7.151 19.1 171.5 l.@ 92.2 J7. ---. -

I
2
9
11
11
12

IIRY JDRNSON
5IE?Ej S:118
pNE5 JZNES
lLtlK ICEEI

7.429
7.118
7.357
7.538
?.$l
7.53%

VOMIE :48R2j

19.5
l'.
#i.1
51.:
4.:
57.6

98.5
b.
:/.5
'.*
175.5
191.5
44.1
29.9
29.5
11:.:
J.F

21.7
17.1
21.8
26.2
i.2
25.8
74.9
25.7
J.2
21.1
J9.'

F1.
75.4
i%.J
?.1
98.8
97.7
85.9
59.1
59.8
92.1
S!.F

---.---.---.---.J7.1

T@k

1 :8/92/85 14:IB 1211$

2 91/92/25 14:52 2:151
: 48/92/23 11:54 54:7.
4 Q:/Q2/l5 1415: 45172
5 92/15/95 19:15 12515
02/5/I5 1:9 :7880
Q8/:5/'5 11115 1926:
42/1J/2J 14140 56172
4!/5/I1 1'
:43 21376
Q2/3/91 14,55 12545
:2J(3/2! 19152 292:91

15.2
17.$
J'.b
5l.Q
1!aI

?g2 H25 Q25at Te.p

17.1
57.9
57.9
57.9
57.9
17.9

BiCI Kets q8b

---.- ---.- ---. 12. 1 :.l

.4
---.- ---.- ---. 11.5 2.l .2
---.- ---.- ---.---.---x---.---.---. ---.-

#a

.0 ---.- --.-1.1 ---.-. - - .- :. lJ9.p :.5

.1 ---.- --. -- -- -

- -- .-

-- . - -

-- - .-

-- .- -

---.---.---.---.-

---.---.---.---.-

--. ---.- --. - --.- -

- -- -

- - -. -

---.- ---. -

- -- .-

-- - .---.-

--.--- . - -

- - - .-

-- - .-

.
-e - . -

.*
---.---.---.-

---.---.---.---.-

- -- -

Fze: 1
## End of Report :#
Figure 14.Pati
en'
tData Listing

'

'

)
55

Inform lllRev.A 9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 59 of 76

4.6 Q C A NA LY SIS.K4
'

I'he QC ANALYSIS pf(lgram ' V ule allowsthe

' st

operatorto set up quality contrtllfites.enterQC

sam pledata m anualIy editQ C sam ples printQ C
b Statistics reporls,display and print OC Levey.
Jenningsplots,and transferO C data fili?sfrom the
Daily Data disk,to the QC Archive D igk.These
functions are nOrI-SOURCE functions.Addition.
ally, the operator may search 1or specific QC
sam ples, w hile m onitoring alI instruraentation
through 1be SO U R CE proqram

4.6.1 Field Lim its

Field
Lim its
Control
11
File
1
Date Started
6
Lim itType
3

Type
alphanum eric
num eric
numeric
alpharlurneric

t.
x
ot#

alphanumeric

IrlstType
lnstrum ent
SD Lim it
Level
M ean
1 SD
pl-l
PCO2
PO2
Inst Tem p

; j BarPress
'

.'

Room Temp
Technician
Sequence #
Date
T im e

kl

11
11
5
1
5
5
5
5
f)
5

alphanum eric
alphanum eric
num eric
num efic
num efic
num eric
num eric
num eric
num eric
num eric

(5

numeric

5
5
4
6
4

num eric
alphanumeric
num eric
numeric
num eric

56

Inform IlIRev.A,9/83

Document 644-15 Filed t05/28/08 Page 60 of 76

4.6.2Case
Entrv3:06-cv-00056-PMP-VPC
Rules
t
.

selectthe item num bercorresy

i--zinf;tothefunction orentry field to be used and press END LlN E..
Foreaach data entry field,type in the requested
inform ation and press END LlNE.EnlerBACK and
press FND L IN E to return to the previous prom pt.
ForQ C Retrieve SO URCE display,to move the
cursordown the screen to a data entrv field prqss
ENDLINE.To rnove the cursor up the screen,
pressSH IFT + ENDLINE.
STARTING DISPLAY
-

t
x

'

- -

fztq.jdttysrj:yjy:g:t .

. .

L'

.'.

k.

'.

4.6.3 ProcedureforOuality ControlLotAdd/change

Thsfunction allowsthe operatorto selecta controland instrum entfile to add orchange information.Through this funclion, 1he operator can
creaate a new controlfile.By setting up severalfiles
forone instrument,m ore than one type ofQC
m aterialrnay beanalyzed and tracked.

.
.'
'

,l
'

Press ..................... O.C A NA LYSIS

Select :...................

''1''+ press EN DLIN E

-'

''

Inform Response............ A ccessesQuality ControlLotAdd/change

k.

.. 7

. -

. .

.. .

57

lclform ll!Hev.A,9/83

3:06-cv-00056-PMP-VPC
Filed
Page 61 of 76
SeIectCase
. .. .. . . . . . .. . .. . . . .
The 1tem Document
num beroft644-15
he f1Ie to be
add 05/28/08
cl.
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--

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... .

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..

Select .......... ..... . . . .

''1''+ press RND L)N Ei.

D isplay

''ControlName orTonom etry?''

. . . . . . . . . . . . . . . . . . .

Einter. . . . . . . . . . . . . . . . . . . .
The name ofthe conlrolbe1rlj
)used ortopornetry.
Exam pIe:''Conf1rm ''+ press EEN D LlN E. Thecontro1forFiIe 1 1sConf1rl
7l.
Exam ple:''Tonom etry''+ prilss END L.IN E.The controlfor F1Ie 1 is tonom etry .

The Inform system w illprompt forthe ''Target Barometric Pressure''

.

Solecl . . .

. . . . . . . . . . . . . . . .

D ispIay . . . . . . . . . . . . . . . . . . .

,'2''+ press END LIN E.

-

''lnstrum ent?
.''

t Enter. . . . . . . . . . . . . . . . . . . . .

''Instrufnent''+ pressEN DLIN E.

Exam ple:''Corning 178''+ pressEN D LIN E.

Select ....... . . . . . . . . . . . . .

''3''+.press END LINE

D isplay ...... . . . . . . .

''InstrumentType'
.BG4Blood Gas)orCO(Co-Ox1metef)or
E(EIectroIyte)?
.''

. .. . . .

Enter. . . . . . . . . . . . . . . . . . . . .

''BG''+ pressEN D LlNE ifthe analyzer isa BIood GasAnatyzer

''CO''+ press EN D LIN E iftheanalyzerI
s.
aCO-O x1meter
''E''+ press EN D !IN E iftheanalyzer isan Electrolyte analyzer.
.

Select ........ . . . . . . . . . . . .

''4''+ pressEN D L)N E,

D isplay

''LimitType.
'A BslAbsolute Lim its)orS'
I-Dtstandard Deviatio'n Lim its)?''

. . . .. . . . . . . . . ,. . . . .

Enter. . . . . . . . . .

.. . . . . . . .. .

Select ........ . . . . .

. .. . . . .

''ABS''+ press END L1NE forAbsolute Lim its.

''STD''+ pressEN D L.lN E forStandard Deviation Lim its. The Inform
system w illpromptforthe Standard Deviation Lim it.

''5''+ pressEND LIN E.

58

Inform llIRev.A,9/83

Case
644-15
Filed
Page 62 of 76
lnfor
m Res3:06-cv-00056-PMP-VPC
ponse...-..-...1:f AcceueDocument
sQuality Cont
rolLevel
Set105/28/08
1
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Select ........... . . . . . . . .
D isplay

..

. . , ..

.. .. . .. . . . . . . .. . . .

''1''+ pressEND LIN E.

''Which Ievelwould you Iiketoworkwith (1-3)?

.''

Enter....... . . . . . . . . . . . . . .

The desired levelnumber.

Select ...... . . . . . . . .

''2''+ prerssEND LIN E.

D ispIay . .

. .. . . .

.. .. .. . .. .. .. . . . .

''LotN um ber?''

Enter............. . . . . . . . .
The lotnum berfor1he levelofconlrolbeing used.
Exarnple:''78934145''+ press END LINE forthe lotnumber.
1

Select

...... . . . . . -

D isplay .

.. . . .. . . . . .. .. . . . .

.. . . . .

''3''+ press EN D LINEI

''DateStarled (MMDDYY)?''

Enter.. . . - . . . . . . . . . . . . . . . .

The date that use ofthis levelofcontrolwasstarted.

Select ...... . . . . . . . . . . . . . .

,'4,'+ preasFN D LIN E

Display . . . . . . . . . . . . . . . . . . .

''W halisthe(parameter)Mean?''..-...-

Fnter....... . . . . . . . . . . . . -

m etersdisplayed
The mean forthedisplayed parameter. Thepara'
depend upon the instrumenttype entered.

'

. .-

Example:''7.383,'+ pressENDLIN E forthe pi-lmean.

'

Selecl .. . . . . . . . . . . . . . . . . . .

*,6''+ press END LlN E

Display ..... . . . . .

''Whatisthe (parameter)AbsLimit?

.. . .. . . . .

or

''W hatisthe (parameter)SD?''Enter1SD foran initialvalueto be

used.
Enter... . . . . . . . . . . . .

. .. . . .

T'
lle Absolute Lim itortheStandard Deviation forthe param eter
.

59

tnform 11IRw . A,9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 63 of 76

Select ...................
''6''+ press EN D LlN E.

(x
...
. m
Dfsplay ............. ..... ''
W batisthe (param eter)M ean?''
1 Fnter

. . . . . . . . .

. . . . . . . . . . .

Select .............. .....

Display ...................

...V,
.
. ..

The m ean for the clisplaged param eter

?'7''+ press EN D LIN E.

''W hatisthe (param eter)AbsLim it?''

or

''W batisthe (parameter)SD?''

Enter..................... The Absolute 1im itsorthe Standard Deviation forthe param eter.
Select ....................

''8'''
1-press FND LINE.

Oispta'
/ ................... ''
W hatisthe (parameter)Mean?''
F.
'nter............,
..........

The m ean forthedisplayed param eter.

Select ....................

''9''+ pressEND l- lNE .

D isplay ................... ''W hatisthe (parameter)AbsLimit?''

or

''W hatisthe (parameter)SD?''

Enter............. .......

The Absolute lirnitsorthe Standard Deviat1on for'the param eter

Select .............. .,...

''10''+ pressEND !INE.

lnform Response............

Storesthe entered data, and returnsto the Quality Contro!LotAdd/

Change menu.
Note:The data mustactively be stored using theStore function. lf
you exitthe menu before storing thedata 1he data w illbe Iost.

Select ......,............

''11''+ press EN D LIN E to return to 1he m ain m enu.

. ..

60

Inform I11Rev.A.9/83

Document 644-15
4.6.4Case
Proce3:06-cv-00056-PMP-VPC
dureforualitvc$uI.,1I
-o.
tDe
letion
-. -.

Thisfunction allows the operate to delete any or

alIquality controlIotfiles.

Filed 05/28/08 Page 64 of 76

t.if

.--''

Press ... ........ .......

QC ANA LYSIS

Select ...................

'.2''+ pressEND L1NE.

Inform Response......--...-

Accessesthe Ouality ControlLotDeletion function.

Select .................... The item num berofthefile thatis to be deleted.

Example:''1''+ pressENDLIN E tc)delete File 1
.

Display ...................

''Areyousureyouwish todeletethisfile (YES/NO/ALL)?''

Enter.....................

I'YES''+ press END LINE to delete theselected file

''N0''+ pressENDLIN E to presel'
vethe file,and return to the
fiIe selection meng.
''A LL''+ press END LlNE to delete A tL.files.
..

)
'

Select ....................

',7''+ prerssENDLINE.

Inform Response............

Clears the previously selected fil'ir

hfijffrotion, :nd allowsanother

''-

seleclion from the m enu.

61

Inform 11lRev.A,9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 65 of 76

4.6.5 Procedure forOC Enter t
).-g

'

The QC Einter/EclItfunction a1 ws
' th6
:'operatorto

'..
wy

. .

'
'

rnanuafIy enterQ C sam ple data vla the keyboard.

Previously entered QC sam ple data may be edited
follow ing a search sequence accorclinf?to the
Sequence numberorDate and Tlm e ofthe analysls

1. To ErlterQC Sample Data Mangal1$

/.
Press . . . . . . . . . . . . . . . . . . . . Q C A N A LYSlS
SeIect ...... . . . . . .

''3''+ pressEN D LIN E(.

. . . . . .

Inform R esponse....-.......
.

...

. .

..

, ..

jk
.
)
)(
Lq ct
rj
J
te'
#% . '
eq
.t
Ag

''

'

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4:.4'
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- ''.
.

y. .
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. >.
.

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.
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Q . yg..
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. ' ..
v..... ,,z.x%.
:
./.'.,.e. .... . I..:.. p '.. . gj y
. k
.
@.
.

,:

..

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J Sesect

t.

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ej
kj;. .
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.o

AccessesQual1ty ControlEnter/Editfunction

r. ''

. . . . . . . . . .

. . . . . . . . . . . . . . . . . . . .

'

''1''+ press EN D L.IN E.

''5''+ press END LlN E to begin the functioo
-

'

. - z'

62

Inform 11lRev. A,9/83

'

Document
644-15 Filedj
05/28/08 Page 66 of 76
!
t1 '1,,+ pres
SelectCase 3:06-cv-00056-PMP-VPC
t
l
s EN DLIN E.
. (.
. . . . . .. . . .. . .. .. . . .

$N

'

x ..z

D isplav ................. . .

''File#(1-12)?''

Enter................... . . The file num berofthe instrumentwhose QC data isto be entered.

Example:''1''+ press ENDLIN E to accessFiie 1.
D isplav .........-....... . .

The instrum ent .instrum enttype, and controlname for the fiie
selected are displayed nextto tine file num ber.

Select .................,..

,,2',+ pressEND LIN E.

Display ...................

''Level#(1-3)?''

Fnter................. .. . .

The Ievel# ofthe O ualiTy Conlrolmaterialto be entered.

Exam ple:''1''+ press ENDLIN E forLevel1.

Selecl ....................

',3''+ prerxsEND LIN E.

Display

''Barom etric Pressure?''

....

'

Enter. . . . . . . . .. . . . . . . . . . . . .

The currentbarom etric pressure.

Exam ple:'2764.*+ pressEN D t-IN E forthe barometric pressure.

Select ....................

''4''+ press END LINE .

D isplay ..........

''W hatwasthe InsArumentTem perature?''

.. . . . . . ..

'

Enler.................... .
The tem perature ofthe instrument in degreesC .
Exam ple:''37.1''+ press END LIN E forthe temperature in degreesC.

Select ....................

''5''+ press END LIN E-

Displav ............!..... -

''W hatwasthe Technician's Initials?''

. .

Enter.................-.. -

The initialsofthe technician.

Exam ple:''CDA''+ prerxsENDLINE.

Select .......-........... .

''6''+ pressEND LIN E.

D isplay ..... . .

(param eter)?

.. . .. . . . - . . .

Enter..-......... . . . . . . . .

Thedatacorrespondingtotheparamelerdislayed.

--

'

Theparam eterdisplayed dependsupon the instrumenttype ofthe file.

Exanlple:''7.09''+ prerxsENDLINE forpl
-lexpected value.
selecl .....................

''7'f+ press END LlNE .

Displav ..... . . . . . . . . . . . . . .

(parameter)?

Enter.................... .

The datacorresponding to 1he parameterdisplayed.

63

Inform I11Flev. A,9/83

'

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 67 of 76

select ..... ............
,'8''+ pressENl
)
3LIN E..
-

D IspIay

/-y
' (parameter)?

. . .

J E
'nter

. . . . .

Select ....

>
'

. . . . . . . . . . . . .

. .

. . . .

. .

. .

..............

(Jisplay ..... .............

finter.............. .. .

T81iidata correspondtng to tkle pararnelefdisplayed.

''9 '+ press EN D LlN E

''Slalus'A.Accept,iq.Reject D-Dlscard?''
''A''to acceptthe m anuaIly er)tered QC data.

''I
R''to rejectthe manuallyeoteredQC dataand remob'e It
from calculations.

''D''to discard the manualIy entered QC (lata from the file

antlcalculations.
Select ....................

''1(
)''+ pressE ND L-lN E.

Inform Besponse...4......... Thi

i ?m anually entered data isStored,and the QC Enter/Editmenu
sclisplayed.

Seiect ....................

''11''+ pressF ND LIN E.

lnform Response............

The QC Enter/EditMenu isdlsplayed.

SeIect ....................

''12''+ press.E ND LIN E.

lnform Response............

The M ain M enu specialfunclion keysare displayed.

) 2. To EditaQC SampleSearched bySequenceNumber:

'

press .....................

Qc A NALvsls

Select ....................

''3''+ pressEN DLIN E.

Inform Response............

AccessesQuality ControlEnter/Editfunction.
i

64

Ioform tIlRev.A.9/83

'
3:06-cv-00056-PMP-VPC
644-15 Filed f
05/28/08 Page 68 of 76
(. .2--+ prDocument
.
SelectCase
.- ..
. . . . . . . .. . . . . . f
ess END LIN E.
i
.
i1
D isplay . . . . . . . . . . . . . . . . . . .
''W hich Sequence# would you like to see?''
'

Enter............. . . . . . . . .

The sequence num berotthe O C sample to be searched forand

edited.Thesequence num bers printed on aI1QC reports

Sepect .................. . .

',5'.+ press END L1N E to begin the function

lnform Response........... .

AccessesQuality ControlEditfunction.

Select ............. . . . . . . .

Tl3e item num bercorresponding to the data entry field to be

changed + press END LIN E.
Example:''6'*+ pressENDLIN F to change pH .

Enter... . . . . . . . . . . . . . . . . . .
The new QC sample dala+ pressEN D LINE.
Exam ple:'e7.38''+ pressEND L IN E to change the pl
-lofthe sam ple.

Select ........ . . . . . . . . . .

'

''10''+ prev ENDLINE o storetheedited dataand returnto the

. .

' '

Quality ControlEnter/Editmenu

3. To Edita QC Sample Searched by Dateand Time:

Press ......... . . . . . . . . . . . . O.C ANALYSIS
Select ........ . . . . . . . . . .

''3''+ pressEND LINF.

. .

lnform 'Response'...... . . . . . .

:.

.
'

'

. .

'

A ccerxsesQC Enter/Editfunction.

x
.

-- '- ''-

..3
.

'

'

.
.
7

'

' '...'

.
'

'

'

65

loform I1Ipev. A,9/83

'.

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 69 of 76

Select . . .. ...
. .

Display .

.. . ..

' FJnter... .. .

*'

''Vt/hatkvastht?date()fthe QC run you kvIsl)to see?''

. . . . .

. .

r'7 /'3''+pressENDL1NE
E

-I-hedate thatrt(?QC sam pIe to besearched v:&sanalyzed

+ r)ress (nN D L1N E.

. . .

Exampte.''010983/'+ pressEN D L1N E.

Select

. . . . .

. .

. .

Displav . .. ......
Enter....

''4''+ pressRN D L.II

'IE

''W hatwasthe tifne ofthe QC ruf)vou w ish to see?''

. . . . . . .

The tlme thatthe QC sample to be searched wasanalyzed 4 press

LI
%tD tlN F
Exam pIe.''0756''+ pressEN D LlN E
.. . . . .

>

#p*
w
<: ... ..
.

'

.'''

.../s. >t ;..

z

...

'

X.
J
>
nm.
f
kA
.

.' '.
= t'
X;C
.

'
'

: . 5 7 1'
rGw#1% b;
,e.
m

'

.
t
'
K'e:

..

+.

'

'

'

Selecl ...

.. . . . .. .. . .. . . . . .

Inform Response............

''5''+ pressEN D LIN EEto begin the function.

ActressesQuality ControlEditfunction

Select ... . . . . . . . . . . . . . . . . .

The item numbercorresponding to tl

ne dataentry field to be changed
+ press EN D L$N Ei.
Exam ple:,'6''+ pressEND LlN f to change pH .

Enter.... . . . . . . . . . . . . . . . . .

The new QC sample data + pressEND LIN F

Example2''7.05''+pressENE)LlNE
Select ... . .

. . . . . . . . . . . . .

''10''+ pressEND LINE to store theedited data and returo to the

-

Qual1ty ControlEnter/Editm enu.

66

Infor'
m 11II
qev. A.9/83

Case 3:06-cv-00056-PMP-VPC
Document 644-15 Filed(05/28/08 Page 70 of 76
t
.

4.6.6 QCRETRIEVETABLE t

kt

This program alIowsthe operatorto generate a

variety ofQ C reports,according to the tile,Ievel.
tech,sequence numberordate specified.W hiIe
OC reportsare being generated,calbration data
transm itted from interfaced instrumentsiscollected through SO U RC E.
Entry Rules
.
Advance down the display to a data entry field
using END LIN E.M ove up the display usingSH lFT
+ END LIN E.Press the disabled QC ANALYSIS
specialfunction key to display Com mands.Press
Pf?INT IZ!EPO RT afterentering al;search requests.
PressA BO RT FlEPO RT to term inate the printing

ofa report.(Refec to Section 4.2 for SOURCE

entry rules.)
Note:Ifsam pleanalysis isrequired during a Iisting

!eneration,abort1* Iisting and note the Iast

Ilsting entry.Perform sample analysis identification and storage.Af-ter com pfetionsreinitiate the

listiqg,startingwiththe lastlistingentry noted

prevlously.

STA RT ING D ISPLA Y

..

Prss .....................

Q C A NA LYS IS

Select ....................

.'4''+ pressEND LlN F.

'-

'
.-- -

y'

67

lnform lI1Rev. A.9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 71 of 76

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A dvance to .... .

''r'IIe #''usIng EN D LlN E

. . . . . . . .

Enter. . . . . . . . . . . . . . . . . . . . .
Tbi
?desired FIIe N um berforthe report+ press EN D LlN E.
Exam p!e.''h''4-press EN D L!N E)
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.

L-nter. . . . . . . . . . . . . . . . . . . .
''Li?vel#''+ pressEND LlN E.
Fxam ple:''2,'+ press END L.IN E to generate a reporton Level2 To reporton allI
- evel

num bers,leave blank.

j Erlter....... ........... . ''Tech''+pressE'NDL1NE.

Exam ple'
.''C DA ''+ pressEN D LlN E to generate a reporton this technician'sCIC sam ples.
-

Enter. . . . . . . . . . . . . . . . . . . .
''Start''+ pressEN D LlN E.
Exam ple'
.''12''+ pressENDLINE forthe startingSequence Num berofthe QC data base lo be
searched.Any nurnberlessthan 6 digitsw iIIbe 1nterpreled asa Sequence num ber.
.

'/020583''+ press END LlN E for!hestarting Date ofthe OC data base to besearched

Enter.. .

''E'nd''+ pressEN D LIN E.

Example.
'''24.'+ press END LINE forthe ending Sequence Num berofthe QC data base to be
. . . . . . . . . .

. . . . . . .

searched .A ny num ber Iess than 6 dpgits w iIlbe interpreted asa Sequence num ber.

''021083''+ press END LIN E forthe ending Dateofthe QC data base lo be searched

Press ...... . . . . . . . . . . , . . . .

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C)C ANALYSIS (disabled)

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PRlNT LISTING

68

Infom 1lII
qev. i$.9/83

3:06-cv-00056-PMP-VPC
Document
Page
76
InforCase
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1bepr05/28/08
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equestsenteredbytheoperator. (xw .z
.

Exam p1e:F ile # = 1

Level# = 2
Tech = blank
Start = 020583
Fnd
= O21083
A reportwillbe generated on File .
//.1,'Level2,foraII'technicians, from February 5. 1983
to February 10, 1983Prints.

'

.. . . . . . . . .. . . . .. . . ..

Press . . . . . . . . . . . . . . . . .

.. .

lnform Response-........ . . .
Press . . . . .

A BO RT LISTING
Thereportbeing printed w illbe term inated and the previoussetof
specialfunction keysw illbe displayed.

'

. .. . .. . . .. .. . . . .

EX #T TO QC M ENU

Inform Response... . . . . . . . . .

Accesses the QC ANALYSIS program m odule.

Press . . . . . .

BAC K

.. . .. . .. . . . .. ..

Inform Response... . . . . . . . . .

7-he Main M enu specialfunction keysw illbe displayed

G O G N A N G

& U n G I + Y

c O M Y n O G

D n Y n

G G G 'O G Y

O O A %S A O Z

Instrument: CORNING 178

F ile @; l
Searubed By:
Tecbz

CONMUN ITY HOSF'ITAL

'
CLINICML CHEMISTRY
452 Central Street
Medfield
Massachusetta 02052

From 1 TO 10

Eeq

Date

Time

1
2

t
)7/29/85
07/29/83

3
@
1CJ

O7?2*/B
O8/O1ZB3
O8ZO1Z8U

C)9:27
10:11
1Oz25
07:C15
OB :14

Name
CONFJRM
CONFIRM
CONFIRM
CONF IRM
CONF IRN

Lev
2
2
2
2
Q

t-tot
C0N
C0N
CON
CON
'
.
CON

11
1
*1
#1
41

- -

pbl

8002

7c6B
7 . 656
7 . 636
7 . 646
7.648

12 . 3
8l.Z

50 .6
53 .B

&3 .3
&4.4
& . &

53 .8
53.8
5t.3.5

F'OQ
-

F'ager 1

%% End of Report *%
Figure 15.OC Retrieve Listing

69

'

Inform IlIRev:A ,9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 73 of 76

4.6.7 Quali'
ty ControlStatistiy, .
.

Thisprogram allowsthe operif

o plintaQualIty

ControlStatisticsreportfora'i3'
C fI1es

-'

Procedure
Press .. . . . . . . . .

. . .

Qt.
-,
'A N A LYSIS

. . .

lnforrn Response............

AccessestheQC ANALYS lS prograrr)module

Select ........... .. . . . . .

''L''+ pressEND L.IN E.

lnform Response............

TheQuality ControlSlatisticsreport isatltom aticalIy printed, and

theQC ANALYSIS menu isddsplayed

Prints
G O R M IN G

O U n G IY Y

G O M Y R O G

G Y n Y A H + Ic G

-:

-y:yaz -y-gz xr :yxaa

CONMUNITY HOSP ITGL
CLINICGL CHEN ISTRY
JOHN S . K.ENDR ICK. ND
Depavtment of Labovatoriea

F ILE # 1 CORNING 178 --- Plocd Bas

L INITS : GPSOLUTE

ContrDl

CONF IRM

)
LfVEL Fzraaeter Expecte Value
1
pd
1
Pf22
1
?22
Lnt I 5e22
2
PB
2
9222
2
?92
Lot # 7812
J
pH

J
J

P:22
PP2

Let 9 5::2

Lieits

7.114
kI- .:2
29
*l- 2
177
kI- l
rate Startel ?/I1/81
7.492 #/- .02
#.i
kI- 2
1Ql.i
#/- 1
Iate Started 07/41/::
7.111 +I- .02

:2.5
52.5

*l- 2
kI- 1

:El# - 12 - 9jIE
iant tezr

---)

5.1. - 11 - rTE
denth Year

---)

:.k. - 12 - :41(
Knnt: Year

7.1:2 7.!52
19.221 18.825
154.914 161.8Q9

.12
.551
::.818

.912
.1
5
5b.1:9

. 11
7
1.791
25. 117

.l7
1.7'1
25.117

7.421 7.424
11.297 41.21J
99.494 99.499

.0l
.2li
l.49

.11
0
- .24:
l. 4'

.1J2
11
.i
1.499

.1:7
.l1
l,4F@

7.:27

.431

1:.:59 l9.5
47.25: 17.254

7.:27

11.221
7.112

late Started 7/l/i:

J8

.5:1

.591

11.221
7. 142

22.:29

22.120

1:.115

15sl1:

Figure 16.OC S'

tatisticsReport

.-V

70

lnfofm IlIFiev A ,9/83

46.8Case
Quali3:06-cv-00056-PMP-VPC
lyControlPlottinl/.t

Document 644-15 Filed 05/28/08 Page 74 of 76

i.

This function allowsthe operwxz'to selectthe

'

File #,Levei #, Time period , Param eters, and

'

Startiog/Ending sequence to be plottel on a

'

Levey-lennings chart. The Levey-lennings charts

may be displayed then printed. StatisticalorA bsoIute Iim itsmay be utilized according Co the spcci.

ficalionsselected in QC LotAdditioo

'

STARTING D ISPLAY

G;
tl
t

J
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>**e

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'

Procedure
Press . . . . . . . . , . .

. .. . . . . . . .

O.C ANA LYSIS

Select . . - . . . . . - . . . . . . . . . . .

',6''+ prerxs EN D L1N E

Inform Response-. . . . .

AccessestheQC Plottinjfunction.

.. . . . .

y
71

lnform 111Rev.A,9/83

Case 3:06-cv-00056-PMP-VPC Document 644-15 Filed 05/28/08 Page 75 of 76

Sesect ............... ...
Any item nt,mbercorrespondlnq to tl e to be plotted

FxampIe:''1''+ pressENU'%<J, .E to se1ectFiIe 1 forpIotting.

'

Inform Response............

w)

.. -

Fijt?1 isselected forplotting, and the QC Plotting LevelSolectlon

M enu isdisplayed.

ijk,jlL)b'Xm;!2j)j!j.,j
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.

''1''+ press END L1N E.

D isplay ..........

''Levef#(1-3)?''

. . . .. . . .

..

Display ................ . . .

;'..

::

.vI,,:)

lhe numberofthe Levelto be plotted

Exarnple.
'''1''+ press END LIN E to plot Level1.
. . . . . . . . . . . . . . . . . . . .

'

Fnter. . . . . . . . . . . . . . . . . . . . .

.. ..

, ..
t
..
,u .. .u. y, .
. ..
;,y,
.s ....r.
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-x
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,7
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pt
r
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<. -. . ..,
6-.
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y ..<y
j
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Select ................. . . .

Select

.uz-xjk
!kt zc $)r

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.

,.

''2''+ press END !

- l
N E.

''oay w eek:M onth ofSum al11'''

,

Enter. . . . . . . . . . . . . . . . . . . . .
The period oftime to be plotted.
Example:''Day''+ pressEND LIN E fora Daily plot to begenerated.

Select .......... . . . . . . . .

Dispkay ................ . . .

'.3''+ pressEND LIN E.

'

''PO2,PCO2,PH orTHB,02 Sat,CO Sat, or Na+,K+ orA LL?''

Enter..................... Theparameterto bep1otted.Yhe'p

-'
ara'm'etersdisplayed dependsupon
the instrum ent tvpe ofthe selected F ile. A l
-L w'i11plota1Iparam eters
forthe FiIe.

Exam ple:''PO2''+ pressEND LIN E to generate a plot forPO2 values

.

Select .......... . . . . . . . . . .

,'4''+ press END LlN E.

Display ....... . . . . . . . . . . . .

''Start Listing Date orSequence #?''

Enter............ . . . . . . . . .

Thestarting Sequence Num beror Date ofthe QC data base lo be

searched.
Example'
.''10''+ press ENDLIN E forthe Starting Sequence num beroftheQC data base to be
searched.Any number Iessthan 6 digitsw illbe interpreted asa Sequence num ber
To startatthe firstsam pIe, justpressEND L1NE.
''010183''+ prerx
s END LIN E forthe Starting Dale of1heO C data baseto be searched
.

j
V

72

Indovm !Rev .
t$.9/83

644-15 Filedt
selectCase 3:06-cv-00056-PMP-VPC
4.' ',5.,+ preDocument
ssENDI
-INE.
f05/28/08 Page 76 of 76
.. .. . . . . . .. . . .. . . . .

kf

-I

.x '

Display ...................

''End Listing Date orSequence#?''

The endingSequence NufnberorDate ofthe QC data base to be

searched.
Example:''K ''+ ENDI-INF.forthe Ending Sequenc,
e numberofti
ne CIC database search.
Any numberless than 6 digitsw illbe ipterpreted asaSequence Num ber.

Enter.................-.

..

Toendwith 1helastVmpleajustpressENDLINF.
''013183',+ press END LIN E forthe Ending Date oftheO C data base search..
.

Select .............. . . . . . .

''6''+ press END LINE.

lnform Response..r..........

The Levey-lenningsplotfortheoptionsselected w illbe displayed

and printed.

Select ................... .

'.7''+ pressENDLINE to return to the Min M enu specia!function

kevs
'

'

COMMUNITY HDSIZ'ITRL

1
7I
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f CiO l'
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F . 18 4

4:

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F , 1e 4
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TD : 13

File *1

bood Ga&

l . ..

.. . ....

1
G

-.

Time Scal&k D&Y OF' WEEl:

Instr. CORNIN O 17B

LDt # 3082

Started: O7/O1/B3

Figure 17.Leveyxlenningschart

4.6.9 Qualily ControlEnd ofM ontll

.

This function allows the operatorto change the

m onth,enabling the m onthly statistics to be
reset to zero.

'

Procedure:
Press ................ . . . . .

OC A NALYSIS

Inform Rasponse............

Accessesthe QC ANALYSIS program m odule.

73

lnform I11Rev.A.9/83

Case 3:06-cv-00056-PMP-VPC Document 644-16 Filed 05/28/08 Page 1 of 44

f;o?%t',,Iv 1t:B ElRtl l 1'l tl,-4 1

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Inform l11Rev. A,9/83

Case 3:06-cv-00056-PMP-VPC Document 644-16 Filed 05/28/08 Page 2 of 44

1. CreateDaily Data Disk 1

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2. Create Archive Patient Sam ple Data Disk

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75

Inform IlIRev.A.9/83

Case 3:06-cv-00056-PMP-VPC Document 644-16 Filed 05/28/08 Page 3 of 44

3. Create A rchive Ouality Con- ekD ata D isk
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A blank disk 1nto D rive0, and the Sy'stem Program D isk 1f

3lo Dr1
ve 1.
Note:Any disk in Drive 0 w i$lbe erased.

Select .... ...............

''1''+ pressEN D L-lN E.

lnform Response............

A new ArclliveQ uaIIty ControlData Disk in created.

Selecl ....................

''2''+ pressE'N D LIN E to re1urn to the Main Menu.

4. A rchive PatientSam ple D ata

Select .... .......... ....

''4'/+ pressEND LINE.

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lnsert.....................
.

Select ....................

''1?'+ pressE!N D LINE

Enter.....................

The num berofsamplesto remain on the Daily Data Disk.

Inform Response............

The numberofrecordsavaiIabIeand rem aining on b0th the Daily Data

Disk and the ArchivePatientData Disk wiIIbe displayed.

Select ....................

) Inform Response

-J

The ctlrrenlDaily Data Dlsk into Drive0 aod the currentArchive PatientData Disk into Drive 1.

.. . . . . . .. . . .

''2''+ press END LINE.

The patientsampledatawilIbe transferred to the Archive PatientData

Disk,and the remaining data wiIIbe renumbered

Sel
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''3''+ press END LlN E to return to the Main Menu.

76

lnform IlII
Hev. A 9/83

Case 3:06-cv-00056-PMP-VPC
Document 644-16 Filed '
j
S05/28/08 Page 4 of 44

5. ArchiveQuality Control1)'

Select . . . . . . . . . . . . . .

k---'.
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. .. .

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..

'

The Daily Data D isk into Drive 0,and the Archive QuaI1ty ControlData
f)isk into Drive 1.

Select .....,.... . . . . . . . . . .

''1''+ press EN D LIN E.

En'
ter. .

Tl
3e numberofQC sampIesto rem ain on the Da1Iy Data D isk.

.. . . . . . . . .. . . . . . . ..

'

Inform Response............

The num berofrecof'dsavailable and remaining on both the Da1ly Data

D isk and the Archive Quality ControlData D isk wi11be displayed.

SeIect ................ . . . .

''2''+ press EN D LIN E.

lnform Response............

The QC sarnplesw illbetransferred lo 1heArchive Qualitv' ControlData

Dlsk and the remaining data willbe renum bered.
-.
'

Select .-..... . .

.. . . .. .. . . .

'
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A?''+ press EN D LIN E to return to theM ain Menu.

77

Inform l$IRev. A.9/83

Case 3:06-cv-00056-PMP-VPC Document 644-16 Filed 05/28/08 Page 5 of 44

4.7 CAL ANA LYSIS.KS
'Y q
,,'','
The CA L- ANA LVSIS programl
d'
duIeaIIow sthe
'
operator to display and print caIibration data
xj collected trom the Corning analyzers interfaced
' to the Inform system .The calibration (lata file
m ay also be purged upon request.Thisrrodule isa
non-SOU RCE program .
.-.

4.7.1 Entry R ules

Selectthe item num berofthe function to be performed,and press EEND LIN E.To return to thepreviousprom pt,enterBACK and pressEN D LIN E.

STARTING DISPLAY
j .

J
6

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.3
3

j
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4.7.2 Procedure to D isplay Calibration Report

) Press..................... CAL.ANALYSIS
Select ....................

''1''+ press END LlN E to display the Calibration data.

Enter.....................

''Y''to display the nextpage ofthe Calibration Report,ifoneexists.

Ifnot,the Calibration Analysis menu w i1Ibe displayed.

Enter.....................

''N''to return to theCalibration Analysismenu.

J
78

Inform IllRev.A.9/83

Case 3:06-cv-00056-PMP-VPC Document 644-16 Filedyf05/28/08 Page 6 of 44

4
.7.
3ProceduretoPrintCalibs.'(
.Report
Press ....................'
>' CA L ANA LY SIS

. ..t

Select .................... .'2''+ press ENDLIN E to printthe Calibration data.

--aJ

Display ...................

PIRlNT ING CA LIBRATIONS ...PLEASE W A IT!!

Inform Response............

The Calibration 'Reportisprinted on the system printer-

D isplav ...................

''W ould you like a reprint(Y/N)?

.''

Enter.......,.............

''Y''to reprintthe calibralion data.

e'N ''to return to the Calibration AnalysisMenu.

Displav ...................

SEA RCHING CALIBRATIONS ...PLEASE W A IT!1

PFIlNTING CALIBRATIONS ...PLEASE W A IT!!

lnform Response............

The Calibration Reportisprinted again.

G O R N IN G

'

G O G ID G n Y ID M

R G R D R Y

I o .e'<7& ar & ;
:b7

Inatrutment 11

Covning 17B

'

COMNUN ITY HOSF'ITRL

R eap ina'ton y L abocatory
63 Ncvth Stveet

Medfield , Masa 02052

'

Date

Tme

BF'

PH

Drift Ccde

F.CO2

Drift Code

1O/06/53 11zU3 755

1O J'6Lt6 /L7)3 11z33 755

7 .38.
2
6 .B::
$B

C> Ot
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10.
/08/8:; 12z24. 755
1O/O&/B:
5 12:34 755
1O/'Od7/B:
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7 .:$22
7 .392
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f
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35 .4
35.4
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10/06/85 12z40 755

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F'age: 1

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-.OG1 00 .

END OF FILE

35.4
35.4

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Figure *18.C'alibration Report

79

1
u

Inform I11Rev. A,9/83

Case 3:06-cv-00056-PMP-VPC Document 644-16 Filed 05/28/08 Page 7 of 44

4
.7.4ProceduretoPurgeCali?-ionData
Press
. . . . . . . . . . .

''

. .

. . .

,-uz CA 1-A NA LY SIS

!e )'
.

-.

) Select .................... ,'3''+ pressENDLINE'

Display ................... ''Areyou SURE you wantlo purge thesecaIlbrations(Y/N )?''

Enter.......... ..........

''Y ''to purge the ca1ibratlon data.

Display ... .. . . .. ..

PU RG lNG . .PLEASE W A IT !!

Inform Response............

Purgesthe calibration data from the fiIe on the disk and resetsthe
Ca1ibration Rem alning Entriesto 150.

Fnter...................,. ''N ''to return to theCa1ibration A nalysisM enu.

Note:To return to the Main M enu SpeclalFunction Keys,select ',4'' and pressFN D !
-IN E

J
8:

Inforrn I1IFlev.A.9/'
83

'

Case 3:06-cv-00056-PMP-VPC Document 644-16 Filed 05/28/08 Page 8 of 44

4.8 INSTR UM ENT M AINT- NCE.K6
w ,
t
'
Tine (nstrum ent M aIntenanct
;
.
o ograI
'rl m ocluIe
N -.'
alIovvsthe operatorto store inform atlon rejardinj
the maintenance perform ed on up to ten instrum ents.Each 1nstrurnentisassigned a n'
laintenance
file w hich can be aItered ordeleted. Entrles are
m ade into each m ainlenance fiI(). The individual
m alntenance record contains Inform ation entered
in free form fashion by the operator. '
I'he operator
may dlsplay,print,orpurge the data within each
m aintenance fil
e.
The lnstrum entM aintenance program m oclulealso
alIow s the operatorto printorplurge the D iagnostic records stored for each interfacetj Corninj
instrum ent.

This m odule isa nOn-SOU RCE program . The 1nstrumentM aintenance prograrrlmodule does not
automaticalIy coIl* t data transm issions from the
interfaced analyzers. Only one (alibral;on foreachl
device isstored.
4.8.1 Field tim its

Field
Lim its Type
Name ofM aintenance File
20 alphanumeric
Maintenance Report Entry 80 alphanumerfc
4.8.2 Entry R ules

) Selecttheitem numberoftheflanctiontobeper.

'

torm ed,and press END LIN E.-1o return to the

previousprompt,enterBACK and press END L.1NE.
.

STARTING D ISPLAY

81

lnform ItIfyev A. 9/83

Case 3:06-cv-00056-PMP-VPC
Document 644-16 Filed 05/28/08 Page 9 of 44
i
1. (
1
x. 4
.8.
3 Procedure ForSetup/All
r.V- ) zaintenanceFile
(
.

TheSetup/AlterA Maintenance/ileallowsthe

*--J

operatoc to add a maintenance fiIe to the data

base.orto change an existing one-

;
.

Press . ...... .... ... ..

INSTRUM ENT MA lNTENA NCE

Select ....................

''1''+ pressEND I
-lNE .

:;

7.r(1't

..

'

:-

' >q .
-*av'
#
/
f.
.I.
<
% t.k .ouW;P% . W
.

'

. .

'

'

r
.

Select ....................

Any maintenaflce file,1 through 10,+ pressEN DLIN E.

'

Display ...................

''Name ofthe M aintenance File #( )?f'

Enter.....................

The nam e ofthe new oraitered M aintenance F'ile d'pressEN D LINE .

Exam ple:''Corning 178,'+ pfessEN D LlN E.

'

Selecl ....................

11 + pressEND L.INE to return to the lnstrumentMaintenance

m en u.

Select ....................

''12''+ pressEND LIN EEto return to tl3e M ain M enu specialfunclion

keys.
-

4.8.4 Procedureto Delete a M aintenance File

This function alIows the operator to delete a
maintenance file from 1he data base Before
deletion,the Inform system w illprinlthecontents

-- '--''''-

'
.

''-

ofthe file.

Rress .....................

INSTRUM ENT M A INTENA NCE

Select ....................

''2''+ pressEND LlN E.

'

'...'
k'
*:
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..

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.
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-..w;ks.-

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3..rza
.v.
p.m
'
> vd:Wexl
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> wak
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+ .w.=.
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82

:.

: g 'JI'0 ''= '#

..

klt.

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a
f
n
5
ufvx%..
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hx.gs.
nform lIIRev.A,9A3

Case 3:06-cv-00056-PMP-VPC
Document 644-16 Filed 05/28/08
Page 10 of 44
Select ........... .....
An'y
/rrlaintenance fdIe,1 throuqh 10
ess EN D LIN E.
t

Display

. . . .

7 ,,A,e y()k1StJF.
lE you w antto delete thro-zjjje (vyu )?.-

- ..

. . . . . . . . . . .

Fnter. ....... . .. .... .

''W ''to prlntarld deiete the m aintenance fIte.

''N''lo return to the Delete a Maintenanct)File menu

Inform Response............

Prir,tsselected m alntenance fIle and then deletes itfrom the database

Select .. .................

''11''+ pressEND L.IN E to return to the lnstrum entMalntenance nkenu.

Select ....................

''1,
r/''+ pressFfNDLINF to return to theM ain Merpu specialfunction
keys.

4.8.5 Procedure to Entera Maintenance Report

This function allows the operator to eflter maintenance perform ed into the lnform system for
storage.Each m aintenance record is a free form

entry,upto80 cha':ctersinIength.Commasare
notallowed w ithin an entry.Each entry should
include the operatorsinitials.
Press .............. ......

IN ST R UM ENT M A !NTFN AN C E

Select ....................

.,3''+ press END LINE.

Q

''

''

..

1:
..

..
., .

: x '.

..

..

'

Selecl ....................

Any m aintenance fIle,1through 10 + pressENDLIN E.

D splay ...................

''W l
nat m aintenane did you perform ?''

Enter.....................

Any maintenance perform ed on the instrum ent.

- .-

Exam ple:''CBV-CHANGPD PO2 M EM BRANE + ELUCTRO LYTE SOLN''+ press END LlN6.

83

Inform 11IRev.A,9/83

j'
av . . . 3:06-cv-00056-PMP-VPC
'
Document 644-16
Filed k
05/28/08
Page 11 of 44
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'nter.. . . . . . . . . .,.. . . . . . . . . .

''Y ''to store the maintenance report.

''N 'tto reenterthe m aintenance report.

Inform Response......... . . .

Returnsto the EnteraM aintenance Record Menu.

Select ...... . . . .

''11''+ press END l- lNE to return to the lnstrum ent Maintenance

M enu.

Select . . . . . . . .

.. . . . . . . . .

. . . . .. . . . . . .
'

''12.''+ pressEND LINE to return to the M ain M enu specialfunction

ke9s.

'

4.8.6 Procedure '

to Display M aintenance Records
This function allows the operalorto displ
ay 1he
contents ofa m al
'nlenaoce f*
1Ie.

'
h

'.

'

'

'

Press . . . . . . . . . . . . . . . . . . . . .

INSTRUM ENT MA INTENANCF

Select

''4''+ press ENO LlN E.

' '

'

84.

lnforf
n l11nev. A,9/83

3:06-cv-00056-PMP-VPC
Document
)eIectCase
. . . . . . .
. . . . . . . . . .
A ny m a1
f)tenance f11e644-16
1 througFiled
h 10 05/28/08
()ssEN D LPage
IN E. 12 of 44

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.-

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''D o you wish to (-0ntinue(Y/N )?''

''Y ''to disp1ay lhe nextpage ofthe m a1ntenance f1le 1fone exists.
Ifnot returnsto the D isplay M aintenance Recordsmenu
''N ''to return to 1he D ispIay M a1ntenance Records m enu.

Select .............. . . . . . .

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Select . . . . . . . . . . . . , . . .

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ne Ma1o Menu speclaIfunction
keys.

.. . .

ql8 7 Procedure to PrintMaintenance Records

T hisfunct1on aIIowstheoperatorto pr1ntan 1nd1vidualm a1ntenance f1le'
Press . .

. .

. . .

. . .

INSTRUM ENT MAINTENA NCE

Select ........ . . . . . . . . . . . .

''5''+ press EN (3LIN E.

Select . . . . . . . . . . . .

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D isplay

.. . . . .. .

. . .. . . . . . . . .. . . . . . .

''
''PFllNT ING ...PLEASE W A IT 1
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.

.Z

85

Inform l11Flev. A.9/83

'

Case 3:06-cv-00056-PMP-VPC Document 644-16 Filed 05/28/08 Page 13 of 44

Infor
m Response..........f ( Printsthecontentsoftheselectedmt 1 mancefiIe,andreturnsto
.

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,

s..../

Select ....................

PrintMaintenance Records menu.

. ..z

''11''+ preu ENDLINE to return to the InstrumentM aintenance

m enu.

Select ....................

''12''+ press END LlN E to return to the Main M enu specialfunction

keys.

G O R N I N O

M n A N Y G N n N c G

G G GX

R Y

D O A O V A O Z

Maintenance File * 1

CORNING 178

COMMUNITY HOSP ITAL

CL INICRL CHEMISTRY
*&3 Central Street
Medfield
Mas- 02052

bate

Time

1/4/21
:,z?4:/2:
*6I*&l3j

1I:lJ
7:1?
::1

service

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P1d-rllL AIkTE/rACE CHAICE P12 'Esg#jE A#I ELICTRZLTE Sotd

JKt-,lILt 'IIKTE'A#:F CLE#Z S4A-?LE ?4!d 'ITH qd
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Raqez 1

END os F ILE

'

Figure 19.M aintenance Report

4.8.8 Procedurelo Purge M aintenance Records

This funclion allows the peratorto purge the
contents of a maintenance file,and reset the
Rem aining entries.

-----..
--

Press .....................

INSTRUM ENT M A INTENANCE

Select

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lnform lllRev.A.9/83

Case 3:06-cv-00056-PMP-VPC
Document 644-16 Filed 05/28/08 Page 14 of 44
Select ........ ..... ...
Arl'
g m aintenance f1le 1 through 10 - assE(N D llN E.
'
i
jw q
-

,Areyousurevotlwantto Poj
a(r;s(v?ojj?,,
Display ..................sr),
') E)
.ntef........ . . . . . .

. . . . . .

''V''to purge the maintenance f$e'

''N ''to return to the Purge Maintenance Hecordsm enu

Inform Response............

Purj
gesthe m aintenance record from the flIesand resets theM aintenarlce
Rem ainIng L-ntrills Relurns to the Purge M ainteriance Recordsm enu
.

Select ............. ......

''17''+ pressEND LIN E to rettirn to the lnstrumentMaintenance m enu.

Select ....................

''12''+ pressEND LlN E lo return to the M aln M enu specialfunction

keys.
-

4.8.9 Procedureto Prinl/purge Diagnostic Report

This function allow s the operattlr to print the
diagnostic m essages traosm itted and stored for

'

interfaced Corning Z struments.

Press ............

INSTRUM ENT MA INTENANCE

Select ....................

',7'/+ press ENDLINE.

D ispla: ............. . . . . . .

''Do you wish to PU RG F the diagnosticstl)isprint(Y/N )?''

Enter.....................

''Y''+ pressEN D L1NE to printand purqe the diagnosticsreport.

. . . . . . . . .

''N''+ pressFNDL1NE to justprintthediagnosticsreport.

4'

) Display .. ......... .

. ..

,
..SEARCHING DIAGNOSTICS ...PLEASE W A ITI!
PRINTING DIAGNOSTICS ...PLEASE W A IT!!''

Inform Response............

Purgesand/orPrlntsthe Diajnostic Report

Select ....................

''11''4'pressEND LlNE to return to the lnstrum entMaintenance meou

Select ....................

''12''+ pressFND L1N E to return to the MairlM enu specialfunction

keys.

Note:The Diagnosticsfile,afterreaching capacity,

autom atically deletes the oldest record stored to

allow storage ofadditionalentries.

...

87

Inform 1lIRev. A,9/83

Case
(ZLCZI
RIM 3:06-cv-00056-PMP-VPC
I INICG
(/
.

Inatr-ument # 1

Document D
644-16
Filed
15I
of DF
44 R-F
I n tDl
Nlo t05/28/08
t -ItzlGPage
' FQGZ
DI

>

CcArnlng 179

COMMUN 1TY HOSF'ITqL

CL IN ICRL CHEM ISTRY
452 Central Street
Med kie.1d , Ma'
ss ac)aLIs.ertts 024
352
-

''

Date

Time

Oii/ 1S f83

Code

o a .z' :j. zcp.z'a r.z

!:
.

Explanation

15 t48
15 :48
lSz4.8

(
7O
t3O
00

pH
F'C02
F'02

## S YS TEM W ITH IN N0 RMA L L IU1ITS % #

# # SYSTEM W ITH 1N NORMML L.IM ITS # %
# # SYSTEM W ITHIN NORIVIRL L 1M1TS % *

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.'

END 0F FILE

88

Inform 11IRev.A.9/83

h
'

Case 3:06-cv-00056-PMP-VPC Document 644-16 Filed 05/28/08 Page 16 of 44

r )

.'v )

4.9 SYSTEM M ANAGER-K? ''

The svslE.u MA NIAGEFprouram m odule fesides

4. Acid/Base BrKpoints
Uncomp/partialcomp

onthesystem Manageroisk.fhesystem I
vanager

functionsdealw ith theoverallconfiguration ofthe

f

Acidemia

numerlc

N orm alpl
-l

num eric

nualeric

num eric

num eric

num eric

num eric

b
5

num eric
num eric

P3rtli3ll'
/ Compensated/

Inform system . Throujh the system u al

aager, the

chlef technologistor laboratory direclor can oer.

Acldemia/Alkalem ia

form avarietyoffunctionssucnascclrrecttle ' XorcDal/partiallyComp

date, configure the instrumentnetwork, confiqure

Alkalem ia

the instruments internaldefault switclaes select

partjajcomp/uocomp

forcalibration printing,custom lze report'l

aeaders,
custom ize norm al ranges, select for automatic
interpretation ofpatientresults, customize breakpoints and definltions for intep'pretations, aod
create backup data disks.

Z lkDlorrlia

PCO2 hyper/norm .
Ventilation

PCO2 normo/hypoVentilation

Hcoa deficit/normal
Hcoa norm al/excess

These functionsare infrequently used. ln general,

the system Manager is used when the system is

inilially received,cm when new analyzersareadded

5 Acid/Base Interpretations:venous/Norm al/

to the Inform system .

To protect the selections and configurations
chosen w ithin the svstem M anager, a passw ord

,''
-'-

' Acidem ia
Ctlstom 1nterpretatioos

alphanumeric

6.Acid/Base Interpretations:Alkalem ia

individuals.

Custom Interpretations

4 9 1 Field Limits

65

Field
1.Form scustom ization
neportHeading

Lim it

Type

ao

alohanum eric

7.OxYgenation Breakpoints
Base l
-evelH ypoxem ia
severe Hypoxem ia
M oderate H ypoxem ia
V il
d Hypoxem ia

Labocatorv Type

atl

al'
pl
aanumeric

Uncorrected/corrected

1
.1'/poxemia

30

alphanumeric

Director'sDept

ao

alphanumeric

StreetAddress

ao

alphanumeric

City

30

alphanumeric

Norm al/M ildly Elevated

State/country
Zip Code

30
10

alphanumeric
alphanumeric

COHb
M ild/Moderately Elevated

H'
/poxem ia

col-lb
Prim ary inst
3.ReportNormals
pl-l
Pco2
PO2
Bicarbonate
Base Excess
O xygen conlent
O xygen Saluration
TotalHemoglobin
Total(20 2
carboxyhem oglobin
M ethemoglobin
Oxygen capacity
Sodium
Potassium

alphanumeric

@5
r,
5
5

num eric
numeric
num eric
numeric

numeric

(5

numeric

t$

numeric

numeric

num eric

t$

num eric

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1

5
5
5
(5
5
5
5
5
b
5
5
5
b
5

numeric

Corrected/Excess

2.System Configuration

65

may be defined to preventaccessby unauthorized

( oirector,s rqam e

.-

Elevated COHb
M od severe/severe
. Eievated COHb

numeric
num eric
num eric
num eric
numeric
numeric
numeric
numeric
numeric
numeric
numeric
num eric
num eric
numeric

'

- -

''

( 1

-.

89

Inform 11Iaev. A.9% 3

'

Case 3:06-cv-00056-PMP-VPC
i.i
'
Document 644-16 Filedp
)I
(
.05/28/08 Page 17 of 44
1

k -z

.. v.
..
4.9.2 Entrv R ules
Enter the Parxsword.and press END LINF.Select
the item num berof1he function to be performed

...

T
an
dpressENDLINE.Thefunctionwillbeaccessed.
vpe in BAC K lo return to thepreviousprom pl.

(
--.
.

Ifa password hasnotbeen entered orwhen acqessing the System M anager for the first tim e select
''1''and press ENDLINE to enter the password.
Then pressENDLIN E to byparssthe enlry.

Note:To access the System Manager program

module,1he Svstem Manager disk m ust be in
Drive 0,and 1heSystem Program disk in Drive 1.

'

4.9.3 Form sCustom ization

T his function allow seach instilution to pl
ace its
own information in the heading of each printed
report. The HospitalName and Address,the

. '

'

Di
e
ctorrs
Name
tmentmaybeprinted
onr
each
epor
t- andDepar

' ''-- *

. (' '

'

Procedure:

Acces.
s1heSystefn Manager.

Select ....................

''1''+ press FNDLIN E.

..

90

lnform I11Rev.A.9/83 -'

*

Case 3:06-cv-00056-PMP-VPC Document 644-16 Filed 05/28/08 Page 18 of 44

>-e)
Inform Response............

)
A ctlesstas the Form sCustom ization funclion.

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..-. .... Llu..-...N'

V

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. ' 's '.:

'b

''1''+ press EN D LINEJ.

Unter. . . . . . . . . . . . . . . . . . . . . Any desired reportheading,orlhe HospitalName.

Exam ple'
.''Com m unity H ospital''4.press EN D LlN E

Select ......... . . . . . . . . . . .
Fnter.

.'2''+ prems ENDL IN E.

The type ofthe Iaboratory.

Exam ple:ClinicaIChem istry + press END LIN E.
.. . . .. . . . . . .. . . . . . . .

Select ........ . . . - . . . . . . . .

.'3''+ press ENDL INE.

( h Enter..................... The laboratory director'sname.

Fxam ple'
.''John S.Kendrick M D''1.pressEN D LIN E.
Select ....................
Enter.. . . . . . . . . .

''4''+ pressEND LINE.

The name ofthe director'sdepartm ent,or1he director'stitle.

Exam ple:''Departmentof Laboratori
es'''f-press EEN D LIN E.
.. . . .. . . ..

Select ....................

''5''+ pressEN D LIN E.

Enter......... . . . . . . . . . . . . The streetaddress'ofthe institgtion.

Exam ple:''463 CentralStreet''+ pressEN D LIN E.
Select .... , . . .

.. . . . .. . . . . .

--

''6''+ press EN D LINE.

Enter..................... The nam e ofthe city.

Exam ple:''M edfield''+ pressEND LIN E.

Select ....................

''7:'+ pressEND L1NE.

Enter.. . . . . . . . . . . . . . . . . . . . The nam eofthe state/country.

Exam ple:''Massachusetts''+ pressEND LlN E.

'

'

(.

,
- -

91

Inform IlIRev. A,9/83

Case 3:06-cv-00056-PMP-VPC Document 644-16 Filedj

'05/28/08 Page 19 of 44
(
.

!.

1.

Select ....................

'.8''+ press EN DLIN E.

Enter.....................

The zip code forthe Iocation.

E'xample:,'02052,'+pressENDLINE.

('''

Select .................... '*9''+ pressENULINE.

Inform Response.....-......

The FormsCustom ization data isaccepted and stored.

Note:Thedata mustbestored before Ieaving the Forms
Custom ization function.

Select ....................

''10''+ pressEND LIN F to return to the System Managerrrt

enu.

4.9.4 Password Customization

The Parxsword Custom ization function allows the
creation ofa unique pasusword to be used when
accessing theSystee M anager.The use ofa passw ord protects 1he selections made within the
System M anager pcogram fnodule by pf-eventing
accessbv unauthorized individuals.
Procedure:

Accer the System M anager.

g.-

Se ect ....................

2 + pressEND LINE.

Inform Response.......-....

A ccessesthe Passw ord Custom izalion function

Select ....................

''1''+ press ENDLIN E.

Enter..................... Thedesiredpassword,upto15characters.

.-

Example:'*123456789A8C06''+ press END LlNE.

92

lnform Il1Rev.A,1/83

Case 3:06-cv-00056-PMP-VPC Document 644-16 Filed 05/28/08 Page 20 of 44

Select

(...'

t.v )

-' ''2''+ pressEND L1N E

X-'''
Z

Inform Besponse............

Autom atically acceptsand storesthe password.

Note:The password mustbe stored before leaving thisfunction
orrtw i1lnotbe accepted lnto the system .

Select ....................

''3''+ press ENI

))L(N E to return to the System Manaqermenu.

..

4.9.5 System Configuration

The System Configuration funtltion allows the
operatorto create the netw ork ofanalyzersto be
interfaced w ith the lnform system .Up to three
analyzers may be interfaced directly with the

v -ln-form system ,and accessory analyzers (pl-l/Blood

GasA nalyzers) may be ''piggybacked''to inter.
facedanalyzers(Co-oximeters).Theconfijuration

'

d
eveloped may be d-tpI
for
ayed.Theprintingofshort
m and oalibration reportsm ay be requested
The interfaced analvzers are assigned addresses
durirlg iflstalfation and system configuration. The
analyzerwith address''10''hasthe highestsystem
m onitoringpriority.The analyzerw ith address '.9''
bassecond priority.and the analyzerw ith address
/'8''has the I
owest priority. The analyzer that is
tlsed most frequently shouId be assigned the
address ''10'',to becom e the primary analyzer. A
ticketorroIIprintershould be definedw ith a Iow

m onitoring prioritv (address ''8''ifpossible).

/' . I
'

'

Procedure:
Accesstbe System Manager.

Select ...............,....

''3''+ pressEND LINE.

93

tnform Illaev.A,9/83 --

Case 3:06-cv-00056-PMP-VPC
Document 644-16 Filedli05/28/08 Page 21 of 44
(.1
L%
('
x. -/
x-.-(
Inform Response..........-. Accessesthe System Configuralion functlon.
.

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''1''+ press EN D L.INE.

Display ...................

''CORNlNG InstrumenttY/N)?''

Enter.....................

*.W''+ pressEN D LINE to display the m enu ofCorning Analyzers.

''N ''+ pressEN Dt.lNE to display the m enu ofotherpossible analyzers.

Select .................... The instrumentnum berfrom the DeviceSelectorM enu corresponding

to theprim ary nstrum ent.
Note:lfpreviousentrieshave been m ade,delete the analyzerby

answeringyesto the prompt.To m ake the new entry,the inversevideo

screen may be m oved to the position ofthe prim ary analyzerusing
EN D LlN E.
.' /
:
.

Inform Response............

The instrumentnam ewillappearin place of ''primary instrument''

in the System Configuration M enu.

Display .. . . . . . . . . . . . . .

''lsa t

.. . .

Enter.-...................

)tbecorrectdevice (Y/N)?
.''

*'W,'+ press END L-1NE iftheanalyzer is correct.

''N''+ press EN D LIN E to reselec'
tthLr-analyzer.'

'''
-

Selec'
t.

,'2''or ''3/'4-pressEN D L.IN E

Select -.........-.........

The instrumentnumberfrom the DeviceSelectorM enu rrespoflding

to the secondary ortertiarv instrum ent.

Example.''1*'+ press END LIN E '
to selectinterface address 1O.
''5'.+ press END LIN E to selectCorning 178 asthe primary analyzer.

'

'

''2''+ press END LIN E to selectinlerface addrerx

s9.
''1''+ prerss END LIN E to selectCorning902 asthe secondary analyzer.
''3''+ press END LINE to selectinlerface address 8.
''1''+ press END LIN E to selectCorning 101 printerasthe tertiary instrum ent.
Inform Response............

The Corning 178 wi11be the primary analyzerw ilh an addressof''10''

and tbe highestmonitoring prieritv . Tbe Oocning902 w ilpbe tjje
'
secondarv analyzerwith an address of,'9'*and the second m oflitoring .
priority.The Corning 101w illbe the tertiary instrum ent,w ith an
/.

addressof ''8''and the Iowesl moniloring priority.

94

--

lnform 11IRev.A 9/83

'

Case 3:06-cv-00056-PMP-VPC Document 644-16 Filed 05/28/08 Page 22 of 44

.

..

'

'
)

. )

Note:To piggyback an accessory anatyzerto

an interfaced analyzer define tht)prim clry instrum ent for the interface address as above Then
selectthe ltem num berofthe irlterfaci)address
again.Selectthe item num ber ofthe accessocy
analyzerfrom the appropriate list Ifthc)accessory
analyzer iscapable of pigqybacking to the interfaced analyzerthe Inform system w il!dlsplay the
nam e ofthe accessory analyzer ir)the ''accessory''
display.
Fxam ple:''1''+ pressFND LIN E to define the interface address.
''7''+ pressEND LIN F to selecttheCorning 2500 asthe prim ary analyzer.

''1''+ pressEND LIN E to define the interface address.

''5''+ pressEND LIN E to selecttheCorninq 178 asthe accessory analyzer.
Inform Response............
'
*

TheCorning 2500 w illbe the prim ary analyzer,w ith theCornlng 178
interfaced through it to becom e the accessory analyzer.

Select ....................

''4''+ press EN D LIN E.

Display ....,............ .

''HP 829058 orCornlng 101/102?''

Enter.....,...............

''H P''+ pressFN D LIN E ifyou wantthe seriaIprinterto printshort

form and calibratlon reports.

''Corning''+ press END LIN E ifyou wantthe Corning 101/102 to

prirltshortform and caIibration reports.

(
'

Select ....................

''5,'+ press EN D LIN E .

Display ...................

''Should shortform patientsam plesbe printed on 1he Instrum ent

Prirlter(Y/N)?''
Enter............,........

''Y''+ prerxsEND LlNE to printshortform reportsaftereach applicable

data transm ission.
''N''+ press END L1NE to preventshortform printing.

Select ....................

''6'/+ press END L-lN E .

Display ................... ''Should calibrationsbe printed on the Instrumentprinter(Y/N)?''

Enter.....................

''Y''+ pressEND LINE to printCalibration rports aftereachQppljcable

datatransm ission

''t9''+ pressENDLIN E to preventCalibration printing.

Select ....................

':7''+ press ENDLIN E .

Display ................... ''LongForm PatientReportwith Interpretations(Y/N)?''

Enter.....................

''Y''+ pressEND t-INE to printinterpretalionson al1Iongform patient

reports.

''N''+ prerxsENDLIN E to printIong form patientreportswithout

interpretations.

95

Inform lIlRev.A,9/8a

--

)
'l'
Case 3:06-cv-00056-PMP-VPC
Document 644-16 Filed;t 05/28/08 Page 23 of 44
x
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SeIect . . . . . . -

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''8''+ pressEND t-INE.

. . .. . .. . .. . . .

Inform Response.......-....

1
.

'

---

DisplaystheSystem Diagram representing the configuration which

hasbeenentered.

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Select ....................

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-INE to store the system configuration.

Inform Response............

A utomatically storesthe selected system configuration onto the

.
Svstem M anagerdisk,and Ioads itonto the System Program disk.
Note:Thesysem configuration m ustbe stored before leaving the
system configuration m enu

Select ....................

''10''+ press EN D LIN E to return to theSystem M anagerM enu.

4.9.6 ln3lrum enlConfiguration

The Instrum entConfiguraton function allovvs the
laboratory to selecttheequations to be used for
certain calculated values,and the unitsto be used
for reporting results Each analyzer may be configured individually.
Procedure:

''

AccesstheSvstem M anager.

Select ....-........... . . . .

'

:'4',+ press END LINS.

96

lnform ll1Rev.A.9/83

Case 3:06-cv-00056-PMP-VPC Document 644-16 Filed 05/28/08 Page 24 of 44

f )
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lnform Response-...-......'-

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Select ....................

1 + pressEND L1N E.

Display ...................

''Device #7.'

Ertter.....................

Tbe device numberof1he instrum entto be configured.

Exam ple:''1''+ press EN D L.IN E to configure Device #1.

Select ....................

''J
.
?''+ press END L.lN E,

D 1sp1ay ,..................

''pH U nitSeIect1or): 1.pH Urlitsor2.nmof/L?

.''

Enter.....................

''1''+ pressEND LIN E to selectphlunits.

''J
..''+ pressiiN ()LfN F to sel
ect11mo1/L.

/
'
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.

Se!ect ................. ..

'''
.3''+ pressEN D L.IN E.

D1spIay ...................

''PCO 2/PO 2 U nitSelect1on'

. 1.m m H gor2.kPa7
.''

Fnter.....................

''1''+ pressEND L.INiEto selecl mm l

-lg.
''2''+ pressEiN D L1N E to seIectkPi,. .

Select ................. .

''4''+ press EN D L1N E.

Display

''3dse Ex UnitSel
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?''

. .

'

Enter.....,...............

''1''+ pressEND L.lN E to select in vitro calcufation ofbaseexcess.

''2''+ pressEND L1N EEto select1n vivo caicuIation ofbase excess.

Select ...,................

''5''+ pressE'
N DLlNE.

Display ...................

''HCO3 U nitSelection: 1.Actualor2 ,Standard?

.''

Enter...................,.

''1''+ pressEN D LlN E to selectaclualbicarbonate calculation.

''2'.+ press EN D LlN E to selectstandard bicarbonatec.
aIculation.

97

Inform IIIFlev A,9/83

Case 3:06-cv-00056-PMP-VPC
Document 644-16 Filed'
f
,
(05/28/08 Page 25 of 44

t$

t
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Select .-......-...........

''6''+ press ENDLIN E.

Oisplay -..................

''Hgb UnitSelectionz 1.Totalor2.A vaijable?''

''1''+ pressEND LINE ttlstllectforcalculalion ofoxygen saturation

Enter.....................

basad upon totalhem ogltlbin.

-'2.'+ presstl'
kIXLINE to selectforoalculation ofoxygensaturation

based upofnavailable bemoglobin.

Select ....................

,*7''+ press ENDLlNE.

Disptav .-..-.....-........ ''Co-oximetf'

v Sclection:1.USA or2.SlU)''
Enter...-.....-....-....... ,41''+ pressEND LINE to select forUSA units in thesaturation and
hemogf
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,42'*+ pr
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END
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''8''+ press ENDLINE.

Disp'lay ..,................

''Tem p UnitSelection: 1.Deg F or2.DegC?''

'

Enter..................... ''1''+ pressENDLINE tt:lselecttemperaturein Fahr/nbeit.

'42''+ pressENDLINE to selecttem perature in Cenligrade.
Select ..............,.....

,'9''.
f press ENDLINE.

Inform Response............

Tfle instrumentconfiguratioa data isaccepted and stored.

Note:The data entered m ustbe stclred before exting the Instrument
Configuration function.
'' ('
.

Select .......-............

''1O''+ pressENDLINE tt:lreturn tclthe System M anagermenu.

4.9.7 fn'
terpretation Custom ization

..

The lnterpretation Custom ization function ailows

the Iaboratorv to chanqe the inlerpretations and
breakpoints used by 1he Inform system to thosa
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ect
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't

-..-. .-

..
'

'

generated in REPORY/ENTER/EDIT,theoperator

m ay also choose to override the selection made

in System Configuration,and haye an interpretation printed ordeleted foreach individualreport.
The Breakpoints foreach parameter are used to

.
- ..'

determ ine the degreeofnorm ality orabnormality

ofeach resultorcombinatit?n oiresults.The actual
interpretatioq wording desccibes the state of the
patients resultsin total.
The lnform syslem includes default breakpoints

'

and interpretation termirlology (Referto Section

8.5,Bibli raphy forreferences.)Thebreakpoints
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nd
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m aIrngesand 1he institutionsown clinicalexpertise Referlo Section 8.4 foraddilionalinform a-

fibnJoh.
ififi-iiati
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d.6iekhoints.
.

98

lnform I1!Rev.A,9/83

..

Case 3:06-cv-00056-PMP-VPC Document 644-16 Filed 05/28/08 Page 26 of 44

.

Interprelation Cuslom ization tv--x'

iu

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1. ReportNorm als
l''his fuflction allows alteration ()f the laboratory
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FNO LIN E fo1low ing the prof
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Procedure'
.
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lnform Response............

A ccessesthe lnterpretatic?n Custonnization function

Select ....................

''1''+ press END LINE5.

99

Inform 1l1Rev./$.9/83 ->

,.
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Case 3:06-cv-00056-PMP-VPC
Document 644-16 Filed*
!, r
105/28/08 Page 27 of 44

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lnform Response...........
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100

lnform lIIRev.A,9/83

Case 3:06-cv-00056-PMP-VPC Document 644-16 Filed 05/28/08 Page 28 of 44

2 Acid/Base Breakpoints

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101

lnform IIIRev.A.9/83 -'

>
Case 3:06-cv-00056-PMP-VPC
Document 644-16 Filedj 05/28/08 Page 29 of 44
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-..

102

lnform IllRev.A.9/B

Case 3:06-cv-00056-PMP-VPC Document 644-16 Filed 05/28/08 Page 30 of 44

$* 1

3 Acid/BaseInterpretations.l'wehous/Normal/Acidemia

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.- -

106

lnform 111Rev.A,9/83 -'

*

Case 3:06-cv-00056-PMP-VPC Document 644-16 Filed 05/28/08 Page 34 of 44

E>.)

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5. O xygenation Breakpoints
T h)1S fu()ct1On aIIows the alterat1on ofthe vaIues
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lnform 111Rev A 9/8a

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Case 3:06-cv-00056-PMP-VPC
Document 644-16 Filed'
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- ..

108

Inform IIlRev.A 9/83

Case 3:06-cv-00056-PMP-VPC Document 644-16 Filed 05/28/08 Page 36 of 44

4.9.8 Backup Data Disk

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T-LIisfunction a1Iow sthe operatorto copy the in.
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Thecopy process is completed.

Select ....................

''2''+ press END L.lN E to return to the System Managermenu.

1O9

lnform IIlRev.A,9/83


q
'
4
-05/28/08 Page 37 of 44
Case 3:06-cv-00056-PMP-VPC
Document 644-16 Filed(
' !' t
1. j
:

(
'

'

d ' D le w -4.9.9 Correct To ay s a

This funclion allows1heoperatorto resetthe date
in the com mon data base.The date iscriticalto

./

--

theintegrity ofthedatabase.enablinga Iogical

sequence ofevents to be traced.Should an opera-

'

tor enterthe wrong tim e or date when starting

the 1nform system aftera poweroff condition
the erroneousdate m ay be deleted w ith thisprogram ,enabling reenlry durfng Start-up Utility'
.
'

'
.

Procedure:
AccesstheSvstem Manager.

1.

.
'

k'

Select ....................

':7''+ prerss END LIN E.

Displah/ ................... z'Date resetaccom plished.Startup Utility w illhave to be rerun.''

,
'

Inform Response............

The lime and date ofthe data base isreset.The Startup Utilitv m usl
be accerxsed,to reenterthe correcttime and date.

t
s h
.

(N
a

110

Inform flIRev.A.9/83

Case 3:06-cv-00056-PMP-VPC Document 644-16 Filed 05/28/08 Page 38 of 44

t*e)

-'
$

5 0 G uidelines
j
'
.

'his section ofthe lnforrrlCriticalCaf'

e 111User
Guide incorporatesoperationalfluidelirlesand sugf
jestionsforuse.These guidelinessupplementthe
materialpresented in Section 4'0' Program Opera.
tions.

labeleacb disk with tbe confiquration used for

the data.
* The time range used fortheStartUp Utility is
00 .01to 24:00.The tlme range used forother
entriesis00.00 to 23:59.
* M aintaln a backup copy ofthe Daily Data Disk
ataIltim es.A va1id DaiIy Data Disk isrequied
fOrs'
fstem startup.
/
yI
I
keys
are active in nOn-SOU RCE program s.
@
Do notpressany keysduring program operations.

5.1 GeneralOperationalGuidelines
rhe guideffnes fisted in thfssection pertain to the
actualoperation ofthesystem .By follow ing these
guidelinesl system usage and operationalproblem s
w iIIbe elim inated.
The guidelines are subdivided into the individual
duleswhere they should be used.If
program m o
theguidelinesapply to theentire system ,they wiII
be Iisled together.
'

5.1.2 RUN SAM PLE and SOURCE Guidelines

. w hi1e using the SOURCE program ,Iook at the
screen displaysforguidance in operations and
m onitoring systecn activities

'

'
t
- ''

5.1.1 Svstem W ide Guidelines

* To storean entry into a fieldzorto selectan
item num ber,you m ustpress FND LIN F.Osing
Shift+ ENDLINE w illnotstore theentry.
* A11system warningsare displayed for3 seconds

* Advance the cursorslow ly from field to field

cjUrirag(jata entry. The cursormay ''disappear''
ancjw iIIreappearin unexpected localions.
* Demographic searches m ust be initiated and
completed before data transm irx
sion occurs.

(See Section 8.3 fora IistofalIwarningsv)

'
I-o ensure that this w illtake place,initiate

lf s stem erroroccurs,press Shift + Fleset.

3Dd Cornplete ttlilSearcb before intrtnducrlg

'

. W ait y
for the cursorto appear in the upper

the Sam ple into the analyzer.

left cornerofthe display,and then pressRun.

The program w illreload to the program where
the errorwasencountered.

. lfasam ple isdisplayed on the screen,and an

update on the sample issent,itshould overwrite the sam pie on the display.In some cases,
the update m ay be stored asa spooled sam ple.
The originalsam ple should be discarded and
1he update'stcred.lf the originalsample is ..
stored before the update issent,the update

@ The status box relatesto H P-86 function,not

to analyzerfunction.Ifthe statusbox indicates
thatadevice isO K to Run,thatdoesnotindicate that the actualanalvzer is available for
sam ple introduction

w iIlbe considered to be a new sam ple.

'

* lfthe System Managerdisk is not in place

before selecting < 7,the system w illreturn to
the Main M enu SpecialFunction Keys.
S ialFunction Keys are inactive
@ The
BCD
pec
if GPI
O int
erface is notpresent.
a

* W hen changinganalyzerson the system ,print

and purge diagnostic,calibration,QC and maintenance filesto avoid m ixing ofdata.

q'
.
.

Key tapping whiie data is being stored m ay

cause system failures,especialIy iftl
ae soltkeys
are hit.
* W hen a transm ission erroroccurs,the corresPonding inverse video box willflash and a
warning w illappear.The data isnottransferred to the HP-86. Retransm itthe data using 1he
update fexature, orrepeatthe sample analysis.

* Once a F 102 isentered forarsam ple,itcannot

k)e erased A FE102 entrv w illbe required.Ifa
search routine retrieves demographics which
include F 102,it cannot be erased,and a
Cl
rlrrerlt FlO2 Value w il!be required.

* W hen changing from a Daily Data Disk to a

Back Up Data D isk,the system mustbe started
again to resetthe program .
fi ring analyzers using Instrument
@ W hen racon gu
Configuration,a new Dail'/ Data Disk and
A rchive Disksare required.To use the o1d
disksagain,the analyzersm ust be reconfigured
to theprevioussetup.Therefore.the usermus'
t

. Agesjreaterthan 99 are notacc#pted.

* The last line of the edit fields allow the en-

trance ofinitialsforthe OC tech.

111

Inform 11lRev.A.9/83

Case 3:06-cv-00056-PMP-VPC
Document 644-16 Filed
05/28/08 Page 39 of 44
j
ft
. .
1
,
' 1

t. M

(w. .z

.-

* PressingEDITwhilethecursorisintheDevice

* Togeneratevajitifnterpretationsforoxygena-

field wIlldisplay theinverseeditfields.These

tion status,patientage,FIO? and SOURCE

arq required.An interoretatlon willnot be .
printed iftbe FlO2 ism i% ing.lfthe sample is
(''' .
manualIy entered the tem perature fsrequired. $

field; w ill disaooear whqn thq ursol is advanced outof the Device field.The flelds
w illreappearwhen the cursor is advanced lo
(hem .
@ w hen entering K 1 from a nOn-SOU RCE program,allow aIIcalibrations colrected in tl
ae
n-SOURCE program to be processed before
no
running samples.
* There are no oalculations or corrections perform ed in 9UN SAM PLE.lf a tem perature
correa ion is desired ofla shortform report,
do a blood gas tem perature update. If the
temperature correction isdesired on a long

5.1.4 PATIENT LISTING Guidelines

* Referto theguidelinesfor RUN SAM PLE for
tbe SOURCE guidelines applicab'e in this
m odule.
* USe integersonly forsequence numbersto set
the search w indow .
. Iftjae ABIIR'
'
I-plg-j-lNs key is pressed, an
aj
aOrt m assage w illbe displayed, even if a
jjsting isootn processs.
'

form report,enkr the temperature on the

HP-86.ln addition,a hemoglobin updatefrom
the blood gasanalyzerwillresuttin recalculated valuas but adding a hemogtobin value
through the
' editfunctl
7on w i11not recalcuiate
values. Edited values are just enlered and
stored.

@ Data for9O2 ucinc electrolyte samples wilpnot

be accepted.
.

. oo notahalyze sam plesduring a listing.

* Onl? '
tboseSamplesmatchingaIlsearch conditfonsw ilfbe retrieved during a fisting.

5-1.6 QC A NALYSIS Guidelines

* Referto theguidelinesfor R UN SAM PLE for
. the SO URCE guidelinesapplicable in the QC
FIETRIEV E module.

5.1.3 REPORT/ENTER/EDIT Guidelines

. EnteraIIsetup elementsbefore advancing to

* The Iabelfieldsdisplayed correspond lo lhose

LevelSetup.This isparticularly importantfor

selected forDevice 1 in InstrumenlConfigura-

LimitsSetup.

tion'

ae oc statisticsReport,se1
* Priorto printing tj

* Thedataentry fieldsandage areilnecked for

. To calculate Op Saturation clear the entry

field,and pressENDLINEJThecalculated

* Th0QC FletrieveListinginusthaveafilespeci-

va/ue willbe displaved.

fied.

* W hen performing a search to edit or print

* Before changing the end ofthe month to begin

mple data,the system willfind the latest

-neW monlhly QC statlstics,printtheCC F-fatis-

data which approximates the tim e entered.

Ifthesanple found isnotthe desired ram ple,

tiasreport.
o wl
aen plotting QC data, selection ofSUM A LL

changethetimeandsearchagain.Thesearch

'

WijIaljow theplottinqofalldatapointswithin

w illabortw hen a date priorto 1he search date

isfound.
@ In a Iong form report,to have the first column
values at 37 degrees,and the m iddle column
valueslem perature correeted'send the data
from the blood gas analyzerat37 degrees,and
correcttheda'
ta viathe data m anagementsystem .Notethattheshor'tform reportw illnot

tjae specified time perlod, according to thetime

ojanajysis.
@ To change Iot numbersofa QC materiaI a
oc fi1e is required to prevent m ixin'
g of
new
data. Asrequired,open new files fornew lot
num bersof1he rxame conlrol' and archivedata .
j ifnecesusary.
.
0n 9
--

havetmperaturecorrectedvalues.

-.

* jfa ()c fiIe isdeleted onlv the header.inform a-lioq and filesetup information isdeleted.The
data willremain on the disk,and takesup
storage space.To remove thisdata from the
Daily Data E'
yisk;use the Archive process.
'--

isassum ed to be ()in thecalculations.

'

.''(' -

1he tOp Ofform ontheserialprinter.

'properformat.
. calculated values willbe displayed as param etersare entered.Ifan entry isnotm ade,it

sa

'

112

('
&.

lnform 1!IRev.A.9/83

'

Case 3:06-cv-00056-PMP-VPC Document5.

644-16
Filed 05/28/08 Page 40 of 44
* W hen perform ing a search aditQC sam ple
2 Merging ancz loling
W
data,the system w illfind t
testdatawhich
r-jai
ajzerjing and u jcllirlg featuresofthe Inforrrl
approxim ates the tlme enterd.If1l
'
le sample
CriticalCare ll1system requireaddltlonalexplanpl-found is not the desired sam ple,cllange the
ior). ourlng tjae use ofb0th oflhese features, it
..
1
tim e and search again.The search w iI1abort
is important thatthe (lperatorpay strictattefltiorl
w hen a date priorto the seart
ch date isfound'
to tl
ae funeti
on of boti)tl
ae interfaced analyzefs
and the lnform system .
5.1.6 cAL ANALYSIS Guidelines
I'he tollow ing isa listofguidelinesand rulesfor
. Do no1pressany keysdurinj program operause wheo utilizing the Merge and Spoclling Func.
tions,orthe system may be affected,
tioos
. Do not purge calibration files before printing
the files.
5,2.1 Spooling
@ Calibration data is transm itted froln Corning
* Spooling should notbe used asa normalmode
analyzersonty.
ofOperation.Ttle spooling feature is intencled
to assist the operator during peak workload
5.1.7 INSTRUM ENT M AINTENANCE Guidelines
periods.Normally,the operatorshould analyze
each sam ple individually,identify and store
. Do notpressany keysduring program opera.
the data before inltiating another sample on
tions,orthe sysw fn may be adversety affected.
th
esame device.
5.1.8 SYSTEM M ANAG ER Guidelines
* Only two samplesmay be slored forone device
e The password entered forthe system M anager
. during spooling. lf an additional sample is
i
1
l
never
be
di
s
pl
aye
d
.
Do
not
f
or
get
t
he
transm itted on the device' the first and Iast
W
(j!
sam plesw iIIbe stored and the m iddle sam ple
passw or
Jost. Tbe two samples pooled include 1he
*. ln Forms Custom ization the previous entry
x mple which isdlsplayed butnotyetstored.
may be erased by selectlng tl
ae item number
d then pressiog ENDL.INET
.when prompted'
* Diagnostic data is unavailable on spoolecl
an
Sam ples.
forthe new phrase.
. ln vorm scustom izatio'n tlne com a'and ngcl.
:
* Tbe spoolin: feature may notbe used w ith the
'
''Selection?''
lL 282.
may notbe used w hen the prom pl
isdisplayed.W hen BAC K mav be used itmust
5
.2.
2 M erging
be entered in uppercase Ietters.
* Do no1attem ptto m erge ''Iike''analyzers.
@ In Password Custom ization, the com mand
BAC < may not be used when the prom pt
e A ''store''com mand wiltbreak the merge
''Selection?''is dispgayed.W hen BAC K may
function. lf only one of the analyzers has
be used it mustbe entered in uppercase letters.
transm itted data, and the operator stores
lfitisenlered in lowercase letters itwillbe
that dat?,thj data from the second analyzer
entered asthe password.
w iIlnotbe merged w ith the first.
'-

* Tl
o System Configurationfunctioniscomplext
progressthrough the selections slow ly.
@ ln System Configuration,the com m and BAC K
may be used when the prompts ''Selection?''
and ''Item ?''are displaped.BAC K may be entered in upperorIowercase letters.

* The 1nstrum ent Configuration function is

com plex, progress through the setections
slowly.

*. Each analyzershould 6e setup in a sim ilar

fashion,w ith matching units.ln otherprogram
modules,the labelsforalIconfigured analyzers
wiIIbe displayed as those setup forDevice 1.

* Ifthecursorisreturnedtoamergefield/the

m erge function w i11be broken.

* The merge labelonwthe screen and Jzrirllouts
w iIIbe thatof the analyzer indicated in the
Device field.There w illnot be an indication
thatr
sam pledata hasbeen merged from severaf
anaiyzers.
* Recafcu(ated vatkles are not available when
merging co-o:imeterdatawith blood gasdata.
To obtain recalculated values,interface your
Corning pl-l/Blood Gas Analyzer through the
Corning 2500.

* To merge IL.282 data w ith blood gas data, '

'

i
nitia
tesampleanalysisontheIL282.Allow
the t
jata transm isson lo complete,then initlate'

-' '

sample analysison theblood gasaanalyzer.

113

Inform lI1eev.A.9/8:3

Case 3:06-cv-00056-PMP-VPC Document 644-16 Filed 05/28/08

Page
41 sofpr44
d' xumber
ing Label
ovided
.
. wl
aen merging data from t
,
attem ptto run the device r'u-w involved inthe
- 'oneacbanal--tiloassistoperators.ina-ememmerse.
bering wbicl
a analyzer isconfigured asoevice 1
'
2 or3.
--.
?
5.3 UseofArchive Disks
6. Place the SpecialFunction Key Overlav in the
'
Fhe Archive disksperm itthe perman/ntstorage of
clips provided on tbe keybckard.Thi.
soverla'g
patientorquality controldata.On many occasions,
w iIIassistthe operator in rem em bering the cor-

6f .vices,donot

'-

s.placetlaeX

accers to this data m ay be required.To retrieve .

responlences between the specialfunction

(lata stored on one oftheA rchive disks,selectti

le

keysand the specialfunction key screen labels.

appropriate program module (I

RESPOIRT/ENTEF?/
EDIT PATIENT LIST ING or QC A NALYSIS).

7. OnI'
/ prl/Blood GasA nalyzers may be either

W hen'the program module has Ioaded and the

M ain M enu specialfunction keysare displayed,

Rfim ary oraccessory instrum ents.

insef-t the appropriate A rchive disk into Drive 0

to replace the Daily Data Disk.Pressthe ''disabled''
specialfunction key to allow system identification
c)f the archive disk.If in a Iisting program ,press
the ''disabled''specialfunction key'to accessthe
second Ievelof sp< ial funetion keys enabling
initiation ofthe Iisting.If selecting an individual
record .sel
ectthe item num ber from 1he menu,
and proceed with the selection.To remok'
e the
Archive dsk afteruse,return to the Main Menu
.
specialfunction keys,remove theA rchive disk and

'
'

'

'

replace it wilh the Daily Data Disk (in Drive 0).

Preis tl'
lfj ''disabled'' special function key ttl
continuew ith rouline operalion ofthe system .

A rchived data doesn't retain originalsequence

numbers. New sequence num bers are assigrbed
to correspond wilh 1he A rchivedisk.
*

'
)
. '

To initialize previously used data disks for

disk creation functions rem ove;IIdisks from
the drivesand turn the HP.
.86 off.Turn the F1P-

86 on,irksertthe dis
'k to be initialized into

--

.,

Drive 0.Type in theword initialize.Initialization wi11 take place, indicm ed by the disk
drive Iights.W hen the Iights turn off,the
di
sk is f'
eady to be used in a disk creation
function.

5.4 System Set-up Guidelines

--'--''-

1. Ifasystem iscomprised ofaCorningpl

-l/Blood

-' -

GasAnalyzerand aCorning 2500,interfacethe

blood gasanalyzerthrough the 2500 on the
sam e devicenumber,allow ing recalculation of
dala.
2. W hen interfacing an IL 282 the GPIO interface N
module m ustbe placed in m odule port1.The
device addressforthe IL 282 may be 1O,9 or8.
3. The m ost frequently used blood gasanalyzer
shoufd bese1 foraddress 10.
4. Prnters interfaced to thesystem should be set
foraddrerss8,the Iow est monitoring priority.

114

- ---

)
'' = '

Inform lI1Bev.A,9/83

Case 3:06-cv-00056-PMP-VPC Document 644-16 Filed 05/28/08 Page 42 of 44

Yh

6 0 Pedorm ance / p'ecifications

'
.

Thefollowingsection liststhemajorfuslctionsand
reportsavailablew ith the Inform system and glves
an approxim ate tim e fram e for1he com pletion of
eac;h function.
To printreports:
Sam ple Llsting:6 minutes for 100 consecuti
ve
sarnples.
QC t-isting:4.5-5 m inutesfor 100 QC sam pEes.

QC Levey-lennirlgs Plot'E; minutes for 100 data

pointspergraph.

I
DC Statsticsf2 rrlimltes for4 files.
CaI Report:5 minutes for 150 calibrations on
2 analyzers.
Diagnostic Report:6 m inutes for 100 diagnostics
on 2 analyzers.
M aintenance Report: 1 m inute for 25 entries n
1fiIe.

Oisk Functions:
Create Data Disks:3.5-4.5 m inutes.
Backup Data D i
sks:appctlximataly 20 mintptt?sfor

( . a datadisk (halffuI1)
.

Archi
ve Patient Data:approximately 17 m inutes.
A rchive O C Data:approxim ately 11 m inutes.
D m pling:
To processand store a patientsam ple from point
of data transm ission to disk storage and short
form printing;40 seconds
To processand store a patientsam ple from point
of data transm ission to disk storage,then to

R EPO BT/ENTE I
R/ED IT fora long-form report:

'

- -

approxim ately 3 m inutes.Inlerpretation requires

appoximately 10-15 secondsextra,P50 requires

approximately 8-10 secondsextra,
To processand store a QC sample from pointof
data transm issi/n to disk storage anJ short fornl
printing:approxim ately 70 seconds.

115

lnform 111Hev A,9/83 --

Case 3:06-cv-00056-PMP-VPC Document 644-16 Filed 05/28/08 Page 43 of 44

w e.k
'

w e'',

7.0 Servlces and Supplles

f
.

Thissection includesthe addressesand com munitza.

tion num bersofCorninq Medicaland Scientific for
obtaining service or technical inform ation and
catalog num bers fororderingaccessories.

7.1 Addressand Com munication Num bers

FO R ORDERING ACCESSORIES A ND SUPPLIES
W ITHIN THE CONTINENTA L UNITED STATES,

CALL CORNING (TOLL FREE)AT 1-800.255.3232

OR YOUR CORNING REGIONAL SALES OFFICE.
FO R INSTRUM ENT SERVICE AND REPA IR
IN FORM ATION W ITHIN THE CONTINENTAL

UNITED STATES,CALL CORNING (TOLL FREE)

A3'1-800.255.2121.
U.S.RegionalOffices
Northeast Flegion:
Corning M edicaland Scientific

North CentralRegion:
Corning Medicaland Scientific

Corning G lassW orks

8 14/816 Busse H ighway

M edfield,M A 02052 USA

Park Ridge,lL 60068

617-359-7711 (Sales)
1.800-255-2121(Service)

312-823-9066 (Sales)
1.
800-255-2121(Service)

'

(- ? Cor
Souni
thng
easMted
Reig
icln:
caland Scientific

Bl
essernRegion
c
CornIng M edicx
aland Scientific

2295 Parklake Dr.,Suite 400

Atlanta,GA 30345

490 San Antonio Road

Palo Alto,CA 94306

617-359-7711 (Sa1es)
1-800-255-2121 (Service)

415-494-0387 (SaIes)
1-800-255-2121fservice)

Seuthw estRegion:
Corning & edicaland Scientific
Suile 280
340 North BeltEast
Houston,TX 77060

'
'

713-931-0099 (SaIes)
1-800-255-2121 lsel
-vicel

'

.. .
-

For technicalapplioation assistance w ithin the

ContinentalUnited States,ca11Corning'sTechrrical

Information Center(TollFree)at1-800-255-3232.
(1n Massachusetts and outside the Continental
United States,call617-359-7711.)

( 1

117

lnform I1lRev.A,9/63 -*

Case 3:06-cv-00056-PMP-VPC
Document 644-16 Filed(
05/28/08 Page 44 of 44
(I
':r i
.

FOR INSTRUMENT SERVIC/wR FOR ORDER-

ING ACCESSORIES OUTSIDE THE UNITED

STATES.CON TACT ON F O F THE FO LLOW ING:

Asia-pacificArea

( '

Corning M edicaland Scientific

Corning K .K.
No.35 Kowa Building,31
:7
14-14 Akaska,1 Chom e
M inato-Ku Tokyo Japan

Corning M edicaland Scientific

' Crown Corning Ltd.
73 M ark Street
North Melbourne,3051
Australia

Tel:81-3.4 6-105

-pe!:61.3.329-0982

Telex:781-22165 clssA'
ro K

Telex:33735

Hong Kong
Corning M edcaland Scientific

France
Corning M edicaland Scientific

Corning (H.K.)Ltd.

11 Chemin de Ronde

GeeChangHangCeilre

BoitePostalNo.36

2()/FIoor,UnitsB and D

78110 LeVesine1,,France (Parish

54 W ong Chuk Hang Fload

Hong Kong

Tel:33-976.36.36
Telex:696380

.
'

Tel:852-5-524163/552126
Telex:74673 CISSA HX
Latin A m erica
-

'.

Corning Medicaland Scientific

Latin Am erica
Medfield ,N A 02052 USA
Te1:617-359-7/11

Corning M edicaland Scientific

Carrera7 No.67-57
O ficina310-B
Bogota Colombia

Telex:924420

TeI:231-6673

.'
(-'

V idrosCorning BrasilLtda.
Caxa Postal8972
Av Horacio Lafer545

ProductosCorning de M exico
Kelvin No.10 Cuarto Piso
M exico 11590;D.F.Mexico

'

Iteim-Bibi
04538 Sao PauIotBrasil

Tel:(905)545.
90.
72/531.
81.64
/531.44.93/531.66.74

TeI:55-11-210.
0022
Telex:1123714

''

Telex:01776389
-. . .-

.
-..-

CorningInternalonalServicm
Calle 1 No.275
'

Tel:(809)78i.4462
?81-4313

'

Puerto N uevo Puerto R ico 00920

United Kingdom
Corning M edicaland Scientific
Halsteadz Essex
C09 2DX ,England
Tel:44-1-787:
-472461
Telex:98204
Cable:E EL HALSTEA D

.
-

- '--

Germ any
lM A G.m .b.H.
Industriestrasse 9
D-6301 Fernwald-Annerod
G iessen
W estGermany
Te1:49-641..
41071
Telex:482971

C
.

118

Inform l11Rev.A.9/83

--'*

Case 3:06-cv-00056-PMP-VPC Document 644-17 Filed 05/28/08 Page 1 of 52

(
'

Cat.No.

Description

478443
478444
478445

lnform CriticaICare 1IIA rclnive PatientData D isks(10)

Inform CriticalCare IlIDaiIy Data Disks (10)
Intorm CriticalCare lI1Archive Quality ControlOata D isks(10)

478452
478434
478435

Inform CriticalCare llIUserGuide

1nform PatientData O fganizer
lnform QC Data Organizer

478436

lnform M aintenance/calibration Organizer

478469

1nform Critic-alCare I11M inlUserGuide

478405

SerialPrinterFan Fold Paper (3-p(y)

478459
478470
007320-001
478455

SerialPrioterR ibbon Cartridqe

D isk Drive Cleaning Kit
Device N umbering LabelsforAnalyzers
Inform CriticalCare I1IFleplacementProgram Disk Package

478475

f11ftrm CriticalCare lllSystem ManagerDlsk

1n the event thata System Program Elisk fails

contact Customer Service, 1-800-255-3232 to
request an 1nform CriticalCare IIl Replacement
Pregram Disk Package.Tbe liackup Dpsk provided
with the system may be used for 30 days or

30 Startups (whichever occurs first) untilthe

replacement package arrives.Upo:lreceiptof the
Fleplacem ent Package,contact CustomerService
to requesta return authorization num kler and m ai!
the originalSystem Prograrh and Backt
ap Program
Disks in thedisk m ailerprovided to:

( .

corningMedical

corning GlassW orks

Medfield,M A 02052
Attention:CreditReturns
If originaldisksare not returned within 30 days
of receipt of the Replacem ent Package,your
accountwillbe billed fora new software licensing

- .-. .

..

agreem ent.

-119

lnform lIIRev.A,9/83

Case 3:06-cv-00056-PMP-VPC Document 644-17 Filed 05/28/08 Page 2 of 52

- Aj

8 0 Appendices
!
'

.w I

'

' 8.1 InstrunnenlInterfacing

THE INTERFACE SW ITCH SETTINGS SHOULD

BE SET BY YOUR CORNING SERV ICE REPRESENTATIV E.
A $Ilaboratory instrum entationFw hetheranalyzer
orprinter,isconnected to the H P-86 via an inter-

2
.

face m odule installed in one ofthe thrfx?rem aining

module portson the H P-86 back panel.The first
m odule port isoccupied w ith the RO N?Idraw er.

*
.

Different instruments require interface modules

ofvarying configuration,to match thedata trans-

='

m ission formatoftl
y instrum ent.
fzorthe HP-86 system to distinquish betw een the
instrum enls connected each interfac:
e m otjule

o
.

rnust have a unique select code which the computercan use to addressthe instrument.In addition,the system allows1he instrumentsconnected

':
>

to be considered as Device 1 (Primar'

y),Device 2
(Secondary),or Device 3 (Tertiary)analyzers,

'
l

clependentupon the value ofthe selectcode.

Analyzers may be connected together to serialjy
transm itdata to the HP-86,through the governing
instrum ent,into one interface module.Networks

Figure21.InterfaceModule

ITEM

DESCRIPTION

of instruments may be configured and interfaced

Switch 1

lo the HP-86 in thisfashion.Interfacing a Corning

pld/Blood Gas Analyzer through a Corning 2500
Co-oximetersde-scribed in Section 8.1.5.
The folIowing settions indicatethe configurations
()f the interfaces required foralICorning instru-

Sw itch 2

ments,and competitive instruments (currently

acceptable for interfacing),and describes the

lfaprinterijto form partofthe1

-11:
7-86 system ,
the selectcodei'
oritsinterface moduIe mustbe

1 Printers

sw itch settingsto achieve the properconfiguration.

setequalto .,8,,.On S1 to obtain aselectcode
Note; Fevzision A of the lnform CritcalCare lll
e9L1a1to ''8'',se'
tthesw itch segmentsasfollows2
Dala Managementsystem may'be interfaced w ith
' se9m ent Setling

Corning 158,168,170,178 pl-l/Blood Gas Analpzers, Corning 902, Corning 2500 Co-oxim eter,

:
2

()

Corning 101/102 Prntersand the lL 282.

()

iZor disassembly of interface modules,and the

position ofadjustableswitches,referto Figure21.

Note:AlIprinterinterfacespurchasedfrom Corning

--

W i1Ibe ilFeset10 13SeIeCtCode eqUalto ?'9''

8.1.1 Setting DeviceSelectCode-AllInstruments
A11typesofinterface modules have a foursegment

switch (S1)thatis used lo determine theselect

code (address)oftheinterface.

-.

12 1

Inform CIIFlev.A,983

Case 3:06-cv-00056-PMP-VPC Document 644-17 Filed 05/28/08 Page 3 of 52

Tfhe interface isinternafty wire tr'passt
ve TransSwitch 2
'
- -J
settinss
s- ..cb segment
m itand passve'
Receive.
e
.- .-.
Instrum ent
1 2 3 4 5 6 7 8 9 10
Blood Gas
O 1 1 1 1 O 1 1 : 0
-

'.

.o

trgvljo//z(;()l
902

2500

corning 101k102Printers

1-leCorning101and 102Printersrequirea1
-113-82939A, 101/102

1 0

1 1 1 1 0

1 0 0

segment
1-parity transm lt
z-select parity
3-parity enabje

1 1 1 0

0 1 1 1 1 0 1 1 1 0

(eb'en/7200)

on switch 52 m ustbe setasfollows:

8.1.3 Connecting Corning lnstrumentsto lnform

criticalcare 11l
Some Corning instrumentsrequire additionalhardW are before they can com m unicatew ith an interface.The following lists aIl of the hardware,

Setting
0-No forced parity
.1-cven paritv
y-parity enable

4 Numberohstop biM

1-2 stop bits

incltlding the interfaces, that is required for

s-characterw ord Iengtl

a
(;characterword length

:-Fcharacterword
c)-7 characterword

Corning instruments capable of ioterfacing with

lnform .

'F-Baud Flate
8-Baud Rate
g Baud Rate

1-7200 baud
1-7200 baud

ls8 170 and 178 pH/Blood GasAnalyzers

'
Interface kit- HP to 158/170/178-part#475311

1-7200
baud
.
0-7200 baud

ltl
Baud Rate
-

com prised of.Cable Assembly-l

-lp IotertaceBlood Gas;part//005463-701

The interface isinternally wired forActive Trans-

PC Assem bly-printerblO Board .

#6,
.

m itand A ctive Receive.

part:
//002951-701

168 pld/Blood Gas Analyzer

..-

lnterface kit-l
-lP to 168-part#478446
comprised of:Cable Assembly-l
-lp lnterface-.

Blool3gas;part#005463-701
PC AssembIy-printerI/0 Board :
//6,
'

summaryofInterfaceSwitchSeuings
ForCornlng Instruments

Switch 1
Seu ings

(even/7200)

option 2 interface module (101/102 Inlerface K it

corning part4'005937-701j.The segrner?tslocated

f..

(even/l200)

Instrum ent 'e 1 2 3

Primarl
/
Secondacy
Tertiarv
Printer

:
0
1
1

1
1
1
1

1
1
0
0

pcAssembly-MemoryBoard#'
2'
.

part#()0486().7.
:1
. PC Assem bIy-Board //3.
'
part#005062-701
9n2 Sodium /polassium Analyzer
.Cable Assem bly- l
-lp Interface-goz part#478447
.

Switch Segm ent

0
O
0
0

part.
//002951-701

2500 Co

- --

oxim eter
1nterface kit- H P to 2500-part//478448
-

comprised of:Cable Assembly i

-lp lnterface-.
Blood Gas;part//005463-701
Cable lnterconnect;part#478458
-

'

101/102 Printers
Cable Assembly-H P 1nterface-printer-part
#005937-701

123

lnform IIIRev.A 9/83

Case 3:06-cv-00056-PMP-VPC Document 644-17 Filed 05/28/08 Page 4 of 52

102 Printer
-he switcheson thisprinterarc
- 6xt
jernatty aecess-

-1
ible.Figure 25 shows theirlocatiorlor1 the rear
''
.

3. Configure td '(3 board (PC board #6)w ithin

tk'e pn/elook
- ',sAnalvzeras.foltows..

segm ent

Setting

panel.

1.Input/o utpu1m ode

O pen

Com mon Sw itch forDataSelectlon antlM ode of

1- ransm ission should be setasfollow s.

2-BOard identification
a4-Even parity
2 stop bits
s-nnabla parity
(5-p2()()bautj
7-323)
0 baud

Closed
o pen
Open
closed
open
open

Segment
7-setfor1 Uni-direction 2 dlsabled
-'
e
z--setforcal+ Sampl
(Nhannel1 Sw itchesshould be setasfo1Iows'

4. Ensure thatthe 2500 internalswitcl)seqment

Segment
3-Setfor Parity O n
.
zl-set forParity Even
f5-Setfor2 Stop Bits
fs-setfor2Om A

5. Aftelm akinf
l allconnections,PovverO N tl
7e
blood gasanalyzer,then PowerON the 2b0O.

B clRm e SelectorSwitch should be

(wbannel 1 au

1L 282
Note:The It-282 may require additionalinternal
hardware before interfacing w ith tlne Inform
systern. Contact yotlr !L.Ser
-vice Representative
forthisinformation.

(S1-1)is open.

8.1.6 lnterfacing Com petitive Instrumentation

setat''7'',fora baud rate of7200.

Cbannel2 Sw itcbes t
jo notrequire settinf)sasthe
interfacew iIIbe connected to Channel1.
56

The fL.m odef282 requires a /r7-829404.GPIO

interface m odule. The segm ents located on

@
.

.-

1:Io
J-=:
w
.q.
$
-x*,
*
.
% . 9(
rG
,k'
.o
(.
t
lsksz'

Switch 2 m ustbeseas follows(Referto Figurt)

26):

'
;

..
oooomo:
oonzo o e
q
-z4! z1- 7i
,
o oooo*oooo
n o o
onoooooo oo

% (B
SI

:
$

Segment

Setling

1
p
3
4

..

6
y
y;

1
y
O
0

0
()
()

Figure 25.
o
1

8.1.5 lnterfacingCorningpl-l/Blood GasAnalyzers

to corning 2500 co-oxim eter

--

Data from a Corning pl-l/Blood GasA nalyzermay

The Segm ents located on Sw ith 1 are to besetas

be transm itted to thc HP-86 viathe Corning 2500

co-oximeter.The data may ormay notbe com -

indicated in Section 8.:.1 to setthe device select

Code.

bined with data from the2b00.To achievethis

l.hesoftwarewilladjustthesettngsoftheinter-

interfaceconfiguralion:
1. Use the interface kit Corning part num ber
478448 to connectthe 2500 to theHP3 6.

faceas required in each area ofthe program .

The GF'IO interfaee modufe m ust be focated in
module port 1.

2. Usethe interface cable partnum ber478457 to

connectthe2500 to the pk-l/Blood GasAnaly-

zer.
125

lnform 11IRev A.9/83

Case 3:06-cv-00056-PMP-VPC Document 644-17 Filed 05/28/08 Page 5 of 52

. oo notwriteondisk ja- -orenvelopewitk)

'

12.Usingtheke

alaardiostrument.wriv
t )tf)afelt-ttpped

af-terthe-entf.-'vt9ein.
thefollowing
.

pen,on the envelope only.

N1

ard,ancspressinq ENOL-IN:

M ASS STO RAG F IS '':D701''

*'Store betweej 10-52 deyrees C (50-1250F).

13.Press the R UN key.

* Keep the disks away from stronq magnetic

14.Afterthe disk drive turnsoff remove the

fields (transformers, magnets, large fixed

disk units).

Cleaning Disk froriDrive 1.

15 Check the usage box on the Cleaning Disk,to
.

2. Disk Data Storage

m onitorthe frequency oftlse.Each Cleaning

D isk m a'
/ beused for13 cleaning cycles
Record the date ofdlsk drive cleaning in.the
m aintenance file.

h A rchive Patit
ant D ata
(-opy PatientData to t e
Disk -weekly.
-

copy O uality ControlData to the Archive QC

Elisk -w eekly.

16
.

4-he disk drive unilsarenow available foruse.

Turn O FF HP.
.
86 before insertingdisks.

8.2.3 Disk Drive M aintenance

Clean Disk Drive Head -every 4 months or ifFfrror
1:30 conditionsoccur.
4-o clean the D isk D rives using the D isk D rive
CIeaning K it:
'
1. Rem ove alJdisks from the disk drlves.
2. Turn O FF 1he disk drive and H P-86B.
-'-3 'Tliri'-ON ttle disk drive and then the H P-8GB
4. Using the keyboard,and pressing ENDLIN E
aftereach line ofentry,type in the follow ing:

10 O N EFIIZIO IR GOTO 40
'

j
'

'

'

20 fZ0 R 1=1TO 150

30 1N ITIA LIZE
40 N EXT I
50 END

b. Remove theperforated tab from thejacketot

the Cleaning Disk.
6. Dispense2 mlofCleaning Solution onto the
Cleaning Disk atthe large cutoutarea on the

backofthejacket.

- . -

7. Insertthesaturated Cleaning Disk into Drive 0,

w ith the Iabelside up.C lose the disk drive
Iatch.
.
8. Pressthe R UN key.
9. Afterthe disk drive turnsoff rem ove the
Cleaning Disk from Drive 0.

'

10.Dispense 2 m lofCleaning Solution onto the

Cleaning Disk atthe large eutoutarea on the

backofthejackel.
11.Insert the saturated Cleaning Disk into Drive 1,
w ith the Iabelside up.close the disk drive Iatch.

..

>

'

127

lnform tl1Rev.A.9/83

Case 3:06-cv-00056-PMP-VPC Document 644-17 Filed 05/28/08 Page 6 of 52

8.3-2 R un T inle Errors
W arning

w e

''INTEFlFACU ER RO R 131IQlN E #''

- -

1
''1NTE FlFACE ElR RO fs #/L1NE #''

''EFlROR 56:ST RlNG OV ERFLOW ''

or
''ER IRO R 89:lNVAL!D PA RAM ETER''
''Ei
zlRO R 114.INTERFAC E''

''F-R RO IR 71:EO F''

Explanation

A ction

The serialprinterwas

Do notcycle powerto

turnedoffandonwhIIe

theserialprinterwhife

a disk rotation was in

progress.

the disk drive indicator

Iightsare on

Indicatesa possible faiIure

Turn poweroffand on

ofthe interface.

again on the HP.8G.lf

errorstilloccurs caII
service representatlve.

Data problemshave
occurred.

Record the line num bel'

iodicated and reportIt
to Corning.
PressSH 1F:T + iRESET.
W hen the cursorappears,
press RUN .
Press;H IFT + I
EIESET .
W hen the cursorappears,
pressRU N.

The system hasbeen in a

(
II-SOURCE program
fortoo Iong.
The system pointersare
confIicting,due to use of
differentdatadisks.

8.3.3 W arning M essages

flun sam plew arningsand M essaoes:

System M anagerW arningsand M essages:

-CALENDAFI EFIRO R HARD CODED: CA LL

svs-pEv NEcos Io..# on pAl'lpNl's NAM EE

SUPPORT PEHSONNELII!

1LLBGA L DATE USED

XIV EEFIW RITE W A BNING :LESS THAN 10
(-H IT 1CA L!!!!!
' A RCHIV E DATA DISK.NO INTERRUPT W lLL

-INTFHFACF NOT PRESFNT.

BE A LLOW ED
BA D TRANS O N DEV #
l3CD W INDOW OPEN
QC Sample Bejected

W RO NG I/F :BCD REQU lRED.

'
W RO NG l/F:SERIA L REOU IRFD
.W RO NG I/F:OPT.001 SER 1A L R EQ U IR ED.
w aoxcj I/y:s'rAjkoAno sEjqlA L.Iqpc!tjInEo .
'
'W BONG I/F:CURRENT LOOP R'
EOUIRED.

Ensc)to be repocted witl

asample

-1LLLGA I
-AccEsso Rv!!!

.
-

Y'

neport/Enter/Editw arningsand M essages:

Eitherpt.ID orpt.Name M us'
l be fnilled outll!
oc Analysisw arningsand Messages:
INSUFLFEICIEEN'I's/kvlppE slzE
-

-PLEASE PLACE THE PROGRAM D ISK IN D RIVF 1.

H lT 'CONT'TO CONTINUE.
-PLEASE PEACK THE DAILY DATA DtSK IN
.
D RIV E 0.HIT 'CONT'TO .
CONTINU E.
PLFASE PLACE THF SYSTEM D 1SK lN DR lV E 0.
' HlT ,CONT,TO CONTINUE
.

Archiving W arninm and M essages:

W ARN ING DO NO T USE Tf-IESE SYSTEM

D ISKS FO R DATA D ISK CREATION
W A RN ING A RCH lVE PO INTER M ISMATCH
ANA RN ING CHECK TO M A KE SUH E THAT THE
DISKS A RE IN THE CO RRECT DFIIVES
PLEASE PLA CE TI-IE PROG RAM D ISK IN
DRIV E 1. I
-IIT THE 'CO NT'TO EXECUTE
PROG RAM LINK.
PLEASE PLACE Ti1E DATA DISK IN DRIV E 1.
-IIT THE 'CO NT'TO EXECUTE PROGHAM LIN K.

'PI-EASE PLACE THE PROGRAM DISK.IN C)R lV E

0.H l7''CONT'TO CONTINUE.

.'

129

Intorm I1IRev.A.9/83

'

Case 3:06-cv-00056-PMP-VPC
Document 644-17 Filed
05/28/08
Page 7 of 52
ACID-BASE SI'AT
C
kTUS - 8OOM A1R
-

pn - '

iocoa
-''

pi
ls

Pcoz

7449

-.

)'
compensaled Resplralory

- 'igcoa

ALS/XW YP

< 35

NO

Pco:
U 45
'iO

so

x
lvsxojarj
ayrjewentltallon
w1lh m llcsh poxemla

Pcoz

<3s '-...- .<45

No

HCO3

uo

< 45

>26

M1rd Metabolici
ALKALEMiA

'

1l!o
NO

YICO3
s a6

P
;coz
45
Pc.o2
>35
No
F'coz

t
sr361

..-

p
cog

'K

d4s

HCOa

V
< 1x
PO2
a:()63P

No

--

Compensated Resplratory
ALKAL.EulA
.
-.--Partially Compensated
Melabolsc ALKALEM
IA
.

HCC):S

ml
1d hy
.pc
i
xe
- m-d
a
--.-

PCO2 1
< 25
DO
pcoz
<45
NO
PCO2

IE45

< 063P

G
omblned Resplratory

ar
gjAlellpsld
c ALKJIj;qu j/q

so

Alvetllaf hypobentkialloa with

Alh/eokarhypoventllatlon wtlb
mode
ate
a --.r
- hypoxeml
Alveolarhypervenlllalton

WItu severehyp:xemra

.--

---uormalalveolarvenlllatlofi
wlth sevefe hypoxemia
-- - -..

- .

Alveolart
aypoven!Ilall
on

k..Ie

GIVFOIarf)8Poventplatlon

p
(gl
2yc
4o
5z
c
ltxi

U
ncompensAated Resplratof
y
ALKALEMI

AlveolafhypovenlI1a1100 wllh
m lld hypoxem la
- ..-..
.-.-

aK:l(k) .--. moderale h1J

?oxefnla ---

Pcoz

< 35
xo
PO 2
< 4s

wljpjseverehypoxe
a-ml

Pcoz
PCO2
< :k5
No
PCO2
< 45
Flo

02 STATUS - ROOM A1R

K
Alveolarhypewenlllallon
wllh sevece hypoxemla
''
Normalalveolafventilatioo
with severe hypoxemia
-

No

Pc02
?r45
-.

Po2
:0.95 P

Pcoz
<35
N0
P0 2
<45

<,
Pcoo
'e45
.
.

)
Po2
-!
- ----.x
PO2
n 50

Nofm alaiveolacveotkialloo
m !a
wllh Irlodelale taypoxe
.-..-.--

--- N

Po2 '

- .

< 1(X)

..

Apveolafhypervenlllatlon wltfl
M oderate hypoxem la
---

bio
K
< 1(X)
-

' '-

>26No --- - . .
-

.- .

'

Alb'eolart'ypoventllathon wllrk

a:1(x)
-'L

Uncompensaled Metaboilc
ALKALEMIJI
-

'

.s-<,
'

M
!1clFlespl
HCOg
ALKALE
klIArtllofy
> 22
--'
<)
Paqially Cofnpensated
ldcoa
Res
M 1,A.
tf22
-..p
-I
r-ato-l
y. AL
.- .KA
. LEE

F'0 2

-.- -

K
moI
i
r
u
mh
ay
lp
Vo
*x
Re
11
m
I
aI
1
a
6t)nwIIh

No

tqo

-...f-.

--.

---- ' ''

Combl
ned
Re
ratofy IA
j uej
abol
'cspl
ALKAQEM
aa(
'

-'

PCO2
HCO3
< 35 '- > 26

-P
-co2

Y91 aase

pcoa C*- '

N0

Z1F-!H'
'A'I
WK
'''MW'
W'''A
-- '
r1onM AL

< 45

PH >
7 499

z(
)i!3p -

compensaledMetaboI1c
--

Pcoz

pH S
7 499

F
r
O2
PO2

K
!:1(X)
. .= .
K--16< l(x)
@(
e 1(X)
jl N
<1(x)

po2
:S60

O
Alveotarlnypoveqtilatioo
with severe hypoxemla

Pt72
S Z)

A1veolaf hyperventilatlon
No

Ir

A1veosarhypoventilation
with normaloxygenation

Normaialveolarventiiation
with nofmaioxygenation

PtDO2

Po2

<)

8t702
< 35
*0
pcoz
< 4s
xo
Ikoa
lr45
p
1qq
02
*0
Pcoa
< 45
XV
pcoz
a:45

AlveolarhypoventiIatlon
wilh aofma!oxypenallol

cxy.,o..I' ''Mz.
Foh': o.<.M u

p'coz
< 35
-- 'NO
-f:c.oJ!. . < 45
jnco2
l 45

Alveolarhyperkenlilation
with adm uate oxygenation
-

Normalalvecllarventilatilm
with normaloxygenatioc

<1:x)

Pt72

Alveolarhypoveolilatlon
with severe hypoxemia

K
l1(X)
NQ
K
< ,(x)
''
22l(X)
no
K

OcSTATUS(SUPPLEMENTALO2h

.-

Alveolarllypefventllatlon
Hypoxemla uncorrectec;
--NOHMAL VENTILATION

Hypoxemia uncorrected

.-

-guveolarhypovenlllallorl
ldypoxem ia uncorfeclecj
-

Alveolar hypervenlisatlon
kj oxerrtka correclvxdYP
NORMAL VENTILATION
sYpoxemia corrected

-Alveolar Hypovenltlallon
FlkRoxemla Correcled
Alveolar hyperventllation
HYgoxefflia EXCESSIVELY
Cofcled
NORMAL VENTILATSON
Hypoxemla EXCESSNELY
C;orrec!ed
-Alveolarhypovenlllallon
Hypoxemta EXCE'SSIVFLY
oorrected
-

C''
p'''g'L' ''Ma'F''''@ Q''<k x'11

131

lnforrn I1iFlev.A.9/83

In loCase
r'rl'
l ouAul'rvcrauvrnouF'ILDocument
EASSIGNME
NT
3:06-cv-00056-PMP-VPC
644-17
Control:

1Anaiyz
er:
Start

'

Lot

>
End

Filed 05/28/08 Page 8 of 52

Control: .,
Control:

antrol:

c
.
/i
alyStze
r:
Lot
art

End

Anal
yzer:
Slart End

Lot

Analy
zer:
Start

Lo'
t

End

Control:
Analyzer:
Lot

Start

Control:
Analyzer:
End

Lot

Starl

Control:
Analyzer:
End

Lot

Start

Control:
Analyzer:
End

Lot

Start

End

J
'

-...

Control:
.

Analyzer:
Lot
Start

.,
j Control:
End

Analyzer:

Lot

Start

q .jControl:

I IA nalyzer:

End

Lot

Start

.
4 Conlrol:
I

End ' Lot

Anaiyzer:
Star'l Y nd

Inform tI1Flev.A.9/83 -'

v

Case 3:06-cv-00056-PMP-VPC Document 644-17 Filed 05/28/08 Page 9 of 52

'-

)
we
4.2 Basic program Operations
This section serves to introduce the operator to
thebasic (ja.
g to csaskoperation oftae nform sys.
tem . Progression through tl
ae progral
n modules
i
r
ed
f
or
t
he
anal
vs
i
s
i
c
l
ent
i
f
i
cat
fon, and
requ
,
storage of patient sarnples and quallty contror
m aterials isoutlined.

<#
jram m odules are fgaslly accessible from the
SOURCE dispfay. TL7: SOU RCE program servils
to maintain ttle samping rate ofthe anatyzers on
t%e S'
/stem ,While providlng naooitoring and othel'
d3tS3m lngilmeotCiboilbilities.
'
Tkae souncE dtspiay is clivided into five basic

4,2.1 SO UR cE Description and Display

The S0U RCE program isthe centerofthe 1nform
system .W heflutiIizing SOU RCE,the 1nform svstem m onitors multiple instruments during their
operation,and distribules the data generated to
the appropriate patientand quality controlfiles

* SpecialFunctton Key Screen labels

* lnteractive Dlsplay
o
@
ata ar
ad calculation D isplay
* V onitored InslrtymentStatusD isplay

areagq
-

The m onitoring and data base '

functions are per-.
form ed autom aticalIy allow ing the operator to
pe

* Data Base Status D isplay

.!-j
ae specialfzunction Key screen Iabelsare Iocaled
acrossthe Iowerportion ofthe screen.These labels
j
correspond to 1.je speqialfunction keys on the
j
-jrp-a: keyboard.The keysareactive when a screen

rforrn basic Iaboratory procedures,and basic

system procedures,such asinformation entry and
reportprinting
.
The screen display utilized by the SO URCE pro.
9ram is unique. The SOURCE disptay includes
1he follow ing information:
.
@
@
e.

Iabelis displayed in the inverse video green boxes.

The keh/sare inactivewhen the boxesareefnpty.
AfterSelecting a program module, 1he program /s
key is turned off,inclioated by a normalvideo
dispjay.pressing thatkey agalflwiIIchange the
specialfunction key labelsto comm andswithin tl
ae
program .
'
The (nteractive D isplay is localed on tj$
e jeftsicse
ofthescreen. Thisisthew orking partofthe screen
,

the menu of the accessed program module

transm itted,manually entered, oredited data
the statusofthe instrumentsbeing m onitored
the remaining capacity of tbe data base

. the specialfunclion key screen labels (see

Fi
gure8)

usedbytheoperatortorunthesystem Themajor
.

7-h
e lnform system SOURCE display has been
clesigned to maxim ize operator and instrument
lh
roughput. Cursor control using END LIN E
for
,
m ovement to data entry tields allows tl
3e
operator to quickly enterand edit dala
. Speci
al
function keys correspondi
ng
t
o
f
r
eqt
l
ent
l
y
per
form ed functions allows performance of thesef
uflclions w ith a single key selection. O ther pr()-

E '

t.

com ponentsofthe program selected from tlne M ain

M
enu are displayed in thispartofte screen. Inforti

ma on requcsted by the system'is entered or

selected via thissection ofthe screen. Theaccessed
am m odule i
projr
savailable foroperator inputs
j
k
i
l
e
SO URGE m onitors the sh
gstem and stores
W
,
tjle data Thesystem automatically ret
urnsto the
d
efaultM ain Menu specialfunction keysalIow ing
.

quick accessto olherprogram s.

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Figure8. SOU FlCE D isplay

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Inform IIlFlev. A .9/83

Case 3:06-cv-00056-PMP-VPC Document 644-17 Filed 05/28/08 Page 10 of 52

l

Y e

'

15nter....., .............. ''V L-N'f MO DF''+ pressEND LINE .

Exam ple:''Bearblowby''+ press E.ND LIN E forthe verltilatortype and status.

Enter..................... ''Fqesp.Rate''+ pressEN D LlN E.

Fxam ple:''20''i.pressEN DL IN L- forthe respIratory rate.
iEnter ..................... ''V olum e''+ pressEN DLINE.
Example:''1000''+ pressFND LiNE'forthe palfentorventilatortidafvolume.
Enter..................... ''A rea''+ pressEND L.IN E.
Example:''CCU''+ pfessEND LlN E forCardiacCare Unit.
IEnter.....................

''Physician + pressEN D !
-lNE.

Example:''Johnson''+ press END 1-lNE forphysieian name.

DATA T RANSM lSSION ......

Data transmitted from EIEV ICE appears irlcenterportion ofthescreen.

Inform Response............

SpecialFunctiorjKey Screen Labelschange to allow sam ple identification.

LJ

)
j'

'

4.2-4 Basic SO U RC E Program O peration A fter

D ata Transm ission

Iftheoperatoris in the processofentering patient

dem ographicstora device differentfrom the tralls-

Transm ission ofpatientsample and quality control

data som etimesoccursw hiletheoperatorisenter'
i
hfough the Interactive display.The
7g dala t
ll
nform system alIow scompietion ofthedata transm ission, so thatthe performance of instrumentation is no1 degraded.The cursorw illdisappear
during data transm ission,and reappearaftercompietion.The SOU RCE program w i11display the
transm itted data in 1he center portion of the
screen,and w illalter the SpecialFunction Key
Screen Labelsto allow sample identificaton.The
DEV ICE numberw ilIbedisplayed to identify the
source of the data.The operalorw illthen enter
dem ographicsand idenlify 1he data.lftheoperator
isin the processofentering dem ographit
:)
s forthe
data transm itled, continue to input the data and
identify the r mple.

m itting device,SOURCE w illtemporarily store the

dem ographics,allow ing identificalion and storage
0f1he transmitted data.The stored demographics
w i1lbe displayed afterstorage ofthe lransm itled
d'til'
CAUTION :The operator must be aware ofthe
activitiesbeing perform ed on thedevicesintrfacing to the lnform system . It isim portantto w atch
fordata lransm issions, so that the.demographics
and identificationsare correct, and correspond to
zne data
.

22

Inform I1IFiev.A.9/83

Case 3:06-cv-00056-PMP-VPC Document 644-17 Filed 05/28/08 Page 11 of 52

* #

w .

Fnter.................. ..
''Trlm p''+ PressEN D LIN E.
Exam ple:''38''+ PressE'ND t
-IN E forpatient's tem perature In dejreegCentlgrade.
-

iz
nter............. .. .... ''D raw n''+ PressEiN D LII
'.
IE.
Exam ple:''101
30''+ Press END C.IN E fora sample drawn at 10 00AM .

Fnter,............... .... ''F102''+ PressEN D LIN E.

Exaf-flple:',45',+ pressEND LlN E forinspired oxygen in %.F1Oz entry isrequirad forinterpretati
ons.
iznter.....................

''VentM ode'''
FPress EN D LlNE..

Exarnple:''Bear,blowby''+ Press END LINE forthe Ventilatortype and stalus.

Enter..................... ''Resp Flate''+ Press END LIN E.
Exam ple:''40''+ Press EN D LlN EEtorpatient'srespiratory rate in breathsperm inute.
Enter..................... ''V oIum e''+ Press EN D L.lN E.
Exam ple:''500''+ PressEND LIN E forpatientorventilatortidalvolume.
Enter..................... ''A rea''+ PressEND L-IN E.
Exam ple:''IC U''+ PressFND (-IN E fora patientIocated in the Intensive Care U nit.

Enfe'r..................... ''Physician''+ PressEN1

7LINE.
Exam ple:''Johnson''+ Press END LINE forthe attending physician name.
DATA TRANSM ISSION ......
-

The sample dala transmitted by the anaiyzerw illbe displayed in the

Dala/calculation Display,aod the Identify Sample SpecialFunction

keyswiltbedisplayed.Duringdatatransmission,thespecia!function
keysw illbe turned off and the cursorw illdisappear.

'

k.

32

Inform IIIRev.A .9/83

Case 3:06-cv-00056-PMP-VPC Document 644-17 Filed 05/28/08 Page 12 of 52

lnform Response............
.

Tinedata isreformalted on thedisplay to includethe QC FiIe speclfications.The l

-evelnum berspecialfunction key screen I
abelswiffbe
displayed.

Press .....................

LFVEJL #.

D isplay ..................'.

'f'he Action Limitsofthe sesected Level.

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Press .....................

S'IORF GC

Inform Response............

StoresOC dala in tlne appropriate data base.lfselected,a shortform

rabel
I
eposf
twi
wli!llbebedpisrpi
nIaye
ted'drheMai
nMenuspeci
alfuf
ncti
onkeyscreen
.

Note:lftlne QC sam ple data isuqacceptable,press

REJECT QC,to remove the data from alIstatistical
calculations,then pressSTO RE QC to store the re-

j/cteclsamplein theselpct/d filf?.To reselecta file

number,redispla: the F1L.E specialfunction key

screen Iabelsby presslng BA(2K.To (jiscard the

datawpressBA C K to relurn lo thepreviousspecial
funclion keys,and then pressD ISCA RD .

Corning 178- 1

09/03/53 15 ,39

Corninq 178-1

OB/O3/B3

15154

1PT

FiTer 1
Levelz 2
Instruentz CORNING 179
Controlz CONFIRM
Lbt#r 2882
Limit Typer 4BS
Techn c ian z
Reaultsz mccepked
MEPSURED
t
'
'''

PH
PCO2
P02

7.432
4 1.1
%7.2

' PH
PC02
PO2
BP

OLD 7 .380
OLD 38.0
OLD 83.8
76B

NEW 7.382
NEW J8.O
NEW 88.5

Figure12.calibratipn sbortForm Report

'

RANGE

7.:588 - 7.42e
3O.6 - 42 .6
9 1.dp - 11 1.8

Figufe 11-Quality ControlSam ple Report

34

Inform I11Rev.A 9/83

Case 3:06-cv-00056-PMP-VPC Document 644-17 Filed 05/28/08 Page 13 of 52

'
.
'

u .

4.9 SYS-I'EM M ANA GER-K;

'
Tbe SYSTE'
M M ANAG Efzlprogram mtldtlle restdes

4.Acid/Base Breakpoints
Uocomp/partialCornp

(
n the
syst
em
M ana
ger
oiskal
.The
sys
tem
Mana
f)uoct
ions
da
alwj
th t
beover
lcoof
jj
lor
atjon
ofjer
t#le

F'
lftiali'/Oornpensated/
qormalpl-l

A csdem ia

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Case 3:06-cv-00056-PMP-VPC Document 644-17 Filed 05/28/08 Page 16 of 52

Case 3:06-cv-00056-PMP-VPC Document 644-17 Filed 05/28/08 Page 17 of 52

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No.CV06-00114
ETREPPID TECHNO LOG IES, INC.
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DENNIS MO NTG OM ERY, ETAL.

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Adm itted:February 7,2006

RO NA
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By

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DENNIS OR BRE~DA MONTGOMERY

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230

235

Exh ibit 3

2 38

240

Exh ibit 4

245

217

Exh ibit 5

247

248

Exhib it 6

253

254

Exhib it 7

2 54

256

10
11
12
13
14

15
16

17
18

19
20
21
22

23

24

LIZA CHAPEN, CCR: RMR

(775) 323-5492

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 6 of 222

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REN O , N KVA DA , i13u e F.

5C1a y , 'eb rt2a ry 7 : 2 0 0 6 , 9 :0 1 A .M .

- oOo -'

@$

1'H E C()U R'

1':

G o od nlo rn in g .

Plea s(? i)e seated .

A l 1. r.L(
Jh t .

W e 're .
Ln se s s i on f o r

C V 0 6 - 00 1 14 .

Pre lim i.nary InjuIRc1.ion .

l0

nO:01

W e '17e he r e fo r cp h ea ri n g o n a

W o u 1 c1 c o un s e l s ta t e y o u r a pp e a ra n c e s fo r

t he co u rt re p o r t:(7r .

0::04

11

M R . PlrE'
.K :

G oo d m (3rn i.n g r y ou r H on o r .

12

S te p h e n E'ee k o n L)e h a lf o f th e P la in t i ff ,

'

13

e'
Pre p p i d T e c hn o lo g i
.E,s .

14

A 1 so w i 1r.l
't m e t hi s mo rn in g , an d yo u si gne d

15

t he o rde r on th e p r t) h ac v ic e , is Da v id Ja kop i n ,

16

c o -c o u n s e 1 ; D o u g E'r 5,e , l
na na g e r o f e T re pp id ; a n d

17

Wa r re n T r epp , a 1.
so rrtan age r a n d ch i e f exe cu h ive

18

o f f 1ce r o f e'
P re pp id .

19

T H E CO U R T :

A 1 1 r ig h t .

20

MR . LOGAR :

You r Hon or r i f i t p lea s e the

t,

Thank you .

21

C o u rt , I 'm Ro n a ld L o ga r rep r e s ent ing t h e De fe nda n t .

22

a lo n g w it h M r . E r5c Pu 1v e r i n m y o f f ic e .

23
24

1 w o u ld li.ke to i n t ro du c e t o y o u a M ic h ae 1
J . Flynn .

LIZA CHAPEN, CCR, RMR

00:o4

(775) 323-5492

o0:04

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 7 of 222

*.- #

' M R . FluY H N :

M R . LO GA R :

pro hac vice has been made .

T h e ap p l Lc a t io n f o r ad m ia s io n to

T h e M a ss ac h u se t ts Ba r ha s s en t a

00:05

Certificate of Gocd Standing to the State Bar of

Hevada .

a pp ro v a l .

The State Bar of Nevada has issued its

lt wa s over-nighted yeste rda y to my

10

office .

It sho uld be received by Federal Exp ress

11

about 10 :00 or 10 :30 th is m orn ing: h avinq complied

12

with the Supreme Court rule as to adm ission , and we

13

a s k t ha t M r . F'A y n 11 be pe rmi 1.te d t o a p (7e a r in th is

14

m a t te r o n b eh a 2 f ()f t he De f en d Esn t .

15

M R . PE L'K :

Y o u r I1on 0 r , 1 w o u l d h av e no

l6

objection basecl o11 t14at reJ)resentation that it is

17

b e i ng o v e r - n i g h te d an d s h ou ld b e h e re t o d ay .

18

accep t Mr . Logar 's repre sentation as an o fficer of

19

this court .

20

So 1 certainly -- although I 've not seen

the p ro hac v ice application , l expect the Bar to do

22

their job .

21

TH E COIJRT :

A l1 right .

On th at basis ,

that will be fine. We'1l allow that.

L1ZA CiIAPFIN, CCR, RMR

(775) 323-5492

ao:os

Qo:0s

21

23

M r . F'Ly n n is a m em b e r o f the

M as sa c h u se tt s B a r.

G o od Ino rn in (
g y y(7u r ilo n o r .

.. .

oo:os

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 8 of 222

.
,..

....,

1.

M r . PlRilir) S tillman .

good stancikng o f P()th Lhe Massachustts and the State

B a r o f C a l f o rn i a .

Mr . St ktlman is a member in

He has mcde application to the State Bar

o f Hev ada fo r admission and app rova l p ro hac vice .

His Cer tificate of Good Standing w as sen t to the

State Bar 's office in Las Vegas yeste rday b y the

State of California .

10

It 's expected that the State Rar o f

11

Massachusetts wi . l send the Certificate of Good

12

Stand ing to the Las Veqas office tod ay , and then the

13

Las Vegas office will issue its approval and we

14

expect that w ithsn the n ext tw o days .

15

An(
-1 t he IA 1 'd 1. i ke to in t rod u ce

M R . L ('
)CJh R :

The de lay on Mr . St i llman is due to the

16

fa c t t h at M r . Stlllman p rov ided with his app lication

17

t o t h e St a te B a r r ec e nt adm i s s ion b e f o re a F e d er a l

18

Court in the State of California ; however

19

was b eyond 30 days ' tme o f issuance from the date of

20

app lication , the S tahe Bar sa id they needed something

21

more current , so that is the --

22

MR . PFEK :

00:06

00:06

since it

Your Honor, absent the app roval

23

by th e State Har , E would object to his admission

24

until the State Bar has at least had its opportunity

LIZA CHAPEN , CCR, RMR

00:06

(775) 323-5192

:c:qn

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 9 of 222

%..e
.- s
8
1

2
3

E wou 1ct ()L)ject unLil thaL process has been

a pp ro v ed .

MR . S'
T JL J=MAN ;

'filF, C '
3 t.
IR'?:

No .

M R . 1,'
3(;A 11:

W e 1 1 , y o u know , yo u in d ic a t e d

Y ou r ilo no r , m a y 1?
M !:. L o C
Ja E .

co:G?

to u s , yo u r H on o r , w he n w e ha d o u r me e t in (
g 1 a s t w ee k

t h a t y o u h a v e 13a :i s(lme d i.ff ic u ).ty w it h t h e

r ep r e se n t a t io r4s :)1 (7c)un se 1 j.n t he p a s t .

10

1 do n 't know how t o re spo nd to th a t

o t he r

11

than the fact that Lf there was any ind ication by way

12

o f either M r . Elynn o r Mr . Stillman that there wa s a

13

p rob lem , the app lcation would not have even been

14

filed , no r w ould : have considered the assoc iation .

15

1 ma ke the representation to the Court in

16

good faith and a sk that Mr . St illman b e allowed to

17

participate subjact to approval and an order signed

18

b y th ks C ou rt thts w ee k .

19

t.o ve t an d re ce ivE', .
i.t yo u kli1 1.r a nd t he n ap p rov e .

M R . PEEK :

oo:07

oo:ca

Your Honor , if this were a

20

situation where there weren tt alread y ab le counsel --

21

I count four at coun sel table right now -- to

22

rep re sent M r . M ontgomery and the Montgomery Trust , I

23

probably would not have that objection, and I also

24

knowr respectfulky to Mr. Logar, whose

LIZA CHAPEN, CCR, RMR

(775) 323-5492

00:08

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 10 of 222

..,

rep resenta tions E accept, buL he do es not speak fo r

t he St a te B a r .

29o u n 1ni L the FJta te B a r h a s sp o ke n , I 1:h n k

Lhat frty ob ject ion 1arder SC'R Rt.h1e 12 is we11 taken and

shou lcl b e hono re (1.

DD:8

T H E C (3U RT :

We 1. l , th e ru 1e , i f I re c a 11

it , S C R 42 , sa ys t 14ftt unt i1 app rova 1 and the o rder i s

s ig ned , t.h a t L h e o t4t:-o f-s t a te c ou n s e 1 sh a l l n o t be

a 1l ow e d t o a c t iv (a1 y p a rt i c ip a Le .

10

1 thiIRk w ith this objection, 1 'm L)ound by

11

th e r u le s o l c a 14n ()t. -- 1 w j 1l a 1 1.ow th e f i r st

12

g en t lem a n t o p a rt i(Jp at e , b u t 1 c an n o t. - -

00:09

13

M R . L()G A R :

I u n de rs t a nd , y ou r H o n o r .

14

T H E O ()U R 1':

T f it w e re n 't f o r t he ru le , I

l5

wo u 1d .

00:o9

16

M R . L()G 1$R :

1 14nd e rs t a nd .

17

T H E C()U R7':

Bu t o n e o f t h e th inq s I 1m

18

fin d in g o u t t h e ko n (
;e r 1 ':(t u p h e re is th e re a re a 1o t

19

of things that jlzdges thin k the y can do that., if you

20

re a d th e ru le , th e y c a n 't , a nd th is i s o n e o f t hem .

21
22
23

....-

24

1 t h i11k th e ru 1 e s a y s ''s h a 1 l n o t. '' an d

s o -M R . LOGAR :

W e 1 l , t ha t i s ''p a rt ic ip at e z''

but I b elieve that bt 's p erm issible , M r . Stillm an can

LIZA CHA PEN, CCR, RMR

(775) 323-5492

oo :o9

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 11 of 222

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'--.r
1()
.

> -

l
$

..

. ..

- .-

co n fe r w t h u s .

rl'H K '
.-()U P.'
1':

problem w ith thitl .

a b l e t o ta l k t o h i m .

O h , su re .

1 d o n 't. se e a

! don 't see a prob lem with being

1 th ink tha t the ru le ta lks about

pa rticipate in settlement con fe rence s and various

other thing s, b ut. 1 cion 't see -- I d on t see that

the re w ould be any reason why you co uldn 't confer

w i t h h im .

10
11

MR. PEEK: And 1 have no objection to him

TH E C()URT :

13

MR . PEEK:

15

Righ t .

It's just a matter of

partic tpating .

THE t'
-'CIUFT :

Well, I 'm hop eful that we lre

16

not go ing to have , you know , ev ery time there 's a

17

a r g um e n t , th a t e ve ry law ye r o n e ac h s id e i s g o in g to

18

sp ea k, anyway ; f 'd like to try Lo keep it a little

19

b it m ore o rganized than that .

20

21
22

So I thin k thak we bre going to have som e

con ferencing on :,0 th sides .

M R . PEEK :

Your Honor , with that in m ind ,

23

1 1m m ind ful of that rule and ge nerally what I have

21

seen is that if 1 ,m presenting a witness r I pm the one

'

00:09

s it ting be fore the Bar either, your Hono r.

12

14

09:99

LIZA CHAPEN, CCR, RMR

(775) 323-5492

norlo

0o:1a

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 12 of 222

.,... .
- ,.
)1
k

maki-ng the 0bjec 1)i)n; if M r . Jakop in is p resenLi-nc.l

the witness, he's the one maktng the objection .

1 a s s um e t h a t th a t w l l b e th e p r o ced u r a l

order of this Cour t. today , that whoever is presenting

that w itness or cross-exam in ing will be the one

making the objections.

'
l'HE COURT :

Yes, 1 fd li ke to

try to do that just for the purpose of order and

o rgan ization .

10

A gain , you know , i 'm in terested m ostly in

11

find ing out what the truth bs here and so that 5s the

12

first qoal ; procedu ra l propr ietary is th e second one .

13
14

somebody needs to sa y som ethinq and it 's not

15

something that we fre doing a l1 day long , that fs fine .

17

r ea d y t o p ro c ee d ?

MR . PEEK :

W e are ready to p roceed r your

Honor .

20

THE COURT :

A ll right .

21

MR . FLYNN :

Good morning , your Honor .

22

Than k yo u for granting m y adm ission .

23

Befo re w e proceed , 1 need to add ress the

24

00:11

So w izh that in m ind r M r . Pee k, are you

18
19

o:lo

So , you know , if something come s up that

16

1.

A 11 light .

00:::

eu:11

Cou rt about an u rgent and immediate p ro cedural

LIZA CHAPEN: CCR, RMR

(775) 323-5492

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 13 of 222

-.
.
,d)
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rk;4!
.
.

1
t

T H R C.()U R1':

Tb11 r i.q h t).

M R . FiuY Ht4 :

A ;1d 1 '::t g o in (; t o b e 1 i.m ite d a s

. .

t o how m u c h 1 c an fle s h o u t t)o the C ou rt b eca us e o f

the na ture o f w hitt 1 'm go tng to desc rib e to the

C ou rt .

Let me preface my remarks by saying that

what we lre invo lved in here is of the highest , most

secretive , m o st urgent, m ost imm edia te cla ssifed

10

security info rm ation r that I th in k, afte r the Court

11

gets an idea wh at. it is, will agree w ith m e , that can

12

be possib ly imagined by this Oourt .

13

00:11

00:12

S o a t t h e o u t s et , w e 're d e a l tng w th th e

14

fact that who has a security clea rance in the

15

courtroom and who does n ots because everyth ing 1'm

16

go ing to describe pe rsphe raliy involves th is secret

17

i n fo rm a t io n w h i ch g o e s t o t h e h e a rt , t h e c o re i ssu e s

18

o f wha t th is Cou rt ha s to decide , includ ing the core

19

issue of what prop rietary inform ation is involv ed and

20

who owns it .

21

p r ob 1 eIa w . th re C
ga r d t)() h 0w w (? p ro (
7e ed .

oo:w

The dichotom y existent with in eTreppid

22

T echnolog ies : between the o riginal deal that w as made

23

u nder the Contribution A greement , wh ich I understand

24

the Court ha s seen , for data compression technology

LIZA CHAPZN , CCR, RMR

00:12

(775) 323-5492

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 14 of 222

..

M R . P CFK :

M R . F LY I1II:

M R . P ZFK :

Your Honor, I -T h e it
ssu e s --

1 app reciate counsel 's

eloquence , bu t t hjs is not a filibuster .

a motion to be Inacle , Inake a l

notion .

1;

ha s been m erqed into b y the Pla intiff .

lf there 's

r e ad y to p ro c ee d on m y m o ti on .

lf th ele 's a motion to be made , as opp osed

10

to the sup erlativi.s and the filibu ster, 1 'd like to

11

hear the m otion so that we can add ress if hhere is a

12

motion of urgency to be made , but otherwise I 'd l ike

13

to p roceed w ith my case .

14
this .

16

from Mr . M ontgom ery and 1 don 't want one more delay .

18
19

00:13

The C ou rt to ld u s we only have today to do

15

17

00:13

You a sked if I was ready to p roceed ; I 'm

('

....,

W e have already had over tw o weeks o f dela y

on:1a

So I wcuatcl a pp re c ka t e , y ou r Ho n o r , t h i s i s

m y case , I 'd like to proceed with my ca se .

THE C DURT :

A 1l right .

I believ e he 's

20

prefacin g what he 's saying as a p re face to som e kind

21

of a requ est or mo tion .

22

MR . FLYNN :

That 's correct , your Honor .

23

If the Court will indulge m e --

24

T H E C O I)Rr2:

1 w i1 1 .

LIZA CHAPEH, CCR, RMR

(775) 323-5492

00:13

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 15 of 222

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M R . FL b'N N :

-- f()r f iv e m i.n u te s .

'?H E C C)11R'r:

1 w i1 1 .

M R . F L h')
1H :

T he d j.ch o to m y t h at e x is t s in

eTrepp icl #3et.ween 12#1e technoLogy that wa s th e sub1ect

o f t he C o n t2r ib l.lt if)n t

'
.
Lq re em en t a nd t.h e mo st c la s s if e d

in f o rm a ti.o n re 1.a t in (q to th e t ecrh n o lo g y th a t 's a t th e

co r e o f t h is c a s e i.s t he p rob l6)m .

De c em b e r 1 9t h , J
?()1
32 , J.n ()p e n co u rt , a s 1 o ng a s t 1ne

10

court is sealed and perhap s no one else other than

11

the deputy sherj f f, the clerk, and the court

12

repo rte r.

13

courtroom is sealed even during that p ha se .

00:14

1 th n k we 're safe there as long as the

Once we reach 2002, 1 th ink the C ou rt is

15

going ho have to cond uct some Lype of a procedure ,

16

and I 've been thinking all night what you could do ,

17

and the on ly thinq I can come up w ith , because of the

18

natu re o f this inform ation , is for you alone to take

19

Mr . Trepp and M r . Mon tgom ery into chamb ers with a

20

sworn con fidentia lity oath by your Honor , unde r oath ,

21

and hav e them basica lly explain what is involved .

22

oo:14

We cro u Ld p roce ed , (
E be 1 i.eve , up t o

14

G o ah e ad .

I th ink the Court will then see that it is

23

abso lutely im possib ke , given the nat ional securit y

24

interests involved, right now, this minutey today,

LIZA CHAPEN , CCR, RMR

(775) 323-5492

00:14

00:14

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 16 of 222

..
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fo r t h e C o u rt t o e ve n is s ue an y ty p e o f an o rde r o r

findings , given thc! natu re o f the issue s Vnvolved ,

becau se 1 wou ld sublrit to the Cou rt that the national

security interests p reempt Judicial intervention in

this Co urt , and that 's a strong s tatem ent .

1 bel Eeve that the entire proceed ing s have

to ultimate ly go over to the Fede ral Court, be sealed

in the Federal Court, and even then how they are

going to be ab le to p roceed is fran kly a m ystery to

10

11

me , your Honor .

00:15

So here 's what 1 - - he re is w hat the

12

de fense re comm ends :

13

Decemb er '02 .

14

to the Cou rt w hich w ill basical ly outline th e

15

impending p rob lems .

16

Let the Pla intiff go fo rward to

I 've got a ch ronology that 1 can qive

00:16

Once we reach December '02

we 're going

17

i nt o t h e h ea r t o g c la s si f ied m a te r ia l .

At that

18

point : I don lt know how we can p roceed except fo r the

19

Court to t ake M r . Trepp and M r . Montgomery into

20

chamb ers and inquire into the natu re o f the m aterial .

21

THE COURT :

Well, let 's see how it goes .

22

My thought , and again, I 1m p robably the

23

least educated individual in the court room as far as

24

what this involves, but my thought is that we lre not

t.

O0:1b

LIZA CHAPEN, CCRZ RMR

(775) 323-5492

oo:t6

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 17 of 222

.,..

..1. )
.

16

h e r e n e c e s sa r i 1v tc) t a 1 k a b ()1.
1t t he c o n te n t o f

whatev er ''itu is, but the ownership and the right to

possess ion o f ''2t ,'' and so 2. t would seem to m e , and I

don 't know Lh is yet, but it would seem to m e that we

c a n ta l k a ho u t a 1 1 o f th o se is su e s a n d p e r h ap s m a ke a

determ inat ion on those issues w ithout even ta lking

about wha h the contents of ''it'' are, and if I 'm

w rong , then you can explain that to m e, and i f I

agree with yo u, then 1 agree w ith you .

10
11

12

So Y 'd like to go a head and give it a

oa:16

00:16

sho t .

Secondly , I w ould like to have some

13

reference to some case law , a s ta t u t o r y law , s om e

14

other author it g that says that -- that , o n e ,

15

ident ifies th is a s classified ; two , t e l l s u s w h a t

16

level o f class ificat ion tha t it has ; Lh ree , by whom ;

17

an d t he n som e k in d o f st at u t o r y c a se Y aw o r o t h e r

18

docum entation that wou ld tell us that it was not

19

proper for me to proceed , fo r us to p ro ceed in this

20

court , and if 1 'm persuaded that that 's right , t he n

21

certain ly 1 11 1 fo klow the ru les .

22

(
'

. .I

I 'm surp rised I hav en 't hea rd from the

23

federal governm ent y if they have such a conce rn , but

24

maybe you can add

ress that .

LIZA CHAPFN, CCR: RMR

(775) 323-5492

00:17

onttn

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 18 of 222

...-A

'.- .

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t

M R . FLYNH :

secretive , and so compartmenta lzed w ithin the

fed e r a k go v e rn m tan l , th at th e re a r e v e ry f ew

ind ividuals w ith in the fede ral governm ent that have

a c c e ss to it .

n0:18

I w ill tell the Cou rt in open court what

is involved , invo qved daily br iefings to President

Bush ove r the la st two yea rs t da ily b riefkng s .

A nd w ith regard to your Honor 's other

10

p oint covering the ''ih'' w ithout gett ing in to the

11

content, the ''i t'' is the conte nt .

12

THE COUFT :

We '11 see .

13

MR . LOGAR :

Your Honor r we would like to

14

invoke the rulo as; 1:0 exclusion of witn esses for

15

sealing and everything we can do to p rotect the

16

integ rity o f these proceed inqs .

17

18

T H E C O URT :

M R . PEEK :
Hon or .

00:18

I d o n 't kn ow t he

He 's a w itness of ours , you r

He w ill shep out .

21

TH E COURT :

22

MR . PEEK :

23

THE COURT :

24

A l1 r iq h t .

o0:la

gentlem an se ated in the fron t row bac k the re .

19
20

IJ

Th ts in fo rm atio n is so

i.-

eo:18

A1l right .
1 don 't know who the other -And the other gentleman is my

1aw clerk. He will observe the order that I will

L1qZA CHA PEN, CCR, RMR

(775) 323-5492

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 19 of 222

.,
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m a ke h er e w i-t lQ !'e qcircl to co n fi(1e rAt ia l it y .

MR . PEEK ;

expe rt who wil l com e in, and 1 would like him , of

course , to sit in .

5
6

i think it 's approp riate to have an expert

MR . E'LYHN :

Your Honor, 1 thin k Mr . Frye ,

unless he 's the firsl. w itness, should be removed from

the court room .

10

MR . PEEK :

Your Honor, he 's a client .

11

H e 's a p r iv a t e c l ie n t .

12

compan y .

13

THE COUHT :

14

MR . PEF.K :

He can sta y .
Your Hono r, respectfully to

w hat coun sel had said earlier r I ta ke th at also to b e

16

that they wou ld at ke ast offer a st kpu kation that the

17

p ro c e e d in g s c o n clu ct e d h e re tod a y s th e a ff id a v it s th a t

18

h ave been previou sly subm itted under seal, and the

19

t ranscript of these proceed ing s m ay remain

20

confidential , and may be sealed by th is Court on ly to

21

be op ened upo n motion --

22

T HE CODRT :

23

M R . PEEK :

00:19

He 's a m em b e r m a na g e r o f th e

15

24

oa:19

Lo at least s it in on rebuttal, if necessary .

Your ilonor , we will have an

W ell --- and that nothing other than

t hat which is stated here today can go any farther,

LIZA CHAPEN, CCR, RMR

(775) 323-5492

cQ:19

00:19

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 20 of 222

.....

w /..

19

1.

a nd I s a y hh a t '-- a IAd 1 'I

rt c u ri o us to h ea r co u n s e 1. 's

a rq um e n t , w h e n w e c e r ta i n ly , l a st W ed n e sd a y , he a r d

m uch ab outo

tech no logy to be c
ah le to sell my technolog yy'' and

if -- we bad , as ycu recall, mu ch ado about w hat the

ab ility w as to discuss w ith others , so 1 111 take that

as a st ipu lat i6n and 1 'd ask the Cou rt to ente r that

kind o f an ord er .

'11 neecj ho be ab le to talk ab out my

T dR COURT :

the record rig ht now and I will enter that orde r and

11

it is entered Lrt tte record .

12

Does that conta in , ror the moment v a l1 o f

13

the issues tha t you wanted to address w ith regard to

14

con fidentiatity?
A nd I would ask that , in add ition , that

16

you prep are some Uyp e of a stipu Lation that m eets the

17

conce rns you a rticulated a m inute ago , fi r st p r e sen t

18

it to the oth er sider present it to me , and then 1 '11

19

review it , and part icu larly, if you have re fe rence to

20

any statutory autho rity or anything else , p ut that in

21

the stipu lation and o rder , and 1 :11 take a loo k at it

22

and sig n it , mo re like ly than not , part icularly if

23

a11 sides -- if both side s approve .

24

MR . F'LYNN :

00:2n

We kk , T 'm happy to do th at on

10

15

We 're happy to do it , your

LIZA CHAPEN, CCR: RMR

(775) 323-5492

00:20

00:20

00:20

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 21 of 222

u.#.q
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f
-

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.-

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. - -

. - -

Ho n o r .

We w il l prepa re the stipu lation .

The

prob lem w ill beconzeo as you r Honor w ill hope fully be

able to lea rn during these p roceed ings , that even the

attorneys cannot be given access to this inform ation .

THE C.OURT :

Do you ha ve acces s to it?

MR . FLYNN :

1 hav e lim ited accessz enough

T H R C-G U RT :

Do yo u ha v e - -

10

M R . FLYNN :

Do I have com plete access?

12
13
14
15
16

THE OOURT :

Do you have a se cur ity

clearance o f anv knd?

M R . FL YNN :

Ho , and neither does -- do the

gent lemen on the othe r side o f the aisle .

M R . PE HK :

18

the material because the source code has been deleted

19

from our file and ta ken from our prem ise s .

THE COURT :

A11 righh .

Well, you know z I

21

don 't have enough information right yet to know -- to

22

m ake an in te lligent --

24

MR . PEEK :

:0:21

And , y our Honor , T don 't have

ac c e s s to t h e m a t e ri a l a nd I h a v e n o t h ad a c c e ss to

23

oa:21

Absolutely not .

17

20

u0:2l

to conduct the proceed ings .

11

1 will rev iew the st ipulation ,

your Honor --

LIZA CHAPEN, CCR, RMR

(775) 323-5492

0Q:M

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 22 of 222

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T i4E (-O !l1?T :

MR . PEKH ;

-- and ma ke su re that it bsn 't

too overly broaci, Lqecause w hat f'm hea ring he re

today, 1 think, maybe too ove rly broad .

THE COUPT :

MR . PEF'
,K :

21

A l1 1:Lg h t .

We ll, w e 'll see .

09:22

W jth that in m ind, your Hono r,

Mr . Ja kop in w ilq be presenting the first w itness .

THE CO UHT :

A 1 l rtght .

Let 's go .

(The w itness was swo rn .)

10

THE COURT :

Plea se take the witness stand .

11

A s a p relim inary matter, fo r the reco rd r

12

not on ly are the part ies and counsel but court staffz

13

as we llz and 1 in czude m yself in this, are instructed

14

that anythng th at 's sa jd o r done here in this

15

cou rtroom tod ay , pend ing the subm ission and approval

16

of an order r is confidential and w ill not be

17

discussed with th ird parties o utside o f the

18

cou rtroom y ex cept to the extent that it needs to be

19

d iscussed w ith w itnesses and experts with regard

20

specifically to the pursuit of the p roceedinq s in

21

this particu lar case .

22

Go ahead .

23

M R . JA KOPIN :

24

(Discussion off the record .)

Did you swear the witne ss?

LIZA CHA PF'

,N , CCR, RMR

(775) 323-5492

00:22

00:22

00:23

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 23 of 222

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c a 1 led a s a w j-t ne s:5, h a v i11q t)ee n f.

i.r s t d u ly sw o rn ,

t.e s t i fi ed a s f'o 1 lows :

D IR KC T KXAM IN AT 1ON

B Y M R . JA KO P 1N :

Q.

Y o u r n ame , p 1 ea se .

A.

S 1o aIt %'e IRa b le s .

Q.

Wh e re do you r e si de ?

10

A.

1n t91e V ir g i n ia (2it y H iq h 1 an d s .

11
12

T H El R E PG RT ElR :

15

T H EI lI'1.N E S S :

Fir st nam e r S- 1-o -a - n ; 1 a sL

n am e - -

MR . IaOGA R :

Your Ho no r , 1 'm so r r y .

16

hav ing di f fi c u 1t)y h e a ri nq tle w it ne s s .

17

t he m i c rophon e , p le a s e .

1 'm

T H E CO URT :

19

W h y cto n 't; yo u t ry t o sp e a k up a n d t ry to

21
22
23
24

00:2a

C ou ld he use

18

20

W o 141 d yo u sp e l1 you r n ame

fo r m e , p 1e a s e .

13
14

nn:2a

H o p e fu 1 1 y i t w o r k s .

u se the m icroph one .

no:za

W e h a d s om e d i ff ic u lt y w i th i.t 1a s t w e e k ;
.

i s i t wo r kin g n o w ?
T H E E$A IL 1(F F :

(Es th e b u t to n b e 1 o w yo u o n
.

the le ft-hand sde , on the gro und , is it on ?

LIZA CIIAPEI.
I, CCR, RMR

(775) 323-5492

Is it

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 24 of 222

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T H E BA 1J-.1 F F :

T H E: C O tlFkT :

T H E W 1T N E)SS :

C a IA y :)u he a r frte ?

T H E i3A 1.f-.fP'F :

lo w , t r y i-t .

T H F CO LJRT :

T H E 1h1173N E S S :

La sl name r V-e-n-a-b-l-e-s .

Yes .

T he IAr i t s h o u ld b e w o r k ing .

O ka y .

T h er e w e (
7o .
Ho q ab o ut n ow ?

T HE C-Ot)R77: A ll rLght . Mr . Venab1es , ju st

t.r y t o sp e a k up a ) it.t le b i t , to o .

12

T H E W I13N ElS S :

A 1 1 r i gh t .

13

THE I3A IL IiMF:

You have a v olume control,

THE COURT :

16

THE W ITNFSS :

17

T H E CO U R T :

Ye ah , I t h in k t h at ls b a t te r .

18

MR . LOGAR :

T hat 's better .

19

MR . PEEK :

20

THE COURT :

22
23
24

o():24

your Hono r, right up by your ow n spe aker .

15

21

00:23

'

11

14

23

1 i t up ?

10

.- --- .-

A 11 righh .

H ow is that?

How ab out now?

Thank you , you r Honor .

O kay .

00:24

BY MR . JA KO PIN :

Q.

Can you desc ribe your edu cational

bac kground since h igh school?

A.

00:24

Since high school, I wen t to UC Berkeley

LIZA CHA PEN , CCR , RMR

(775 ) 323-5492

'

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 25 of 222

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1

briefly , or for three years ; then

r

''

d esign school , learned 3D m odeling a nd c omputer

programm inq ; artd s ince then , I 've bee n self-taught in

computer p rog ramm ing .

M R . JAKOPIN :

You r Honor , ou r exp ert is

outside and the bailiff is not pe

in .

8
9

into the court room and attend th

THE COURT :

and any exp ert for the other sid

12

one .

13

MR .

14

p resent tim e w your Honor .

15

FLYNN :

We object

I f11 a llow him r

e , to o , if you fve got

We have no expe rt at the

Under the documents that

n0:2s

dep artment of th

e U .S . Gov ernment

18

involved in this case , they would be p re cLuded from

19

confiding anyt hng to any exp e rt .

20

T HE COURT :

W elk
,

I 've got to see the

21

documents .

22

d o, I 'm going to p erm it him t o be here .

23

24

oo:zs

M r . Trepp and Mr . Montgom ery sLgned w ith the

17

rm it ting him to come

e p roceedings?

A 11 ri
ght .

11

16

:::24

Can we have perm issi

on to have h im come

10

f we nt to graphic

I 've got to see some authority .

MR.

FLYNN :

Unless I

No r has he been disc losed t

us , your Honor .

LIZA CHA PEN: CCR , RMR

00:25

(775) 323-5492

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 27 of 222

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Jti 1 1 g o in g to p e rm i t h im r
.

ab s en t b e t ng p t
:0v i-cled w i t/1 th o se d o c um e n ts a n d

m a te r i a 1 .

M R - F1.YN N :

Y o u r' 5!on o r w i 11 n o t e m y

object.1on .

nO:2s

T FlE t!O IJRT :

G o a IRe tct.

MR . .7JhK()P1N :

13Y M R . JA KO P IN :

10

Q.

A l k rig h t .

1 L 's no t.e d .
'

T h a n k y ou , you r H o n o r .

C a n yo u d e s c r ib e yo u r em p 1o ym en t f ro m th e

11

time you finished schooling up un ti ) eT repp id ,

12

b rie fly .

13

A.

00:2s

l w orkecl most recently before eT repp id fo r

11

abouh ten years in the video gam e industry ma king

15

computer qam es from the PC platform .

16

was a 3-D modeler and then later on as a programmer .

17

T 11F: (OC)(1RT :

.-

lnitially , I

00:26

My most recent job before coming to

18

eTrepp id r 1 wa s a lead p rogrammer on the last couple

19

o f v ideo game s m ade for electronic ca rds .

20

Q.

And you began working at eTreppid when?

21

A.

In Decemb er of '99 .

22

Q.

A nd were you one o f the first emp loyees?

23

A.

Th at 's correct .

24

Q.

W ho was w orking there at the time you

LIZA CHAPEN, CCR, RMR

(775) 323-5492

no:26

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 28 of 222

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s 12a r te d ?
A.

De rl:1i s 2.
1o n tCJo(rte ry ; iiF; so n r B r i.a n

M on t go m e ry ; a r'i t he y ha d t h ree co n t 1'a c t o r ind ia n

n at i on a 1.s Uh a tz ztre no 1on (Je r tile re .

5
6

7
8
9

Q.

A n d wh e n you L)e (
gan , w h a t p o s it io n d id y o u

h av e w it h th e .
:romp an y ?
A.

1 w a :; jn i t.ia 1 ly h i.r ed t o b e a d i re ct o r o f

g am e de ve lopme nt).

11

that I develop E?tl on my own with me and sub licensed it

12

to eT reppid an :y continued further development o n it

13

for a gam e tha l: we wou id someday release from th e

14

company .

16
17

Q.

1) b ro ug h t m '
g v ide o ga me te ch n o lo g )fr

So when you worked at eTrepp id , then what

00:26

00:27

did you do?

A.

G r a d u a ll y t oo k o n m o re t a s k s s b e g an d o in g

18

a11 the IT wor k for the company, a11 the e-mail , the

19

W EBSERV ER , al1 the ne twork infrastructure , g radually

20

too k on al1 the hardware p urch asing v a1l the ha rdwa re

21

development .

22

u::26

ye a r t ha t I w o i:')2ecl t)h e re .

10

15

The y' were just bri.ef1.y t.h ere the first.

M os t: recently, in the p ast two years, I 've

23

taken on the role of our fac il ity security office r.

24

I maintain al1 of the security c tearances and the

LIZA C1.IAPi''
UN , CCRr RMR

(775) 323-5492

:::27

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 29 of 222

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Q.

electronic inform at ion, correct?

A.

Tha t:'s riqht .

Q.

Cou kd you describe some o f the d ifferen h

types of info rlnaton that is stored ah the company

prem ises?

A.

We have , first o f atl, the sou rce code ,

10

files that is compled into an actual runab le

11

program ; a1l o g the too ls that we use to develop the

12

source code , wh icb is usually th krd -party software ,

13

Microsoft deve Loped prog ram s; a lso a11 the other

14

th ird -party softw are that we use , the operat ing

15

system s, other tocls fo r developing .

sample files that we use to run our code on ; images ,

18

m ovies , bit m ap s , all kinds o f file s .

19

Q.

classified files , and there 's ohhe r file s that are

21

not?

24

00:28

A re there certa in f iles that are

20

23

oa:za

So a l1 that stuff is stored , as well as

17

22

0:.27

which is a -- basically , sou rce cord is a 1ot of text

16

You wolk with a 1ot o f different kind o f

27

fac i 1.it y s e cu r it.y c )e a r an ce s a nd p ro c ed u re s .

2
3

!.v

A.

That 's correct , based on where the con tent

cam e from and who we received it from .

Usually, a source code isn 't classified .

L1ZA CHAPENt CCR, RMR

(775) 323-5492

00:28

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 30 of 222

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so u r ce c o d e s f b tlt tln(? b it m arn i.ma g e s o r fr am e s o f

p.
i.c t u re s ilav e b ()e n c 1a ss if i.ed .

Q.

c e r ta in o n e s ?

oo:29

A.

T h a t 's co r rec t .

Q.

Wh e n y c)u sa y t he eT rep p i d s o u rc e co d e ,

9
10

w h at a re y ou r e fe z'r.t:1g to ?
A.

T h e Elc tu a 1 C ++ fi le s th a t a r e u s e d to b e

comp i.1ed 5.nt o t #1e so ft.wa r e we deve 1op .

11

Q.

A nd w h c) w r te s t #1at sour ce c o de ?

12

A.

V a r i o u s; (3ro g rafrkm e r s in t h e b u i1d in (

g.

13

Q.

H a v e yc)u w r1.tt en some o f th a t so u rce c ode '?

14

A.

N o t 13o 1' a w h i 1e .

15

The last stuff I wo rked o n was about 2002 .

16

1 worked on a player that we developed for a project

17

w ith Inte l .

18
19

21
22
23

24

oa:29

:0:29

I 'v e also worked on the game engine over

the years that we developed .

20

That would not be a 11 images, but just

we haven 't had any c lassified

'

So far

O the r than that, I haven 't .

Q.

A re you responsible for b acking up any

inform ation at the company?

A.

I bac k up al1 of ou r serv ers that run a 1l

of our infrastructure, our e-mail, our web sites, but

LIZA CHAPFN, CCR, RMR

(775) 323-5492

Qo:29

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 31 of 222

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1 d o n 't d o a n y C)f t h e so u rc c) c 0d e b a c kup ; t h a t w a s

a 11 M r . Mont(
gom (?rj:'54 job .

Q.

A nd hob
n' lo n() h av e y (3u b ee n d o in g t 14a t ?

A.

P re Lt. y rnu(:h fr(?m t h e 17eg in n in g ; t he pa st

00:30

Q.

A nd why do you bac k up tha t info rmation?

A.

Hardwa re always faiis .

You 've g oL to have

a ba ckup so you can recover from it .

I haven 'h iost a file since we 've been in

10

existence .

11

overheating or what have you , n'echan ical fa ilure r so

12

bf you don 't have bac kups , you won 't be ab le to

13

recove r from it .

14

Q.

Ha rdw are a lways tends to fail from

company bac ked up its source co de fo r the sam e

16

rea son ?

17

A.

Right .

18

Q.

Up untjl recently , had the company ever

oo:3a

lost a ny o f the source code ?

20

A.

Not to my know ledge .

21

Q.

Is the re anyone othe r hhan M r . M ontomery

22

00:30

Now , is it you r unde rstanding hhat the

15

19

29

s i)( y e a r s .

('
..
p

0o:a0

tha t was resp on sib le for backinq up the sou rce code?

23

A.

No.

24

Q.

For how long had he been responsible for

L IZA CHAPEN , CCR, RMR

(775) 323-5492

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 32 of 222

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backing up the so urce codo ?

A.

F roln the be (
7n n i ng .

Q.

W a s le a 1s o r e sp on s Lb 1e fo r m a in t a in incl

th e so u rce c o de ?

A.

A s fa r a s 1 kn o w , t IRa t wa s i
4is job .

Q.

H ow hra s i t ma i.n ta in e d '?

A.

We hav.
2 a st ru c t ure . a f i le s y s tem

s tr u c tu re o n o I.1r. se rv e r w he r e w e ke p t it f a nd it

st o r e d v a r ou s m e th od s u n de rn ea th Lh e - - o u r fo l d er

10

stru ctu re .

11

aoi3l

We have our cucrent pcojects. Each

12

project had a sub fozder.

13

of -- a11 the proq rammers in the buildinq have

14

locations where only they can acce ss and store ther

15

projects.

We also have a subsystem

o:;l

16

So al1 this file structure is a11 stored

17

on one of ou r servers that Mr . M o n tg om e r y b a c k ed up

18

to another set of m achines in ou r sep arate lo cation .

19

20

Q.

Wa s the re a name for that serv er that yo u

were just talking about?

21

A.

22

SRC , S-E-R-V -E-R .

23

Q.

ao:31

We call it the sou rce server , abbreviated

W ho had access to th e source code that was

f'

21

90:3l

on tha t SRC SERVER'

?

LIZA CHAPEH, CCR, RMR

(775) 323-5492

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 33 of 222

T
x
.

1
t

A.

.-

--

f )
'.

. ..

W e lna V e d if fe re !At le ve 1s o f a c ce s s -

been ko cked that'

.
on ky have -- i be lieve , five or skx

p eople had the key to .

The physicat access , it 's in a room that 's

Log-on access , only M r . Montgome ry and L

Netwo rk access , va rious p rogramm ers in the

bu ild ing had ciifferent file -share lev el permissions

to the fo lders, but none of them had a fu ll access --

10

full pe rm issicns to the file levels under network

11

sharing ; they h ad modified , which means they can add

12

but they can 't de Lete .

13
14

0a:32

Fu ll access leve l was only fo r

M r . M o n t go m e ry an d m e ,

15

Q.

And hcw was that put into p lace ?

16

A.

We had an Eff, what we call ou r eTreppid

17

adm kn ist rator accoun t , wh ieh on vy M r . Montgom ery and

18

I had the passw ord for .

19

00:32

Only w ith that u ser account that you could

20

get on and log on and change these pe rm issions ;

21

otherwise , you have to go through the networking and

22

you 're subject to all the permissions that we 've set

23

up .

24

00:32

had the password to it .

.-

Q.

W as there a server othe r than the

LIZA CHAPEN, CCR, RMR

(775) 323-5492

cc132

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 34 of 222

.
,..,)
1
p

32

E;RC SE RV EIR th a t yo u w e re re fe rr ing to ?

A.

W e ha d a n o th e r se rv e r, a c o u p l e -- w e l lf

w e h a v e s e v e ra 1 s er ve r s in th e b u i ld i ng ; no t a 1 l of

them u s e o u r s otzrc:e crod e .

t ha t r u n th e iIRfr as t.r uc t ur e of o u c n e tw o r k .

F,-m dhi L se r ve r s

sf
arv e r s

We have another server for sto ring a1l the

th ird-party tools that we do , and anothe r server that

1 had recently set up , in the past four months, tha t

w as used for a backup to tho SRCSFRVFR .

10
11
12
13

14
15

16
17

18
19
20

f
r'-1

Q.

Did all of these se rvers get accessed w ith

aa:33

:0:33

the eT reppid administrator password?

A.

A1l the servers are only logged on w ith

the eT reppid administrator account , that 's right .

Q.

And jt was only the two of you that had

a c ce s s t o a 11 o 17 th o s e ?

A.

That 's right .

oo:aa

Not even Mr . Trepp knew the

p a s sw o rd t o t h e a dm i n i st ra t o r a cc o u nt .

Q.

About how large were the total eTreppid

source cod e files?

A.

W ell, from my recollec tion of do ing a

21

b ackup som e tim e back , and also l d id another backup

22

in the m iddle of December, it was about 200 gigab ytes

23

on the SRC SERVER tha t was copied over to my other

24

backup server which I call an ISASERVER .

LIZA CHAPEN, CCR, RMR

(775) 323-5492

on:33

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 35 of 222

X
l
!

Q.

--

- ..-

''

'='
2.

3?

And how la rge is the memo ry capacity o f

t he ISA S FR V ER ?

A.

We llr tho actu al m emory i.s separate from

the hard drive space .

have about one Lo two gigab ytes o f memory , but that 's

just random access memory.

There 's -- a1 1 o f our servers

The hard drive space on the SRCSERV ER is

about -- just shy of three terabytes. My ISASERVER

is just over fouz terabytes, but we weren't ussng

10

anywhe re near the capacity on e ith er one o f those .

11

Q.

that had been used for backtng up th e eT repp id source

13

code?
A.

in our wa reho use axea that had , ea ch of them ,

16

attached storag e box , what w e call RA ID sto rage box .

17

E ac h o f t ho s e s to r ed ab o u t 1 .7 , 1 . 8 t e ra b y t e s .

19

0::34

T hose are used to back up wha t was on

SRCSERV ER .

20
21

aoLiq

1 bu Llt tw o wo rk station s that we kep t out

15

18

oa:34

You had mentioned some other wo rk stat ions

12

14

- --

Those backup s were made b y Mr . M ontgom ery

on a regular basis .

22

Q.

A s o fr say, around Decemb er 2 1st , 2005 --

23

A.

Uh-huh .

24

Q.

-- what wa s your understanding of where

LIZA CHAPENr CCR, RMR

(775) 323-5492

oo:ab

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 36 of 222

w.

34

c omp le te c op ie s o 1' t h e so u rc e c o (:1e ex is 1ued a t

eT repp id?

A.

A s Fc
ar as I know , there was the comp lete

original copy on the SRCSERVER , as well as copies on

each o f these two work sta tions tn ou r w arehouse .

6
7

had cop ie s of a ll the hard drkve s o f alY the

p rogrammers in the building .

Thoset were cop Le s m ade by M r . Mon tgomery

10

on a fairly regu lar basis .

11

pretty often , mu ltip le tkme s a week over the past

12

s e v e ra l y e a r s .

13
14
15
16
17

Q.

1 had se en him doing it

o0:3s

You had Aent ioned an IGASERV ER ; was tt

also sto red there ?

A.

Up unt l December 2 1st ,

that was just n

eQ:a6

testing .
On De c tam be r 2 1 st , I m a d e a c o p y o f

18

eve rything on SRCSERVER .

19

December 22nd for the holidays , I went ou t of the

20

countryz and I sta rted copies , part o f them comp leted

21

b efore I left on the 2 1st .

22

on:3s

The work stations in the warehouse also

(x.
x

I was go ing on a trip on

I was there until about 1 1:00 o 'clock on

23

the night of the 21st finish ing up th e copie s , and

24

w hen I left some o f them we re still going .

LIZA CHAPEN, CCR, RMR

(775) 323-5492

00:36

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 37 of 222

(x
1
$

that they had completed , so ( had backed up

eve ryth inq frorn SRCSF,RVKR over to th is TSASKRVZR .

Q.

fin ished ?

A.

10

11

A nd did your 1og te ll, say, w hen that

00:36

Some o f them fin fshed the n ight of the

21st; som e finishod the next day, the 22nd .

' 35

Bu t ny 1oq files , when I got back, showed

(m

A1 l Lhe 1()g fj le55 a ren 't there anymore;

th ere 's o nly a couple left .

Some of them were

deleted .

00:a6

Q.

Do you have any reason to th in k that if it

12

d id n lt occur the wa y you had p rogramm ed it to , that

13

it wouldn 't have been comp lete ly backed up ?

14

MR. FLYNN: Objection, your Honor.

15

THR COURT: What 's Lhe objection?

16

M R . EPLYNN :

None of this testim ony -- the

17

entire co urse of the testimony so far has been

18

utterly lacking in foundation .

19

T HE CO URT :

W ell, 1 thin k there --

20

MR . FLYNN :

I 'd move to strike a l1 o f the

21

test im on y , but l 'm trying to cut through it , so I

22

don 't want to keep objecting because I believe I've

23

got a w ay to cut through and across --

24

TH E CO URT :

00:37

A 11 right .

Tu(
EZA Ci1APHN, C(
7Rr RMR

Well - -

(775) 323-5492

00:37

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 38 of 222

'

t--)
1
l

M R . 1'L Y H H :

- - b 11t n (3n e (7f t h i s h a s a n y

T H R (2O tlHT :

A 1 1 r i(
ght .

U n L i l I 1e a rn a

li.t tl '
a b it Irto re a b o u t th e b a c kg ro u nd , i t 's ha rd fo r

m e to ev a lua t e th :1t .

oo:37

M R . IrL Y N 19:

TH E C-OLlRT : T here 's not. a jury lqe re r so

36

fo un d .
at io n .

1 und e rs ta n d th a t'
..

I 'm (
gd
3ing t.o a t1ow t he t e st imon y .

G o a11e ad r s i-r .

10

T H E W 18AN E S S :

Wh a t w a s t h e qu e s t i on ?

11

M R . kJA KO P YN :

i t h in k you fi.n is h ed .

12

I think it wa s ju st an ob jection afhe r the

13

T ilE (2O :1RT :

A 11 r ig h t .

Fo r t he r e c o r d ,

l5

the o'
.
ojec t.ion is c)verru1ed .

16

fou nd'
at io n t o wh a h u 1t j.m at e ly w e fre g o i n (
g to g e t to .

l7

18

S e em s t o b e

1 think t.his is

on:37

a t a n y r a t e , a s 1. e a s t. a s o f

now .

19

Go ahead .

20

BY MR . JAKO PIN :

21

Q.

:o:3a

Could you describe how the programmers

22

have th eir wo rk stations configured and how they

23

relate to the SRCSERVER ?

24

oo:3-/

co n c1 .2s io n .

l4

tl
''

A.

The prog rammers have a ha rd drive on their

LIZA CHAPEN, CCR , RMR

(775) 323-5492

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 39 of 222

(.
%

-.- -

- .- ..- .-

(''.T'
.

37

ma c 14i ne o u t s id e c.f the i r re qu 1 a r o p e r at ing s y s Le m

ha rd d rjve tha t 's kept on there .

Current Source was tor the projects Lhey 're currently

wo r k o n .

Their folder ca lled

Th at Current Source folder conta ins their

working in progress and the projects that they 're

cu rrently proq ramm ing on .

by Dennis over t:o the two work stations we keep in

our wa rehou se fo r bac king those up .

10

Q.

11

stations?

12

A.

13
p urposes .

15

Q.

17

Those folders a'

re copied

And c1o the programm ers have personal work

ooraa

Eve ry programm er has at least one .

Whac 's the operating system on the work

00:38

sta tions that they have?

A.

18

W ind ows XP , on the majo rity .

There 's a few that have W indow s 2000 for

19

testing , and then they were p rog ramm ing with some

20

older code th at wou ldn 't compi le on w indow s X P .

21

00:3:

Som e of them have two for te st ing

14

16

Q.

Directing your attention to the last day

22

that you w ere at the office be fore you went on you r

23

vacation .

24

A.

Uh -huh .

LIZA CHAPEN, CCR, RMR

(775) 323-5492

oo:aa

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 40 of 222

*...t)

('-.?f'

448)

Q.

C a 11 y o u d e sc r ib e wh at h ap p en e d th a t d ay ?

A.

( c am e i n tha t d ay .

3
4

A t tlte L7e (
g tnn in(J o f t.h e d a y , 1 c a 1.1e d a s L
.

w a s c o m j.n g in f:)r som e re a so n , 1 fo rg e t w h a t i.t was .

1 c a 1l ed Den n is an (2i h e a s k ed m e i f I 'd

g o t te n a 1l m y (7re y'a r a t ion rea d '

g fo r m y t r i p a n d 1

sa id no , and h e said !
' ''We11 r stay home and do your

pac king or w hatever ,'' and I to ld h im I w as almo st to

the office anyway , so I w as com ing in .

get the IGASERVER fin ished sett ing -- setting up and

11

do ing the backups .

do ing the backup s of SRCSERVER and also our

14

DE V S E R VE R .

So I came in and 1 got m y stuff arranged

16

in m y office ancl 1 went out to Lhe wa rehouse , a n d

17

th at 's when I not iced that the w ork -- one o f the

18

wo rk stations that had the RA ID box attached to it

19

was gone y and I asked Denn is where it wa s .

20

21
22
23

24

cq:39

W e had talked abouh setting the 15A up fo r

13

15

00:39

I wanted to

10

12

T his was one o f the one s that he u sed for

b ac king up the SRCSERVER .

And he said he 'd taken it hom e , and he
didn 't te ll me why .

And so then the rest o f th e day I spent

LIZA CHAPEN, CCR, RMR

(775) 323-5492

oo:ag

00:40

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 41 of 222

hY
1
(

And the next mo rn ing , I le ft on m y trip to

Budapest .

Q.

You we re gone untl when?

A.

I qot. bac k the late n Lght. o f the 2nd ,

Q.

And cti you at some point go bac k to the

o ffice?

MR . LOGA R :

10

I 'm so rry .

11

Could you speak up , please .

00:40

HY MR . JAKO PIN :

12

Q.

At some po int did you go b ack to the

14

A.

The mo rn ing o f the 3rd , I came to work.

15

Q.

What d id you discover then ?

16

A.

When 1 got into the o ffice , I no ticed

13

office?

17

that -- m y o ff Lce is situated right next to our

18

server room with the door so 1 can see th rough to m y

19

servers, and I noticed that somebody had been doing

20

som eth ing on our SRCSERVER .

21

cn:4o

January 2nd .

7
8

99

se t t in g u p t h e 1S.
AS F RV E R a n d rlJn IRin (; t IAe b a c ku p s .

l 'Y

00:40

A nd so I went over and looked at it and

22

there was a comm and prompt window up do ing som ething

23

wh ich I didn 't know what it wa s, and Dennis cam e in

24

at that p oint and 1 a sked him what h e was doing and

L1ZA CHAPE1.1, CCRr RMR

n0:4o

(775) 323-5492

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 42 of 222

C.
I

(=--e
).

4o

h e s a id h e w a s d ()i!1C
J som e c 1.ea n - u p w f)r k , g e t ti ng ri d

o f o ld s t u f f w e (1(jrR't nt?e (1 a n ymo re .

S;o th q,11 I b e 1ie v e o n e o f o u r e mp lo ye e s ,

Jim Baude r , came L!) a t tha t po nt and st a rted talki ng

t.o m e 1 i ke h e u su a 1 1y d oe s ea c h mo rn 1 ng , a nd Den n is

1e f t .

So then I started going over the SRCSERVER

and noticed that m ost of ou r sub fo lde rs on that -- on

our source RATD box had been all deleted out .

10

Q.

What d kci you do then ?

11

A.

T w e nt t o q o t oo k on m y b ac kup se r v er ,

ISA SERVER .

13

and keyboard , so just do a command to switch over

14

to the next com puter, and that ma ch ine wa s totally

15

loc ked up .

16

resp onding at a Ll .

The y 're al1 attached to the same monitor

1) c ou )drt't Lo q o rt to it .

T.t. w a sn 't

cc:4t

S o t he n I w en t b a c k to m y de s k a nd tr ie d

18

to loo k at that mach ine through the netw ork and I

19

could see the ISA box was respond ing , that ISA 'S RA ID

20

was resp onding through the netw ork and it a lso had

21

been com p letely deleted out .

22

Q.

Did you ask M r . M ontgom ery about this?

23

A.

R ight away -- 1 th in k 1 talked to some

24

00:4l

no:41

12

17

other peop le
r

asked what happened w hile I was gone ,

LIZA CHAPEN, CCR, RMR

(775) 323-5192

oo:4a

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 43 of 222

...,j
/r

(
z
-..
' '
zy
.
.

and hhey said strange stu ff had been go ing on .

h a d b e e n g ra d u .
it11 k' )e tng d e le t ed .

The n

Stuff

l w e n t o ut t o t h e w a reh o u se to a s k

h im a b o ut it a nd ( a s ked h int w he re th e b a c ku p w a s a n d

h e said he wa s br ingjng that -- the b ackup work

stat ion w jth the RAID box from our warehouse , that he

w as bringing it back , he wa s done w ith it or

something like that .

9
G RCSERVEB .

11

something to that effect .

He sad he d idn 't: do an ything or

12

Q.

Wha t happened the rest o f that wee k?

13

A.

l was; going over the m achines, assessing

14

w hat the damages weue while 1 was gone .

15

to get 1SA bac k up, realized that one -- som ething

16

had happened to it .

00:42

I was tryinq
o0:4a

rt h ad b e e n w o r k j. n g in m y o f fi ce f o r a

18

good three m onths before 1 put it into its permanent

19

location , so I figured something was -- som ething had

20

hap pened to it wh l
ile i was gone , e ither m alfunct ion

21

or sabotage .

22

00:12

Bu t he neve r told me what happened on the

10

17

zgg

A lso , 1 sharted asking a 11 the p eop le in

23

the bu ild ing what had been going on , and they told m e

24

that Dennis had deleted a11 the code off their

LTZA CIIAPEINr CCR, RMR

(775) 323-5492

00:43

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 44 of 222

.,

m achines while g was gone , and that he was

gradua lly -- just qiving them libtle bits and pieces

to work on .

4
5

strike .

Hea rsay : speculation

lacks foundation .

He's just guessing .

T HE CO URT :

it is hearsay ; 1 wjll sustain tt .

10

42

MR. FLYNN : Objectiony your Honor; move to

9
Hono r .

12

of the m atter ?

13

it .

14

It's just foundational, your

It 's not --

THR COURT :

00:13

It 's not o ffered for the truth

1 th jnk it is .

T HE W F fNESS :

Cm going to sustain

That w as a short wee k , s o

15

that wa s abo ut a11 that happened that week , I

16

believe .

17

00:d3

1 think as to hearsay , it 's - -

MR . JAKOPIN :

11

on:4a

W e w e re a ls o p rep a r in g -- w e h ad a . fo r

18

our fac ilities secu rlty clearance , we h ad our

19

inspect ion schedu led for -- 1 believe the 9th .

20

('%g,

We had our rep resentative fo r the De fense

21

Security Serv ice com ing on the 9th , s o 1 w a s

22

prepa ring our facility security docum en ts for that

23

visit .

24

BY MR . JAKOPIN :

LIZA CHA PFN, CCR, RMR

(775) 323-5492

00:44

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 45 of 222

....)
1.
1

Q.

4a

W h a t: h .tr)p e ne d t h () w e e k , 1 g ue s s , b eg i.n n in g

January 9th ?

A.

W el L, on the 8th , which is a Sunday z

Mr . T repp called me at home and a sked me if an yth ing

un u s ua l h a d b e en hap p e n in q , an d I t o ld h im th a t w h e n

1 got bac k from my t rip Lhat a ll the code on our

SRCSERV ER had been deleted off.

So he asked me to come in ea rly the next

day to ta lk ab out it, and asked M r . Montgom ery whah

10

was going on .

11

00:44

12

o n ly t he r e fo r '
ti /:e a n h o ur or tw o a n d h e le f t a nd

13

never c am e b ac k for the re st o f Lhe day .

So that day we started loo kinq around the

15

bu ilding to see what e lse was m issing , and we had

16

basica lly everyone in the building going through

17

st u f f .

18
19

20

on:45

He sa id he wa s coming b ack but he never

came -- M r . Montgomery never cam e back .

So we spent m ost of the night -- 1 was

21

also gett ing ready for m y visits on the 10th .

22

Jay Dixon from the Defense Security Service there

23

first th in g in the m orning .

24

00:44

When 1 got in that day, Mr . Montgom ery was

14

(w)

I had

And also when I got there that morning --

LIZA CHAPEN, CCR, RMR

(775) 323-5492

oo:4s

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 46 of 222

T mg
(

(
'.
rp

44

I c a 1 1ed be f o r (? 1 c an1e to t 91() 0 f fi.ce , a n d De n n is sa .

i.d

he w a s g o j.ng t o b 6. 1:he re wh (?n t g o t t he r e .

(E a s 4:e d if he w a s g o in g to b e tn th a t. da y .
He sa id , ''1 l 1 L)e the re whe rl y o u qe t. t he re .''

W h e n I (Jo t t h e re , h e w a s o u t in th e

warehou se with Mr . Trepp and a friend of M r . T repp 's ,

ye l li ng a t h im , o b sc e n it ie s , g o i ng th ro u g h th e

warehou se out the back door , and he got in his Lruc k

a nd d ro v e aw a y .

10

W e spent the re st o f that day m eeting with

11

Jay Dixon, explaininq to hm that we had major chaos

12

going on and personne l prob kem s, and he basically

13

to ld us that w e 've got to go t hrough a bunch of

14

p rocedu re s fo r -- we also -- p rocedures fo r

15

determ ining wh at happened .

16

p o ss ib le t ha t De n n i s Mo n t go m e r y h ad t a ke n o r sho w n

18

som e of our c lassified m ate rial to foreign nationals ,

19

so I started that nvestigation on w hat happened w ith

20

that situat ion .

MR . FLYNN:

0::46

Your Honor, objection; move to

strike , specu lation .

23

24

oo:qs

00:46

17

22

ou:4s

We also determ ined that possib le -- it was

21

--

--

A nd can we have the identity of the peop le

present?

He keeps saying ''we .''

LIZA CIIAPFulh
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45

T h e reh's b ee n n o 1o u IAd a t io n as t o w lno W a s

presenh on -- in an y of these conve rsations o r

c i rc um st a nc e s , an d th e la s t p a rt o f t h e te st im on y w a s

just rank hearsay and speculation and lacks -- lacked

foundation .

03:46

TH E COURT :

W ell , 1 thin k he 's simp ly

rec iting even ts that took p lace to show what h is

conduct and state o f m ind were a t th e t ime .

going to overrule the objection.

10
11

13

THE W ITNESS :

15

T HE WITNESS :

Do you want me to

Yeah .
A 1 L the emp loyees in the

W e w er e -- l 'd s ay J e s s ie A n d e rs on , J im

Bauder .
I can list a11 the peop le that wo rked for

20

the com pan y .

21

through the hard d riv es in our wa rehouse , going over

22

v ideo -- ou r -- w e went to check our surveillance ,

23

M r . Trepp and m yself d id that , chec k ou r surveillance

24

00:47

b uilding, as a group .

17

19

The ''we''?

say it?
THE COURT :

18

00:47

identify w ho the ''w e'' is .

14

16

I 'm

lt wou ld be appropriate , how ever , to

12

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'

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lt was -- the whole com pany was going

video cam eras, which had al1 been deleted .

LIZA CHAPEN, CCRZ RMR

(775) 323-5492

00:47

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(-.-)
l

W e nc)t ic ed th a t o n t.he 1.0 t h , a s w e 11 .

I can 't rem ember al ) the -- Patty G ray

w a sn 't th e re t h a t d a y , o r m a yb e -- no , s h e w a sn 't .

Len G lcgaue r .

Eve rybody in the bu ild ing b esides Patty

G ray and Denn is Mcntgomery were there , a l1 the

emp loyees , wh ich I 'm su re they can give you a list

of .

10

THE COURT :

A l1 rig ht .

A re those names

you 've given us the ones you reca ll right now?

THE W ITNF,SS :

12

T H E C OU R T :

13

BY MR . JAKOPLN :

14

Q.

A.

A 1 1 r ig h t .

G o ah e a d .

Did you have any discussions w ith

n0:4:

O the r than he as ked m e -- I didn 't ca ll

17

h im o ve r th e w e e ke nd t o g o t ra p sh o o t i ng l i ke w e

18

usually do .

19

trip .

I said 1 just wanted to relax after the

That was about it .

20

Q.

Anything else that d ay ?

21

A.

The 9th , no .

22

23
24

00:47

Uh-huh .

Mr . Montgom ery on Monday the 9th ?

16

00:47

They we re a11 p resent .

11

15

46

1-

The 10th, we d id .

Q.

What happ ened on the 10th , in term s o f

conversations?

LIZA CHAPFN, CCR r RMR

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00:4*

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 49 of 222

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A.

4.g

T he 10 trh w a s t h e mo 1'n ing w IRe n L h e ch a o s i n

th e w a re h o u s e t3e tw e en h im and M r . T re p p w a s g o in (
J on .

L a t(nr f)n , L c a llect -'- M r . 'Pre pp a s k ed me

to c a l1 14iIn t o coIne h ac k to thC? o f fi c e to t a 1 k t o u s .

and De n n 1 s c alzr(.
t b,
uc k a nd h e wen t .
i.n t c) D e nn i s ' - -

Wa r re n 's o 2'f icfa a rd the y ta 1 ked p r iva t e ly .

7
8

I a s ked h im w htat. b
aa s g o .
i.n g on y a nd h e s a id t h at

Warren was try ing to screw him out of money for

10

years , he hadn 't been paying h im prope rly fo r h is

11

sou rce co de , ancl he said --

have, our'' -- ''tlhis classified project that was of

14

extreme impo rtance?''

15

And he said that if the com pany wanted it ,

19

A n d th en h e le ft an d h e n e v e r c a m e b a c k to

the b uilding since .

Q.

You had m ent ioned be fore that th e company

20

had a sec urity system with cam eras .

21

Coultl you describe that?

22

00:49

they had to g ive him bjg money .

17

18

00:49

1 said, ''What about this latest project we

13

16

00:4a

A nd t he n De nn i s came o v e r t:o ray o f fi c e a nd

12

(T

.- <

A.

W e dve got abou t 16 cameras in ou r

23

build ing , and last summer we in stalled -- w e

24

orig inally had maybe 12 .

We in stalled different

LIZA CHAPEN, CCR, RMR

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cam e ras o n th e roof and we ran a 11 the feed s for

these cam eras out to ou r warehouse a rea , the area

whe re Dennis usua Lly works , antj we set up 16 work

sta tions, one work statio n for each came ra y and they

d ig itally recorded all the footage com tng o ff of

t he s e ca m e r a s .

Denn bs maintained it; I d idn ft .

m y only invo lvem ent wa s o riginal fy setting up the

hardware .

After thaty he ma intained a1l the actual

10

record ing and ma intenance o f these machine s .

11

h is son .

13

11

He and

oa:so

I don 't know , Jessie might h ave had som e

involvem ent .

Q.

I don 't know .

And you had m ent toned that you and

1$

Mr . Trepp had gone and looked at what w as sto red on

16

that video system?

17

O0:sn

I had --

12

.- -.-..-

A.

00:50

A b o u t n o on on th e 1 0t h , w e w e n t a n d l o o ke d

18

on the -- a11 o f those hard d rives fo r those

19

rec ording machine s had been cieaned o ff .

20

modifiecl date on the folders for reco rd inq was the --

21

between 8 :00 and 9:00 in th e m orning on the 9th , so

22

for that -- for those m od ified dates , it m eans th at

23

tho se fo lders -- the last t im e someth ing wa s on those

24

folders was betw een 8 :00 and 9 :00 a .m . in th e morning

LIZA CHAE'EN , CCR r RMR

The last

(775) 323-5492

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Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 51 of 222

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o f Ja n ua r y 9t h .

A ft i
ar th a t , it h a d h ee n d e le t ed o f f .

Q.

Does e7'reppid have an a la rm system ?

A.

Yes , wt do y ma intained by ATD .

Q.

Cou Ld you describe that?

A.

We rve on ly got -- I believe there was five

codes fo r the aia rm prio r to Lhe -- prio r to this

incident .

9
10

Patty ha one , and 1 believe Jessie Anderson and J im

11

Bauder shared one ; and only th ose people could tu rn

12

off the alarm to come in the b uilding at any time

13

they wan ted Lo .

15

ooisl

Barjinder Ba1 probably had one; 1fm not

s u re .

aotsl

16

1 hacl an o1d list o f who had what ala rm

17

codes from 2002, so I don 't know w hat the -- when we

18

m oved in lo the b uild ing, f don 't know what had

19

been -- changes m ade since then .

20

Q.

21

alarm on and off?

22

oO:s1

Dennis had one , Warren had one, I had one :

14

j-wqyr

A.

Can y ou tell by those codes who turned the

Each user, from m y file , which is the

23

Nov ember of 2002 , that I got from Dennis, it had user

24

numbers Eor each code .

LIZA CHAPRN, CCR, RMR

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oo:sl

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 52 of 222

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Go , gor examp ze , I thin k I wa s User

N o . 12 , De n n is w a 55 U se r N o . l3 , a nd t he A T D A l a rm

lo(gs wh ic h we rfac i)ive d s how s wh a L u s e r n umb e r c afne in

and w hat hours f which one set the a la rm , which one

t u rn e d th e a la rm o f f .

6
7

8
9

10

Q.

oo:sz

Cou ld you te ll -- is a report generated of

th o s e c o d e s ?

A.

Right .

AT D keeps tho se and we geL them by

request .

Q.

Did ycu request a rep ort for who was in

11

and out of the bu ilding on the w eekend o f J anuary 7th

12

an d 8 th ?

13

A.

Yes , w e did .

checked -- we reset th e ala rm codes on the bu ild ing

15

on the 10th .

16

and we added new codes for just a smaller group of

17

p e op le , a n d w e a l so g o t t h e lo g a nd 5% sh o w e d t h e 7 t h

18

and the 8th weekend , User No . 13, wh ich is Dennis , is

19

the only one that cam e in the bu ilding .

Q.

21
22
23
24

We had AT D come out and reset the codes

Let me ask you a few quest ions .

You had ta lked about e-ma ils .

Were there

any e-m ails th at we re deleted at the com pan y?

A.

00:52

I requested it when 1

14

20

('

'7'

W ell , I do n 't know about everybody r but I

know in pa rticu La r 1 ran recovery so ftware on a

LIZA CHAPEN, CCR: RMR

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Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 53 of 222

.

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1o t. - - wda ra n re c(nve ry so f tkia re s ta r t inci o n t he 10 th

to try to recover deleted file s on eve rybody 's

machines .

A n d a 1 1 t he p ro g ram m e r s f w o r k s t a t io n s h a d

a wipe a ad delete prog ram , which is a prog ram used to

wipe off sp ace on the hard clrive .

them to Xecla ssify' hard d rives .

every sp ace on the hard drives .

T he m ilitary uses

It w ipes zeroes

10

run -- h ad this w ipe and delete program run on al1 of

11

them , so nothing was able to be recov ered from any o f

12

t h o se .

station and they had wipe and de lete run on there but

15

it hadn 't wiped and deleted a11 the area s .

16

The recycle bin are a hadn 't been wiped .

17

It h ad b e e n em p t ied b u t n o t w i pe d , an d I r e c ov e re d

18

nine e-m ail files from that that had b een de leted on

19

o r b efore December 11th and 12th .

21
22

oo:ba

But q ran it on Denn is ' personal work

14

20

ao:53

So .
/1 1 o f t he p ro q r am m e r s ' m a c h ine s h a d

13

1.

( g'

Q.

Did any of the other emp lo yee s complain

about the ir e-m ail files that had be en d eleted?

A.

I had one p rogramm er, Krishn a Tangira la,

23

comp lain that when I w as gone , Dennis took h is hard

24

drive away and gave it back to him with just a clean

LIZA CHAPEN, CCR, RMR

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slate harti dr.

i.v,, just: the ope rati-ng system .

And ) asked Dennis about that .

Th is is

th e we e k o f t h e 3 zd t o t he 6t h .

he said th at Krishna 's mach ine had crashed and died .

I a s ked De n n is a nd

A n d 1' c
as ke d K r j.sh n a an d h e s a id th at

wasn ': true.

too k his hard drive .

MR . FLYNN: Objection; hearsay .

THE COURT :

MR . FLYNN: Objection, hearsay.

11

THE COUHT :

12

A sk another questio n .

13

MR . JAKO PIN :

16

Sustained .

10

15

:Q:b4

The computer was working fine; he just

14

Fine , your Hono r .

BY M R . JAKOPIN :

Q.

O the c than Krishna , d id any o ther

Object ion ; he arsay .

18

T HE COURT :

1 'm not sure 1 'm go ing to

19

sustain that .

20

o f m ind and what they did afterwards than it doe s the

21

truth o f the matte r .

24

oo:ss

employees comp lain about e -m ails hav ing been deleted ?

M R . FLYNN :

23

o0:s4

It 's su stasned .

17

22

('

I thin k th is g oe s m ore to th eir state

1 111 consider it on ly for the former as

opposed to th e latter .

Go ahead .

LIZA CHAPJSN, CCR: RMR

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B Y M R . JA KO P IN :

Q.

Answer the quest ion .

A.

They d cln 't de lete

I d on 't believe the y

com plained about f'-nlails be ing deleted ; they

complained about sou rce code on their m ach ines beinq

deleted .

7
8
9

Q.

A.

Did you do any recove ry fo r e-m ails of

E-m ails, no .
1 only -- we t ried recovery of a 11 files

11

deleted, not just e-mails. We tried to recover

12

anyth ing deleted .

13
14

e-ma ils; we were tryjng to figure out what was

15

deleted .

00:56

We d idn 't know what was de leted overall :

17

so w e w e r e t r y in g t o re c ov e r t o d e te rm in e w ha t w a s

18

deleted .

19

MR . JA KOPIN :

20

THE CO URT :

That ls al1 1 have .

Cro ss?

O0:s6

21
22

24

oo:ss

So we weren 't just narrow ing in on

16

00:55

anyone othe r than Mr . Montgom e ry 's e -m ails ?

10

23

5a

CROSS EXAM INATION

BY MR . FLYNN :

Q.

You testified about a conversation that

LIZA CHAPEN, CCR, RMR

(775) 323-5492

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1
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54

yo u ha d w it h M lT. 1
',
1o nt g om e r y ab o u t b i g m o n e y ?

A.

Right .

Q.

And l3e lieve you said that Mr . Montqome ry

said that unless the gove rnment qave h im b ig m oney --

some thing ; is tlla t correct?

eo:56

A.

No .

Q.

No ?

A.

He d idn t mention the government .

Q.

Was it un less Mr . T repp gave him b ig

10

money ?

00:56

11

A.

M r . Trepp was the words he used .

12

Q.

And that conversation took p lace on

13

January 10th?

14

A.

That 's riqht .

15

Q.

Now , let 's go b ac k to the begin ninq of

16

your employm ent .

In m y offiee .

17

I 'v e n o ti c e d i n y ou r De c la r a t io n a n d yo u r

18

test imony he re , you keep us ing the singula r eTrepp id

19

sou rce code .

20

21

f 7-

A re you aware o f that?

A.

00:57

1 ca Ll it the co llective .

It 's m ultip le

22

projects, multiple source code files, so eTreppid

23

source cod e is probably m ore than a hund red different

24

projects, thousands of files.

LIZA CHAPEN, CCR, RMR

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-..e

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1

Q.

th a t j.n yo u r De c)1.a ra t io n

e T re p p id s o u r ca c cd e .

s:

Now , so you ag ree w ith me# though ,

y ou u se d t.h e E;in (
JL1ia r

In you c testim ony here , you fve been us ing

the e T re pp id s(3u rc e cod e i n t h e s i n(gu 1a r .

6
A.

R ight .

Q.

But wh nt you really m eant was

collectively ?

10

A.

11
12

R ig h t .

oc:sv

MR. JAKOPIN: Objection; argumentative.

BY M R . FLY N N :

13

Q.

ts that correct?

14

r HR COURT :

15

lt 's not a statem ent .

Ho , T th in k it 's a question .
n0:sJ

16

G o ahead , answer it .

17

T H E W IT N E SS :

18

Q.

23

24

N ow , let 's talk about what co llect ive ly

means .

n0:s7

21
22

T h at 's c o r r e ct

BY MR . FLYNH :

19
20

oo:57

You ag ree w ith that ?

O kay .

jg'

When you first started wor king at

eTrepp id , describe actually what you were doing .
A.

1 was programm ing the gam e engine that I

had develop ed previous to work tng fo r eTreppid ,

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.

c on L.
inu i ncg d e ve 1.o p j.ng o :1 j-t .

Denn is and W arren wanted me to possib ly

ma ke it into a Henny Rogers video gamez The G ambker .

We exp Lo red that route .

We exp lored many diffe rent routes , but

programming it .

Q.

How long did you work on that ?

A.

C o up Le o f y ea r s .

Q.

How many files would you est im ate you

10

created ?

C ompute r files?

A.

C o u p Le t ho u sa n d .

12

Q.

How lnany computer lbraries would you

14

e stimate you --

A.

15

1 1/1 tncluding the lib ra rie s.

When you compile source eode /
' it generates

16

libraries a s ntc rmediate files .

17

those as final fjles, but l 'm includ ing those files ,

18

as well .

19
20
21

22

23
24

Qo:sa

0O:b8

11

13

j
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Q.

You can a lso u se

So cart you characterize any of the se files

co llective ly as libraries?
A.

O r no?

Lib raries are part o f a source code .

They fre pre- -- they fre inte rm ed iate comp iled file .

Q.

0o:b8

How m any so urce cod es were there fo r th is

video qame techno logy ?

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The actual C++ fizes is what you 're

referr ing Lo ?

Q.

Kxp lain to the Cour l

- what a C ++ file is .

A.

T ha t 's the actua) - - wh en you 're

p rogramm ing, you can prog ram in va rious langu ages .

p rog rammed in C.4+ .

T h e y 're b a s ic a l ly t e x t f i le s .

read them with just a regular notepad, even, and

the se comp ile to generate librar ies as interm ed iate ,

and fknally as an e xecutab le .

11

00:59

So I -- you create the text -- these

12

va rious text -- Cd+ text fi Les, and I w ould say there

13

we re several hundred ; maybe 800 in the game engine .

14
15

Q.

Eight hundred source codes just for the

video technology hhat you worked for two years on ?

16

A.

Correct .

17

Q.

And that takes u s up to 200 1?

18

A.

Into 2002 .

19

Q.

And the --

20

A.

I m ean, I still work on -- I 'm shi ll

21

working on it regularly with one of ou r programmers :

22

M ich ae l Svatek .

23
24

0::59

Y ou ca n

10

.''r .

Q. Were there any other projects you worked

on betw een the inception of your emp loyment and

LIZA CHAPEN, CCR, RMR

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throughout the tioe you were workinq on the v ideo

game project?

A.

Theater System .

Q.

for that?

A.

10
11

:j

T he plqhyer that we used for the lntel Home

And Low many source codes d id you create

T here was not as many as the game engine ,

but a coup le hundred .

Q.

How many lines o f code were involved --

Thousands .

13

Q.

Tens 01.
2 thousa nds ?

14

A.

Ten s of thousands .

15

Q.

But you 're not calling those source cod es?

A.

That is C++ coding .

18

Q.

So there were tens of thousands of sou rce

21
22

23
24

u1:o0

Because that 's not C++ coding?

17

20

nn no

are involved in the video game technolog y?

A.

19

n!:no

1 can 't recall w ith tha t .

12

16

',

(.
7.

codes just for the video game technology?

A.

Yo u wouldn 't call th at sourc e code .

Sou rce code re fers to the ac tual code to

m ake up a program .

Q. Okay. And on this second project you were

wor king on, how many l ines of code did you create

LIZA CHAPEN : CCR, RMR

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A.

I d on 't recall .

1 wtlskeci on it w jth a coup le of other

programm ers .

Q.

Dur ing this period of time , did you wo rk

on any other addlional projects other than those

tw o ?

A.

Program -w ise r no .

Q.

So dur lng this two-year pe riod ,

10

col lective ly , hcw m any source codes d id you create

11

for eTrepp id Technology?

12

A.

Just add up the ones we just talked about .

13

Q.

So L,ow m any?

14

A.

Lines o f code or files or what are you

15

01:01

01:01

Rough ky ?

as king?

01:01

16

Q.

Wel L, let 's deal with line s of code .

17

A.

A c od e is n 't l i ke s om e l i t t le s im p le ca rd

18

or something. it's not just one little bit of

19

numb er .

20

ca ll -- source code is what m akes up a p rogram

21

i
,

59

d u r i n q t h a t tw (n- yt?a r p e r iod th c)t w e 're t a 1 k ing a b ou t ?

('-v
-j

You would n 't ca ll that a cod e .

You would
.

Go to m ake up y like , sayr fo r example r

22

W indows M ed ia Playe r, they have thousands -- 1O , 20,

23

40,0007 who knows how many .

24

collectively the source code that ma kes Windows M edia

LIZA CHAPFN, CCR, RMR

You would call that

(775) 323-5492

01:01

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 62 of 222

,

tM-.h

$.

P la y e r .

Q.

o f c o d es ?

A.

L inils; of code is mo re accurate .

Q.

And co llectivelyz to acces s those tens of

B u t th e re a re , in f,Ac t . t e n s o f th ou s a nd s
L j n.
E)s :?f (rod e ?

t h ou s a nd s o f l in e s o f c od e , h ow m u c h so u r c e c od i n g

wou ld you need?

A.

Your que stion doesn 't ma ke m uch sense .

Q.

Does it a 1l end up in an executable file?

10

A.

lt al1 ends up in one file .

11

12

01:02

help er files , if you want to b e simp le ab out it .

DLLS are like -- you would say W indows

14

Med ia Playe r ha s one executab le and m aybe 10 , 20

15

add itiona l files to m ake it run .

16

Q.

A l1 right .

01:02

How m any lines of code a re

17

i nv o l v ed i n t ho se tw o ty p e s o f fi l e s ?

18

file or the executable?

19

A.

20

thousand .

21
22

23

24

O1:a2

O r possib ly auxilia ry DLL files , which are

13

jj(;

T he h e lp e r

Tens of thousand s; 50,000 , m aybe a hund red

01:03

For like the W indows Operating System ,

it 's m illions of line s o f code .

Q.

So if we we re dealing w ith som ething you

want to call source code to access that --

LIZA CHAPEN, CCR, RMR

(775) 323-5492

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 63 of 222

)...h

t--77.

(;).

A.

U h -tllh .

Q.

-- how many actual kines o f code would we

b e dea ling with in that source code?

4
5

A.

For krhat, like the p layer 1 made for

lntel?

01:03

Q.

Yeah .

A.

That one had thou sand s of lines .

The game engine thah 'sr you know -- lines

in there , 1 b e l.aev e there 's 50 ,000 , prob ab ly , in al1

10

the various p arts .

11

01:03

Q.

A nd whatt would you call those?

13

A.

There ts no codes, plu ral ; it 's code ,

14

singular .

15

Q.

12

16

Source

codes?

But Lt involv es tens of thousands of lines

o f code?

17

A.

L in e s o 1: c od e i s th e a c tu a l t e rm .

18

Q.

Okay .

20

A.

Which technology?

21

Q.

This technology for the v ideo game ?

22

A.

We have that .

19

23

Now, where is that technology

toda y?
01:03

That hasn 't been deleted .

It 's kept on m y m ach ine ; m y programmer ,

t'
1,

24

:1:03

Michael Svatek rs , mach ine ; and also we have that

LIZA CHAPEN, CCR, RMR

(775) 323-5492

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 64 of 222

.

q
'-.h
'

l
,

(..
u
'

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6z

T ha t w a sn 't d e le ted .

Q.

So when you we re g ivinq your te stimony on

direct , when you sa id a11 the se source code s --

e'
rrepp id source code was de leted --

A.

Uh-huh .

Q.

-- you weren 't re ferring to two years o f

work and tens of thousands o f lines o f code , pe rhap s

million s?

10

A.

11

Dennis ha s never had any invo lvement in

Q.

You were not referring, even though you

11

used the s ingu lar f you we re not referr ing to those

15

ten s of thousands o f line s of code on the v ideo game

16

technology , w ere you?

17

A.

No .

18

Q.

And that is eTreppid source code , isn 't

20

A.

That 's som e of the eTrepp id sou rce code .

21

Q.

But you didn 't m ake that d istinct ion , did

23

A.

We 've got r I would say --

24

Q.

Please. Again, you didn 't make that

22

01:04

Please , p lease , M r . V enab les .

13

19

01:04

do ing the game eng ine .

12

s t i.1 1 o n o u r S 11C SF,J?V E R .

'

ol:a4

it ?

you ?

LIZA CHAPRN, CCR, RMR

(775) 323-5492

01:04

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 65 of 222

r
t
.'w'.''
j
1
f

A.

-- one pe lcent o i the eTrepp id source code

i s t h e g a m e e n g in e .

Q.

Th ank you .

S o L f7 th e re a re t en s o f th o u s an d s a nd th a t

represents one percent , then the eTrepp id source code

involves m illions and m illions of lines of code , does

it not ?

A.

We don 't have tha t much .

is m ore complex than a 1ot of the other eT repp id

11

stu ff .

13

1 would say in the hundreds o f thousands .

Q.

A re you able to d raw on the b lackb oard an

outline o f th e networ k stru chu re , the in frastructure

15

at eTrepp id T echnologies?

16

A.

IV

.Q.

18

A.

01:05

Yes .
How the computer ne twork was set up?

Yes .
MR . FLYNN :

W ith the C ourt 's pe rm ission,

20

could we m ove the b lackboard pe rhap s over here so the

21

Court could see it?

22

THE COU RT :

Yes .

23

MR . FLYNN :

And hav e the w itness --

24

01:05

14

19

n1:as

T he game enqine

10

12

)'

63

distinct ion ?

2
3

(%.g

BY M R . FLYNN :

LIZA CHAPRN, CCR: RMR

(775) 323-5492

n1:ob

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 66 of 222

(r...j
1
(

Q.

64

Be fo ,7e w e do tha t:, d id yo 12 h a v e , in yo u r

.

hom e, a pe rsona l connection to a L1 of the servers at

eT tepp id Techno lo gy?

A.

p rivate networ k.

I hacl a d jal-up VPN at my house , v i rtu a l

0l:oG

T hat lets me connect to the office through

an encrypted hunnel so the passwords o r anything else

cou ldn 't be sp ied on over the (nte rnet , and 1 had seL

up that VPN in September of th ks p ast year so I can

10

mon itor our ma gLl server on our WEBSERVER .

11

Q.

Why d id you set that up ?

12

A.

So

13

E can monitor our ma il servers and our

Occasionally , our netwo rks would go down

15

and I w an ted ho m a ke sure that -- Dennis w anted to

16

ma ke su re -- I w anted to m ake sure that they w eren 't

17

g o in g - - t h ey w e r e n 't dy i n g o n u s g a nd I c a n w a tc h

18

them from my hou se .

19
20

house .

on o6

Q.

Did anyone else have that capability?

22

A.

No .

24

oz:o6

That could only b e connected to from my

21

23

01:06

WEBSERVER and ou r network status .

14

Patty G ray wanted it set up for her house

in Phoenix, but wzj hadn't set that up yet .

LIZA CHAPEN, CCR, RMR

(775) 323-5492

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 67 of 222

)--j
1
t

Q.

(;s

And so you -- what would you call it ,

v irhua t p rivat a network?

A.

T h a t 's r ig h t .

Q.

Can you tell the Court w hether you d id

this because a rte r a ce rta in date and tim e there

seemed -- there began a period whe re there were tens

of hhousands o f efforts to intrude into the eTreppid

software?

A.

contract was made public by som e sort o f press

11

release by som ebody in the military r ou r n e tw o r k w a s

12

constantly under attack .

So w e beefed up ou r router system .

0nn7

I got

14

a m uch stronger C tsco rou ter , and l ran -- sta rted

15

running in tru sion detection software to see who was

16

try ing to get into ou r networ k from the outside .

17

18

Q.

01:07

Now y man y hits after the first -- can we

call it a m ilitary contract?

19

A.

Rkght .

20

Q.

A fte r the first m ilitary cont ract w as made

21

pub lic, a s you put it, how m any hits began to ap pear

22

per day?

23
24

a1:ov

A ftez , I believe , our first m ilitary

10

13

4
'
;

('.
y

A.
fo

We w ere getting thousand s a day g prob ab ly

ur or five th ousand .

LIZA CHAPEN, CCR, RMR

(775) 323-5492

01:08

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 68 of 222

;
'=..;

(x..;,?

1
t

t he re w e re a lo t ; 4- to 5 ,0 00 ra n g e .

I kfaep a lo .

inputs .

Q.

were you gett ing?

9
10

1 have a 1og o f a11 the

It 's been record jng s nce that period .

A.

A nd p rio r to that , how m any h its per day

01:08

Plior to the m ilitary contract?

W e host variou s web s ites ,

so includin q

tho se , probably a couple hundred , maybe 500 a day .

Q.

So it went from 500 a day to 4- to

5 ,000 --

ol:aa

11

A,

T housand .

12

Q.

-- or mo re per day?

13

A.

Right .

14

Q.

Now , the first m ilita ry contract : just in

15

as few wo rds as possible to give a desc ription o f it

16

for the C ou rt , how would you characterize it , just in

17

te rm s o f s om e t y p e o f a d e sc r ip t io n ?

18

A.

19

contract .

20

Q.

Warren and Dennis --

In fact , you never had access to any of

the source codes o r any of the governm ent contracts

22

did you ?

24

A.

n1:oa

I don 't have a l1 the d etails about our

21

23

1t '.
l; tap i?red o f f s in cia, bu t. in i t ia 1 1-y

(:
;(;

I d on 't actually -- 1 know what program s

we delivered to them

LIZA CHAPEN, CCR, RMR

(775) 323-5492

01:09
,

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 69 of 222

Q.

A l l 1-j.(
gh t..

A.

1 was invo lved in --

Q.

You neve r had ac cess to any of them?

(Discussion o ff the record .)

T H E C O U RT :

M R . l3EF,K :

his answer be fore --

T H E CC U R T :

Q.

11

Y e s , y e s , ye s .

W hat 's the answe r to my question?

T H E CG UR T :

L e t h im f in i sh t h e l a st

THE WITNESS :

11

THE COURT :

Which part?

Do you rem ember the question?

BY MR . FLYNN :

Q.

01:09

Did you ev er have access to any of the

17

l in e s o f c od e d on e b y M r . M o n t go m e ry o n th e s ec re t

18

government projects?

19

20

A.

01:09

The actual code to generate those

executab les , I haven 't seen an y of that .

23
24

1 know what executable s we de liv ered .

was involv ed w ith the delive ry .

21
22

01:09

answe r.

16

f
'

Will he he allowed to finish

13

15

nl:09

BY MR . FLYHN :

10

12

O n e a t a Lim e .

Q.

Yo u were never given acces s to them , were

you?

LIZA CHAPFN, CCR, RMR

(775) 323-5492

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 70 of 222

(
h'
-h
,
'

'

'

- .- - -

.- -

- =

'
r'

A.

R i.g h t -

Q.

N ow , can we use the term , fo r the first

m ilitary contract , facia l recognihio n?

A.

I don 't even know if that was it .

1 be tieve the first contract was more with

the Predator .

pub licly known th Lrlg .

8
9

Q.

So you d on 't even know wh ich one actually

came first ?
A.

H uh -uh .

11

Q.

Is l t fair --

12

I hav e a --

01:10

Go ahead .

A.

I have an actua l -- for pa rt of ou r

14

fac ilit y, m iljtary fac ilit y, l 've got copies of

15

the -- what 's ca qled DD Fo rm 254 f wh ich is the

16

m ilitary cont ract gorm .

17

18
19

cn zo

I h a v e t h e eo p i e s c)f th e o r ig in a l o n e o f

that , and th e first one c ame from the A ir Force .

Q.

S o you were g iven -- because of the actual

20

fo rm in the cont ract, you were given som e knowledge

21

by someone at eTreppid about what the end result was

22

of what M r . Montgomery wa s doing ; is that a fair

23

character izat ion?

24

on lo

That ts the public -- pub lic --

10

13

(jjj

X-.

. .

Ju st overall , general , what it w as ab out .

LIZA CHAPEN, CCR, RMR

(775) 323-5492

01:10

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 71 of 222

a.,h
(;,y
I.
.

1
1

D.

B u t y o u w ou l d n ev e r - .- no 0 ne e v e r to 1(El
.

you sp ec i f Lc a 1 1.y 'ah a t h e w a s do i (Ag ?

A.

No .

Q.

A 11 riqht .

outline o f the ne tworking infrastructure at

eTreppid --

7
8

10

THE C'OURT :

Ts there something for him to

T HE CLERK :

I be lieaze there 's ch alk up

the re .

01:11

11

T HE CO URT :

O kay .

12

T HE CLERK :

Would they like to u se the

13

16

17
18
19

A 11 right .

paper or the chalkboard?

14
15

01:11

write w ith ?

(
.

If we cou ld have you c reate an

THE COURT :

t pre fer the paper , if we 've

got some .

01:11
M R . FLYNN :

The pape r may be better for

your Honor, if you couYd just makntain custody of it .

THE COURT :

I dm going to m aintain custody

o f it a fter it s filled out .

20

And we 'll mar k it --

an zz

21

M R . FLYNN :

Thank you , yor Honor .

22

T HE COURT ;

-- as Exhibit 1 .

23

Did you hear that , Greg?

24

THE CLERK :

Yes .

LIZA CHAPEN, CCR, RMR

(775) 323-5492 '=

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 72 of 222

I)
'

. --

7:
.-

(Exhibit 1 was marked for dentification .)

THE W ITNESS :

4
5

What exactly do you want m e

to dkaqram ?
Hetwo rk structure is pretty open ; we don 'h
h a ve a 1o t o f d tv js io n s .

01:12

(Discussion o ff the record .)

THE W ITNESS :

Ou r netwo rk struc tu re is

fairly open .

sub-networ ks on our netw ork .

10

We clon 't have any subd ivisions or

W e have our m ain Internet , sa y, com ing --

11

say this is the Tnternet com ing into ou r ma in router,

22

which is C isco router .

13

of fire w all instruction s w hich prevents w hat can

14

com e into the netwo zk .

15
16
17

0::12

In that route r, I have a list

I basically 1et eve rything go out ; hhere 's

n1:12

no re striction on that .
A f t e r t h at , I h av e a s e r ie s o f sw itc h es

18

set up in a rack that al1 of the comp uters in the

19

bu ildings are set up to .

20

another interm ediate router be fore this , wh ich does

21

our NA T , wh ich is Network A dd ress Trans lation .

22

('7/

--

'

I actua lly go thtough

So everybody on the Intel network is on a

23

priv ate IP seqment, so these m achine s c an 't even be

24

seen from the Internet except through one IP

LIZA CHAPEN, CCR, RMR

(775) 323-5492

01:13

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 73 of 222

(..-)
1

to tell you what it is , but t 's one private IP

everybody 's in the bu ild ing r looks like , o u t o n th e

n etw o r k , o n t h e In te r ne t .

sitez everybody in the build kng looks like just one

IP.

So if you 're busy in a web

building are p lug ged into this .

server s and a11 the wo rk stations thah a11 the

That includes our

p rogramm ers use .

11

on la

I had one other segmen t o f network set up

12

out in the w arehouse .

13

Denn is u sed regularly for do ing som e o f h is

14

classified pro jects.

15

These a re the machines that

Th ose were going th rou gh anothe r m achine .

16

That m a chine was the gatew ay to th is network .

17

w e r en 't a n y re s t r kct io n c o n t ro l s ; th ks t r af f i c w as

18

two-way .
We were go ing to put another route r he re

20

in p lace o f th is comp uter because this compute r was

21

not ver y rel iab le .

22

24

That s the basic st ructure .

BY MR . FLYNN :

Q.

What would we call this?

LIZA CHAPEN: CCR, RMR

(775) 323-5492

01:13

There

19

23

01:13

T hen, every -- a11 the m achines in the

10

.yy

T his one IP is set up -- 1 don 't even need

tq
..yj

01:14

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 74 of 222

f Ah

t-7

1
t

2
3

Y o u sa .
Lcl it 's in t hi? kla re ho u se ?

T h is s e t

o f ma ch in e s t h (
:,t 'po u s a id De n n 1s w a s '
ao r k ing w it h ?
A.

De n rli s c a 11e d the ra 12h63 c lu st e r .

T h e y w e re

a (
Jro up o f W inc1ow :5 )(P w o r k s ta 1:ic)n s s et up i n - - a t

va r .
i.o u s t im e s f w e l-la d d i f f'e re n t am ou n t s .

in each rack .

cab inet .

10
11

Q.

Each one of the se w ou ld be a rac k

A nd whe re was Dennis actua lly wo rking in

connection w ith the clu ster?

A.

o f d iv ided in two p arts .

13

offices .

17

18
19
20

21
22
23
24

The fronh section is

This back sect ion here is w arehouse .

14

16

01:14

Th is w as up in our -- our building is kind

12

15

:1:14

T here 's about five of these work stations

j
'

72

az

..

Denn js had set up a ser ies of tab les out

he re that he wo rked on .

Q.

O kay .

He was regularly out here .

1:14

A nd where did you w ork ,

M r . Ve n ab l e s ?

A.

Our serv er room was up in th is area and my

o ffice is right next to it .

So our servers were here and I was here .

Q. Okay . Could you just put the initials DM

down there .
And wh o w orked in these work stations over
here in the warehou se , near Dennis?

LIZA CFIAPEN, CCR, RMR

(775) 323-5192

o1:z4

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 75 of 222

r'
-)
1
'
'

A.

Ju s t. Ee J1n i.s .
W a 1'r e rl ()c CJa s io na 11 y w a s o ttt t h e re w o r ki ng

w it h h im .

Q.

A nd n o ()n e e 1 se '?

A.

R ig h t .

Q.

D ici y o u ev e r (
;o o u t th e re a nd w o r k on a n y

8
9

Ol:Lb

o f t ho se w o r k s ta t io n s ?

A.

Troubleshooting , helping him clone them to

m ake more of them .

10

Q.

Bu t actually creat ing line s of code --

11

A.

No .

12

Q.

-- d id you ever do that ?

13

A.

Neve r .

14

Q.

The answer was neve rr correct ?

15

A.

Righ t .

MR . FLYNN :

17

Y ou ca n r e su m e t h e s ta n d , p l e a se .

18

THE COURT :

22

Than k you , sir .

A re there going to b e any

additions to th is draw in g?

20
21

ol:ls

01:15

16

19

73

M R . FLYNN :

I believe so .

THE COURT :

A ll right .

M r . Montgomery

w ill be - -

23

there y then , untjl we --

24

BY MR . FL YN N :

LIZA CHAPEN, CCR: RMR

We fll leave it up

(775) 323-5492

o1:ls

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 76 of 222

-

Q.

Where were the programmers achua lly

tha t the p rogrammers --

A.

R i g ht .

Q.

-- were actually wo rk ing ?

A.

Th at section there Lhat 1 have that Lop

01:16

diagram o n is actually a two-s to ry a rea .

warehouse is a k1 sngle-story .

11

12
13

The

So some of them were on the seeond floor

Q.

So , for exam ple , on the v deo game , was

th at d ata com p ressson-type technolo gy?

A.

No, just 3-D rendering.

15

Q.

So e'
rreppid Technolo gies was doing

16

software technology other than just data compression,

17

c o r re c t ?

A.

19
20

23

24

01:16

Co rrect .
MR . PEEK :

Counse l, I can 't see the

w itness .

01:16

21

22

0n t6

some we re on th e Jrirst floor .

14

18

/4

I believe -- are these the work stat ion

10

f-''7

working ?

3
4

T han k you .

B Y M R . FLYNN :

Q.

A nd who w as in charge o f these prog rammers

working over heue?

LIZA CHAPEN, CCR, RMR

'

(775) 323-5492

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 77 of 222

1
/
z'7

(
.
''-SZ

.'

1
2

A.

Gentqra Lly Denn is wats in cha rge o f a 11 the

prog ramm ers in th e bu ilding .

3
4

y:

Q.

A nd who were -- can you give the identity

o f those p rogramm ers for the Court?

A.

Upsla i rs area or the downstairs area?

Q.

Upsta i rs first .

A.

Upslrairs, we had Aarjinder Bal.

I oI4ly remembe r hjs first nam e , Ka rthik.

T h is i s c u r re n t ; w e dv e h a d p e op le com e a nd

10

g o ove r the yeazs .

11

Venkat a Ka lluri .

12

Lal i.th Tenneti .

13

Q.

14

15

01:16

lf t could just stop you there .

Mr . Ba ls and M r . Ka llur i are the same

people that have subm itted Dec larations in this case ?

16

A.

Co rrect .

17

Q.

But they never wo rked with Dennis down in

18

th is o ther a rea you 've got dow n be low , either , did

19

they?

20
21

22

91:16

A.

Th ey were occasionally down there .

do n rt know for what .

The upper a rea had g lass w ind ows so we

23

could see who went down to that area , an d I observed

24

just about everybody in the building down there with

LIZA CHAPEN, CCR, RMR

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01:17

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).-)
1

y(y

De n n is a t o ne t im e o r an o th e r .

Q.

cr e a ti o n ?

A.

Fo r /1hat project'?

Q-

T o y 0 u 17 kno w l ed g e ?

A.

I have no idea wh at they d id for him .

Q.

O kay .

B u t th 6)y 14e v e r d id a n y so u rc e c od e

ol:17

: nd would you cont inue with the

identity o f the programm ers, p lease .

A.

10

that one .

Just programmers, Michael Sv atek ; you got

01:17

11

Jessie Anderson .

12

I believe that 's a1l hhe p rogramme rs

13

upsta krs .

14

p ro g r amm e r s .

15

Q.

The re 's other people , b ut those are the

All right .

Now , so you tv e done -- during

16

those first two years , did you do any work that we

17

w ou ld c a l l d at a cem p re ss io n - t yp e w o r k?

18

A.

No .

19

Q.

Do you know of anyone who did?

20

A.

Ven kata d id .

21

Q.

A nyone e tse?

22

A.

I 'm su re others .

23

nl:la

I know h im for su re ; I rv e seen the

24

prog ram s he 's worked on .

.

LIZA CHAPEN, CCR, RMR

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?-)
1
j

Q.

.1-1

Dur in tho se first two years , what

p e rc e n ta r
ge o f Lh e c;om p an y w o r k , i f yo u kno w , wa s da ta

co mp re s s i()n - t yp e w o rk ?

4
5

A.

1n i t ia 1 J.y,
.

I L)e 1ieve that was the rt

ajority

o f w ha t. w e we re clo ng .

Q.

:&:1e

Have you ever seen any of the books or

records o f the com pany ?

A.

No .

Q.

Have you ev er seen any of the agreements

10

between Mr . --

11

A.

12

of:la

No .
We lt, a s far as record s , 1 h ave th e

13

majority stockholder list as part of our facility

14

security .

15

Q.

In you r office?

16

A.

Yes .

17

Q.

De scribe those records, p lease .

18

A. They show who the majority shareholders

19

20

r'-h

I have that info rmation .

n1:18

a re .

For ge thing you r facility se curity

21

c learance , you need to know if the com pany ha s any

22

foreign inte rest in the com pan y so that we could

23

have -- foreign interest or influence , so the records

24

show -- 1 be lieve it 's Friendly C ap ital Partners ,

LIZA CHAPEN, CCR, RMR

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)
1

Q.

That 's M r . Trepp , a lso, correct?

A.

M r . T re p p re p re s en t :T D e nn i s a n d B re nd a

M on t gom e ry , a n d 1 b e l ie v e o ne ot h e r s ha r e - - th e r e 's

three shareholders on this as the majority

s h a r eh o ld e r s .

Q.

Is W ayne Primm one of tho se ?

A.

He 's not on the list .

Q.

Is Randy Ha lloway on that list?

10

A.

The list has M r . Trepp personally ,

11

Mr . T repp representing Friend ly Capital, and Dennis

12

and B renda Monlrgom ery .

14
15

Q.

Is M ichael M ilken in an y of the records as

17

T e c h n o lo g ie s - -

18

A.

Not that I know o f.

19

Q.

-- that you have p ossession of?

20

A.

N ot that 1 have, no .

21

Q.

A re you awa re that M r . T repp has stated

24

ol:la

majority shareholders list.

be ing shown as a shareho lder o f eT reppid

23

01:19

Those are the three ma in entities on the

16

22

78

a nd - -

13

fN)

o1:la

that he is a sha reholde r of eT reppid Techno logy?

A.

Yes .

That Mr . Trepp is ?

LIZA CHAPEN, CCR, RMR

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7.
. -6
.

1.

Q.

'
i'h a t M r . M i-lke n i s .

A.

O h , i do n 't kno w ab (3u t: th a t:.

Q.

A r e y'o u a wa re o f w h (n M r - M i 1 ke n i s ?

A.

Ye s .

Q.

In fa ct , h e 's - - ha ve you e v e r

parhicipated in any discussions with M r . T repp about

M ichael M i tken 's knvolvement o f eT reppid Technology

and bein g a co nv icted felon ?

MR . FLYNN :

If 1 can finish z your Honor .

11

THE COIJRT :

Yeah , 1et him finish the

12

question.

13

until 1 hear it .

14

BY M R . FL Y N N :

16

Q.

In being a conv icted felon , and that fact

01:20

o1:zo

in te rtering witb the governmen t milihary contracts?

THE GOIJRT : Wait.

18

Sit down, Counsel, just for a minute .

19

A 11 right .

20

THE WITNESS :

Hold on just a second .

He 's never ta lked to m e

ab out M r . M ilken .

22

MR . PEEK :

23

T HE COIJRT :

24

O1t20

I don't know if it's objectionable or not

17

21

79

MR. JAKOPIN : Objection, your Honor.

10

15

47

Mr . Venab kes , p lea se .

N ow , go ahead and a sk the

question so I can --

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ap

B Y M R . FL Y NN :

Q.

Have you ever had any d iscussion with

Mr . T repp ab oui M r. Milken being a shareho lder o f

eTrepp id '
rechno logy, and that ract, because he is a

conv icted felon a t the Drexel -- d uring the Drexe l

days --

M R . PE KK :

conduct .

H Y M R . FL Y N N :

10

There 's no question --

Q.

-- o 1' interfering w ith a government -THE COURT :

12

M R . PE KK :

13

THE COURT :

16

THE COURT :

19
20

21
22

W aih a m inute .

Your co-counse l is handling

this witness -M R . PEEK :

18

Wait, w ait .

01:20

Yo u r H o no r , t he r e 's o n ly - -

15

17

o1:2a

Your Hono r, th is is outrageous

11

14

;zw ,,

O kay .

01:20

-- so a llow him to dea l w ith

t h is i s su e .

MR. JAKOPIN : Objection, your Honor.

He

answered the que stion no .

THE W ITN ESS :

He 's never ta lked to me

about M r . Milken ; never .

T HE COURT :

Well , I - - th is is

23

cro ss-exam inat ion .

I don lt know whethe r there 's any

24

relevance at a11 to this issue about the fe lony

LTZA CHAPEN, CCR, RMR

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on al

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 83 of 222

,--A
1

r'l

a1

c on v ic t i on .

I 'm p e rsona lly very wel l aware who

M r . M lken is, i know what his bac kqround is y and if

we had a jury here, 1'd be a little more worried

about it, but we don 't have a jury.

01:21

i 'm go ing to try to sort out what I thin k

has som ething to do w ith this case , what doesn 't f so

I'm going to go ahead and 1et you go with that just a

little b it , but I do want you Lo tie it in on a -- on

10

relevance ground s.

11
12

0i:21

Mayb e it has to do w ith security

clearances .

13

MR . FLYNN :

lt does, your Honor , and when

14

M r . Montgome ry testifie s, we 'll go into it .

15

BY MR . FLYNN :

16

Q.

91:21

In the boo ks and records that you have, as

17

I u n d e rs t an d y o u r t e s t im o n y , yo u o n l y sh ow t h r ee

18

sha reholders?

19
20

21

A. Three majority; that 's a11 we require for

our fa cility c learance .

01:21

T he gove rnment doesn 't care about any

22

m inority shareho lde rs , any lowe r than -- I forget the

23

num ber ; I think it 's four percent .

'

24

Anything lower than that, they don 't care

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y'-.
X)
1

j'y

''

Q.

Did yo u eve r have any conv ersations with

anyone from the government about the identity of any

of Lhe shareho Lde rs o f eT repp id Technology?

A.

Thev just wanted to know who the majority

Q.

A nd yo u gave them - -

A.

Basiad on tha t, hhey granted us ou r

10
11

12

facilsty clearanc e .

Q.

O kay .

Explain to the Cou rt what a

A.

FaczLlity clearance is what we get as a

collect ive after the ke y people in our company got

14

their personal clea ran ces .

T he ke y peop le that we 've subm itted were

16

Denn is Montgomery , Warren Trepp v and myself as our

17

fa c i l it y s e c u r it y o f fi c e r .

18

01:22

fac ility clearance is .

13

15

01:22

o n e s w e re .

gyg

a bo u t .

t
'

01:22

A fter u s three got our clearances, they

19

reviewed w ho the sha reholder s were, and a fter that ,

20

what cont ract we had w ith the gove rnm ent -- you

21

have -- to get a clearance : you have to have a

22

cont ract that spec ifie s comp liance , and afte r that

23

they gran ted u s ou r facility clearance , meaning we

24

can handle cla ssified material after a further

L IZA CHAPENy CCR, RMR

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1--.
1
'

Q.

A.

We weren 't given that fina l pe rm ission

yet .

inspection to kn spect our storage conta iners, our

sa fe s .

9
10

It said tha t w e could but we needed furhher

Q.

been giv en a final security clearance to store

classified m aterial ; is that co rre ct ?
A.

C orrect .

12

Q.

A nd your explanation of the reason why is

14

A.

The rules state that DSS , De fense Security

Serv ice , is in charge of granting th at fina l storage

16

c learance .

17

e x it p r o ce d u r e s to r t h e b u i kd in g , o u r a la rm c o d e

18

stu ff, and also what storaqe containers we fre using

19

and how w e m aintain the proced ures fo r ente ring and

20

takinq out classified m ateria l, wh ich w as part of

21

that review on December 10th , that Jay Dixon came to

22

start -- initiate .

24

:t:23

what aga in , M r . Venab les?

15

23

01;2a

So as of today 's date, eT repp id has never

11

13

Did that c learance (pive eT repp kd the rght

to store any c lassified m aterial ?

83
.

inspech ion to see what storage capab ilities we had .

2
3

y'-$

Q.

01:23

Th ey come and inspe ct wha t our ent ry and

A1l right .

Let 's go back to -- let 's go

back to the var iou s technologie s that you were

LTZA CHAPEN, CCR, RMR

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!r->
'

'

inv olved in , and 'L gu ess We 're up to some tim e in

200 1, and we 've got: the video gam e technology,

correct ?

A.

Correc t.

Q.

A nd the other technology -- what did we

A.

11
12

T forget the name of iL .

Q.

15

it was a med ia

And what time in 2001 d oe s that take us

to?

0t:24
A.

That was up unt l 2002 be fo re we moved to

our current bu iYd ing .

13
14

We movecl to our current bu ilding in August

of 2002 .

Q.

O kay .

And whah d id you work on a fter

16

these other technolog ies that you men tioned for

17

eTreppid Technology?

18

A.

infrastructu re whatsoever .

20

that up , working with contractors to w ire our

21

bullding , se tting up al1 the n etw or k stuff .

22

24

01:24

The b uild ing we mov ed into had no network

19

23

cl:24

player fo r the lntel Hom e Thea te r Gystem .

9
10

'

call that , Mr . Venable s?

'

a4

6k

r'-h'

1 wo rked on setting a11

o1:2b

W e had nothing in that bu ild ing , so I

wo rked on that .

Q.

Fo r how long?

LTZA CLlA PEN, CCRz RMR

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)G.,h
1
!

A.

It too k about a yea r to get it to whe re it

is now .

Q.

So dur Lng that year , clid you ha ve anything

to do w ith creating source codkng for any codes for

eTreppid Technology?

6
7

A.

o1:2s

On a regular basis, 1 dea lt w ihh M ichael

and wh a t h e w a s d(7ing , b u t o t h e r th a n t h a t , no .

Q.

M ic #1a e 1 '
aho ?

A.

M icla e 1 Sva t e k . wo r k ing o n the game

10

11
12
13
14

ertg ine .

:l:2s

Q.

So other than tha tr for another whole

yea r -- we lre now up to when in 2002 , would you say?

A.

We rre into 2003 by the t ime we finalize

our full networ k se tup .

15

Beg inning in 2003 , I was involved w ith

16

d oing a 11 the purchasing and designing of the

17

h ar dw a r e t h at L e 's g o t o u t th e re o n t h at r a c k - -

18

system of rac ks .

19

Q.

20

('

pb

1:2b

So , again , no involvement with regard to

creating source coding for eTreppid T echnolog ies?

21

A.

No.

22

Q.

Is there an y time up to the pre sent , since

23

your invo lvem ent in the video game s, where you 've

24

b een invo lved in creating source code for eTrepp id

LIZA CHAPEN, CCR , RMR

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7
1

a6

T e c h n ol o g y ?

A.

N o t s inc 6) th e n f no -

Q.

Do you h ave any know ledge as to what

percentage of the eT repp d business invo lved data

comp ress ion techn olog y up unti t December o f 2002?

A.

m o n e y ca m e fr om .

Q.

So you have no know ledge of even what was

paid for any of the projects eTreppid was working on?

A.

No .

11

Q.

Do you have any know ledge of how m any

13

01:26

projects eTreppid was doinq?

A.

14

To tal. number, no .
I thin k Patty Gray, Dennis and W arren were

15

probably one the on ly one s -- the only three that

16

know al1 that .

17
18

Q.

Let 's call one technology dat a

You apparently never worked on any source

coding for data com pression ?

:1:26

21

A.

That 's correct .

22

Q.

We 'l1 call the other one vide o com pression

23

24

01:26

comp ression .

19
20

c1:26

I hav e no idea where the b reakdown of

10

12

j'

-7

technology .

Is that basically the game?

LIZA CHAPEN, CCR, RMR

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h
1

A.

No .

V ideo comp resson is for p laying b aek

video, such as a IIVD or just a video file itself,

like , for exam p ie y compre ssnq a DV D m ov ie to fit

onto a CD .

Q.

01:24

So you have no knowledge a s to how much

sou rce cod ing was d one by eTreppid for video

compre ssion tec bnology; ks tha t correct?

10

8-1

game ?

A.

I 've seen the variou s p rogrammers and what

projects they 're working on and --

11

Q.

Do you --

12

A.

-- l 've dealt w ith that video compression

13

14
15

Q.

Do you know what pe rcentage of the company

business that Lnvolved?

01:27

A.

No iclea .

17

Q.

Do you know what percentage of the company

revenues that inv olved?

19

A.

1 have no idea .

20

Q.

But aga in

21

you never created any source

coding yourse lf for that?

22

A.

No.

23

Q.

Did you ever have an y access directly

24

01:27

for the Intel Media Player .

16

18

('

where you loo ked at the sou ree coding for v ideo

LIZA CHAPEN, CCR, RMR

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)
1
'
'

8i'

comp ress ion techno logy?

A.

I h,
itci w o r ke d w i.th on e o f the p rog r amme r s

on the stream ing o f ou r v ideo com pressed videor

Lalith Tennetir so T've seen some of Lhe projects he

W o r ke d o n .

6
7

01:28

And a lso with one o f the p rior employees ,

Am it .

1 forget Am it 's last name .

l 've se en some of the stu ffy he lping them

10

11

'
-5

hrouble shoot , comp iling stu ff .

Q.

:1:28

Do you know how many Lines o f sou rce

12

coding there are at eTreppid fo r the video

13

compression technoloqy?

14

A.

1 have no idea .

15

Q.

Do you know how many lines o f source

16

coding the re are at eTrepp id for the data compression

17

te c hn o io g y ?

18

A.

No .

19

Q.

When you gave a11 this direct te stimony

20

and you we re doing th is search w ith a11 of the other

21

employee s, as you put it , did you go b ack and loo k

22

for source coding for data compression or v ideo

23

comp re ssion techn ology?

24

A.

we loo ked for all deleted files .

LIZA CHAPEN: CCR, RMR

(775) 323-5492

01:28

01:28

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)
1
(

Q.

A.

Q.

A.

Q.

So you could -- as you s1t here Loday ,

BY MR . FLYNN :

Q.

-- for data compression techn oloqy in the

15

computers at e'
r repp id that you haven 't even chec ked

16

yet ; is that correct ?

MR . JA KO PIN :

THE COURT :

23

24

Ob jecton ; using ''aource

1 'm not sure I understand the

objection .

21
22

01:29

code s'l is imp rop er , foundation .

19

20

:z:29

MR. JAKOPIN : Objection.

17

t '

T don 't know what fjles we 've recovered .

there cou ld be tens of thousand s o f source eod es --

14

18

01:28

deleted files ; we have n 't gone through them all.

12
13

1s the )'e an y dat a comp re ss i o n t e chn o logy

We 're st ill in the p roeess o f recov ering

10
11

Y ou c art'11 d o a s e a rc h fo r (1e 1e t ed fi le s b y

so u rc e c o d i ng 84t e T .
re pp id t.o d a y # if y(3u kn o w ?

Did you loo k for any sou rce cod ing fo r

w h a t ki.nd o f t ec h fko.Log y it i s .

5
6

89

da t a c o mp res s .
i.o n t e(7#1no 1o (
gy ?

3
4

-)

01:29
THE W ITNESS :

He keeps using the term

wrong .

THE COURT :

A 11 right .

Rephrase your

question and then we'll go from there.

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'
*-')
-

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X

. -

90

B Y M R . FL Y NN :

Q.

In the computers , as you s it here todayz

at eTreppid Techno loqy, is there source coding fo r

data compression technology ?

A.

I have no idea what we 've recove red .

Q.

You don 'b know ?

A.

It cou kcl be .

8
9

W e haven 't gone thro ugh it all .

actua lly -- working w ihh 1aw enfo rcem ent o fficials,

they don 't want u s to tamper w ith any more of the

11

evidence o f trying to recover this .

Q.

haven 't go ne through it all, there could b e tens of

14

thousands of source codes for data comp ression

15

techno logy alone on the eTrepp id computers; is that

16

correct ?
A.

MR. JAKOPIN: Objection; confusing.

19

THE W ITNESS :

on ao
THE CCURT :

22

THE W ITN FSS :

24

That doesn bt really make

sense --

21

23

01:30

T h a t d o e sn 't r e a ll y m a ke s e ns e .

18

20

01:30

So as you sit here today , since you

13

17

01:z9

We 've

10

12

1
.
k

We ll , 1 fm not sure --

-- wha t you fre saying , but

maybe you can c larify it .

THE COURT :

Ho ld on .

LIZA CHAPEN, CCR, RMR

Stop .

Stop .

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....

91

I 'm 11O L S L1r O t ha t i h lV e t he u IRd C)C S12ilI

Rd i nV

yet to make a dete rmination as to whe the r or not it 's

confusing.

that 1 would sustain , anyway .

l'm not sure that that's an objection

So i'
.'m qoinq to allow th is testimony for

w hatever it 's wo rth so it he lp s m e get educated about

what the ssues irz th is case a re .

8
9

betw een sou rce code , singular, source code, p lural,

10

and w hethe r we tre talking abou t line s o f source code

11

and lines o f d ata codes

12

codes , but I want to learn a little bit more about

13

this, and so allow ing m e to listen to th is helps me

14

to do that .

So i f you 'd indulge me a litt le b it,

p lea se , 1 'd like to hear a little m ore about this .

17

B Y M R . FL Y NN :

Q.

are , I think as you put it , hund reds of source codes

20

for th e video g ame techno logy that you wo rked on that

21

are still at eTrepp id ; is that correct?

A.

01:31

M r . Venab les , we bve establ ished that there

19

22

on al

as opposed to separate

16

18

e1:3o

1 Im beginn ing to see tha t the re 's an issue

15

'
;

w$

We 've recovered hundred s of files that

23

were de leted .

What the conten ts of those files or

24

what -- if the re j
I:5 actually any cod es , we know that

LIZA CHAPEN: CCR, RMR

(775) 323-5492

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&$
l

some file s have zero contents because they were wiped

c le a n .

S o th e re 's a fi le n am e bu t ze ro c od e is

within th at fi ke .

Q.

We lre just talking about the video qame

A.

The video gam e?

Q.

Yeah, just the video game .

A.

W e haven 't --

10

Q.

Are there hundreds of source codes just on

11

the video gam e, as you testified befo re , that are

12

st ill on the eT repp id --

14

A.

That ss like saying there 's hundreds o f

What you 're saying doesn 't m ake any sense

01:32

in any wa y .

17

THE COURT : Well, hold on just a second .

18

THE W ITNESS :

19

THE COURT :

20

THE W ITNESS :

21

THE CO URT :

22

T HE W ITNESS :

23

THE COURT :

:4

01:31

tom atoes in the v ideo game .

15
16

01:31

now .

13

92

We have a11 --

Stop .
-- the video --

01:32

Stop .

-- game file s .

When 1 say ho ld on , I m ean

stop .
-

LIZA CHAPEN, CCR: RMR

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93

You gs
pt a
iuli?

..-.--.-.--

T H E W 1't'N K SS :

O ka y .

T H El C!OIJ3)T :

- --- ..-

A 1 1 ri(g)t .

. ...--

b0th of you to do is to try to allow the other one to

finish .

Th is is not like norm al conversat ion .

to get dow n w hat ls being sad , and I know tha t ih 's

not an easy th tng to do if you lre not used to it .

So , p lease , if he 's asking a question , let

10

h im finish it .

11

finish it .

12

If he 's ma king an answer , let him

just want to try to deal with this issue right now .

So gc) ahead , please .

15

MR . FLYNN :

17

Thank you , you r Honor .

Q.

M r . Venables , let 's try it this way .

You say you have found de leted files o f

source code ; is that correct ?

20

A.

Co rrect .

21

Q.

Have you found de lete d files o f source

22
23

o1;a2

code on you r v ideo gam e technology ?

A.

1 said in the begin ning , those files were

'

24

01:32

BY MR . FLYNN :

18

19

01:32

A nd : 'm so rry for the interruption r but 1

14

16

Q::32

W e 've Jot a court reporte r he re that 's goL

13

----- -.
-

W h at. I w o u 1d 1 i-k e

j.

neve r deleted .

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,.-

1
(

Q.

Have you found deleted fi les o f source

code on data comp re ssion technology ?

A.

I have found de leted folders fo r a program

called ET Adaptive , wh ich 1 be l.ieve is the data

comp ression prog ram .

Q.

What make s you be lieve that?

A.

Because I asked the p rogr ammer, V en ka , who

9
10

com pression .
Q.

A nd when you say you found dele ted filesz

you found files -- you saw som ething that showed you

13

that th e file s were once there and now they pre not

14

the re?

O r did you recover them ?

A.

16

Some zocations, we d idn 't recover them .

r e co v e r ed fi l e n am e s b u t ze ro c on t e n t s in th e fi Ye s .

18

On the server , I 've recov ered the folders

20

01:33

L ike the p rogramm ers l ma ch ines , they

17

/9

01:33

12

15

01:33

was wo rking on it what it 's used for and he sa id data

11

j
'

:4

Tha rlk yo u .

2
3

and aome of the files but not all of the files.

Q.

O kay .

On video com pre ssion technology

21

software, have you found any files at eT repp id -- on

22

eTrepp id com pute rs that were never deleted ?

23

A.

No.

24

nave you looked?

LIZA CHAPEN, CCR, RMR

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--';
'w
95
'
. .- -

1
f

A.

m ach ine in the bu tlding .

Q.

For v ideo compression?

A.

Ry lideo comp ression, 1 assume that you 're

talking about the video Codec that we use .

The re 's various names for it .

o f them , b ut w e haven 't found any o f those on

anybody 's work stations o r the serve r .

t don 't rem ember a1l

Q.

Have you made any e ffort to rec over those

12

A.

Ye s, I have .

13

Q.

What did you do?

14

A.

From the SRCSERV KR , we 're running the

p rog ram m ade b y Execut iv e Software c alled Emergency

16

Und elete .

17

Q.

And have you recovered any o f them ?

18

A.

l 've got some folders w ith th e nam es of

It 's made for recovering deleted file s .

We h aven 't gone th rouqh a11 o f them yet .

21

It 's st ill run ning .

22

piece th ese p ieces together .

24

H :3s

th e v ideo Codec s .

20

23

01:34

files?

15

19

ETVC is one

o f them .

10

ERV P is anothe r one .

:1:34

11

We loo ked on every

'

W e ''ze looked a11 over .

Q.

It ta kes wee ks and wee ks to

That 's how I understand it .

How many files have you recovered to date

LIZA CHAPFN, CCR, RMR

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01:35

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 98 of 222

'

.. .

and how long -- how m any fi le s have you recovered to

date on the video compression technology?

3
4

96

1 just have a total

num ber o f gigab ytes that l 've recovered .

What is that?

A.

About 40 to 50 giqabytes have b een

t have no idea.

Q.

'

A.

'

.
w..

01:35

r e co v e re d .

Q.

How long has that recove ry p rogram been

running?

10

A.

Sin ce January 12th .

01:as

11

Q.

A nd how long w ill it -- it will take weeks

12

longer to cont inue ho run it to recov er files; is

13

th a t co r r e ct ?

14

A.

By Lhe current rate , p robably .

15

Q.

Okay . A nd is that technology, the

16

recovery technoiogy going to enab le you to recover

17

al1 o f the sou rce codes on the video comp ression

18

te chnology ?

19

A.

I have no idea .

20

Q.

You don 't know ?

21

A.

No .

22

Q.

How m any source cod es, what you describe

ozta6

23

as sou rce codes have you recovered to date on the

24

video compression technology?

LIZA CfG PEN, CCR, RMR

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.1.
,.J
'%q,
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.---- ----------

A.

I just have the recovered folders and

Cilesr and nobod y has access to t r igh t now .

n o t ev e n p lu g g e d in t o o u r ne tw o r k .

Q.

Why no t?

A.

W e d on 't w an t to c o r rup t a n y th i ng .

It 's

01:36
We

want to p reserve the state that it was in at the

poin t o f d elet ion .

Q.

10

Just yes or no .
Did you ev er have a conv ersation w ith

11

Mr . Trepp instruc ting you to go into Mr . Montgomery fs

12

work station and try to recover classified

13

info rmation o r classified source cod es?

14

A.

He a sked m e to recover w hat files I could

find , in p art icular the e-m ail files which I d id

16

recove r .

17

Q.

What d id you do to try to recov er?

18

A.

I ran the sam e program I already talked

20
21

:1:36

15

19

I have no idea .

--

01:37

about , Fme rgency Undelete .

Q.

And just yes or no.

0z:37

Did yo u ev er have a conve rsation with

22

M r . M ontgom ery about a certain gove rnm ental agency

23

requiring intrusion d evices on a11 o f the equipment

24

Mr. Montgomery was working on?

LIZA CHAPEN, CCR, RMR

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..,.
,

A.

N ev e r .

Q.

Do you know what an intrusion device is?

A.

Yes .

Q.

What is an intrusion device?

A.

lt de tects i f someb ody is try ing to get

into the th ing , and i. t w ill usua Lly 1og it ; try to

bloc k it and log it .

Q.

know ledge o f whatever governmental interact ion

M r . M ontgome ry had to estab lish tntrusion dev ices

11

that would sel f-destru ct any in formation on

12

M r . Montgomery fs equipment?

14

A.

(.

01:38

I have no know ledge o f any of h ks

inte ractions .

15

I know what 's on a1l the machine s in the

16

building .

17

Q.

18

01:37

Does -- so as I unde rst and it f you have no

10

13

j)(y

l 've got orte on ou r C ksco route r .

-..-.,

on aa

Do you know whether or not there is an

intrusion dev ce on M r . Montgome ry 's wo rkp lace --

19

A.

No, there 's no such --

20

Q.

-- computers, that if anyon e tries to

21

access without c erta in codes , self-de structs al1 the

22

material in the computers?

23

A.

There 's no such thing .

24

Q.

To you r knowledge ?

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.-x-99
1

A.

'
l'o m y' krlo w 1e d q e a nd o11h e r s in t h e b u i ld in g

that l 'v e con sulted :

Tenneti .

4
5

Q.

Did eT repp id do aud io compression

technolog y?
A.

Yes .

Q.

Do you have any know ledge o f w hat

10

percentage o f the busine ss w as aud io com pression

11

techno logy ?

12

A.

1 have no idea .

13

Q.

And 1 La ke it you don lt know what kind of

A.

No .

16

Q.

Did you ev er do work on aud io compression

01:39

te ch n o lo g y ?

18

A.

No.

19

Q.

In the last several weeks, have you made

20

an effort to exam ine the com puters of eTrepp id to

21

determ ine whether any aud io com pression techn ology

22

software file s are presen t or not present ?

23
24

nliag

revenue the audio comp ression technology generated?

15

17

01:38

14

'

Let 's La lk about audio com pression

technology .

6
7

Jessie Ande rson , Lalith

A.

We 've loo ked fo r what we call ETA C ,

eTrepp id Aud io Codec or com pression

LIZA CHAPEN, CCR, RMR

and none of our

(775) 323-5492

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.... .
..- .
10()
yI

prog ramm ers ' work stations, none o f the machines out

in the wa rehouse have it .

1 be lieve I've recovered a folder o r two

from SRCSERVER , but 1 don t know w hat the contents

a re .

6
7

Q.

A.

It doesn 't loo k for any particu lar kind of

Q.

been recovered r if you knowr in audio comp ression

14

technology software?

15

17
18

So h as any -- have any source code files

13

16

01:4a

file; it just looks for any deleted files.

12

W e 're zecovering any and a11 files that we

can find on SRCSERV RR that have been deleted .

10

11

A re you running any recovery technology

for any aud io com pression software ?

8
9

01:39

A.

The re ls a couple of folders that are fo r

Q.

O kay .

01:40

ETAC .
And that 's currently o n the

compan y 's p rem ises?

19

A.

Yes .

20

Q.

Now, Irm just going to use three different

21

descriptive terms and 1111 just ask you some

22

yes-o r-no qu estions .

O kay?

23

A.

O kay .

24

ob ject track.
i.nq .

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-.. .)
'%.. .
10 1.

.-

.-

DO you know, ye s or no , whether eT reppid

Techno logie s has ang government contracts with regard

to object tracking?

A.

Yes .

Q.

Have you ever done any computer

A.

No .

Q.

Have you ever had access to any of the

source codes for object tracking'

?

10

A.

No .

11

Q.

Wh o at eTreppid has had access to the

12
13

01:41

programmng on object tracking?

01:41

source codes for object tracking?

A.

A person l mentioned beforey Krishna.

14

- -

Zehang Sun is working on it w ith a team o f

15

peop le downsta krs, in our down stars a rea which 1

16

haven 't m ent ion ed yet .

17

d ow n t h e r e .

18

majority of them are working on that stuff.

01:41

We have anothe r ten peop le

A l1 o f th em - - no t a Y l o f t h em , b u t a

19

Q.

Under Mr . Montgom ery 's superv ision?

20

A.

Yes .

21

Q.

A nd is it true to say that each o f these

n1:4l

22

indiv iduals has on ly h ad bit s and p ie ces , and only

23

M r . M ontgom ery has the full p icture of what 's being

24

worked on?

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1
'-. ,
..1O2

A.

I hav e no idea how he de legated .

Q.

That's a11 classified; is Lhat correct?

A.

How he delegates isn dt c la ssified ; only

the cla ssified m a te rial .

Q.

The wo rk heing done i:; a11 c lassified?

A.

They can work on a1 L kind s o f p rogram , but

the classified materia l which we rece ive ftom the

qove rnm ent agency is c lassified .

So they can program on wh atever the y want ,

10

but they can 't h andle -- they can 't see classified

11

mater ial because none o f them have clearances .

12

Q.

On ly M r. Montgomery?

13

A.

Correct .

14
15

clearances in the bu ilding .

So to you r knowledge , were they doing line

18

A.

Yes, they were .

19

Q.

Bit s and piece s?

20

A.

They were w orking on whatever ; I have no

22
23

01:42

Q.

21

24

01:42

W el l, w e have -- six peop le have

16
17

01:42

co d i n g ?

idea what they we re doing exactly .

Q.

On ave rage , how m any codes can a

programmer d o a day?

How many line codes could a programmer do

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-.-2

2
3

A. 1 have no idea what the -- a 1ot of it is

edihing pre-ex st ing lines r not generating new lines .

So ( wauld say the ma jority of the days

are spent on twea king and m odifying existing lines.

Q.

10
11

To you r knowledge, did eT repp id Technology

have any cla ss ified governm ent contracts w ith regard
to p attern re cogn it ion technology?
A.

01:4a

We only have one classified con tract , to

my know led ge , and that 's -- that 's in our file on

13

record .

15

Q.

so you don 't even - - do you know what

patte rn recogn ttion technology is ?

Yes or no?

16

A.

Ye s .

17

Q.

A nd to your know ledge , you don 't even --

18

you hav e no awareness, as you sit he re today, of what

19

eTrepp id was doing on pattern recognition ?

20

A.

I have bits and pieces of what I lve seen

21

going on in th e building, b ut I don 't have the full

22

p icture .

23

1 fm qo ing to use another descriptive term ,

12

14

24

91:43

and 1'11 just ask for yes or no.

8
9

1()a

per day?

4
5

..-

Q.

Do you have any idea how many source codes

have ever exiyted on pattern recognition technology?

LIZA CHAPEN, CCR, RMR

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.... j
..101
/
m -

No , I lave no idea .

Q.

Do you have any idea w here any o f those

s o u r ce c od e s co u ld e ve r b e fo u nd a n yw he r e ?

A.

We1 G

f we go by what Dennis told me, a11

the source code is on SRCSERVER .

contents o f the SRCSERVER were by file , number o f

files, and total file size .

8
9
10

Q.

12

13

1 know what the

So this is just based on what

A.

R ight .

01:44

If he sa id it 's not there , if he 's saying

it 's not the re , then I would have no idea .

Q.

Have you ever seen any of the contracts

14

M r . Trepp and Mr . Mo ntgomery s igned w ith a ce rta in

15

governmental aqency with regard to either object

16

trac king or p atte rn recognition techno logy?

17

18

19
20

01:44

M r . M ontgome ry to Ld you?

11

..

A.

(
1

.- -

- -

A.

01:44

If you 're talking about sp ec ial access

program stuff, no , I don 't hav e an y knowledge of it .

Q.

So you h av e no know ledge of the term s of

any of those contracts?

01:4s

21

A.

No.

22

Q.

And with regard to M r . M ontgomery 's

23

sup erv ision techn iques of the peop le working under

24

himy the programmers , you have no kn owledge o f what

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1
..,.,
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y

('

he was allowed to share and what he wa s not al lowed

to share in o rder to get the work done ; is that

correct?

A.

I have no idea .

Q.

1'm going to use another term, and just

answer y es o r no z please .

7
8
9
10

11
12

Hav e you

ever heard th at term at eTrilppid Tech nolog ies?

A.

Y es .

T 've seen the work in progress being

done by the p eople downstairs .

Q.

01:4s

Have you eve r seen the source codes for

facial rec ogn ition techno loqy?

A.

No , I h aven 't .

14

Q.

Who wa s the individual at eT repp id that

16
17

was do ing th e wor k on facial recognit ion technology?

A.

Zehang Sun 's team .

p e op le w o r ki n g u n d e rn e at h h im .

Q.

Under the supervision of Mr. Montgomery?

19

A.

R ight .

20

Q.

A nd have yo u, in any recovery p rogram

21

you 've been implem enting , m ade an effort to recover

22

any sou rce codes for facial recognit ion technology ?

24

:1:46

He has a team o f

18

23

'

Fac La l recogn ition tech no lg y .

13

15

onds

A.

A s 1 said , we 're not looking for any -- we

cantt look by any particular technology, just by

LIZA CHAPEN, CCR, RMR

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.ww.)

Q.

M r . Montgomery 's compute rs , som e of which are, in

fact z a certa in governmental ag ency 's comp uters ; is

that co rrect?
M R . PEEK :

91:46
Counsel , 1 can 't see the

Witness .

THE W ITNESS ;

None o f those m achines out

the re hav e been certified for (rlassified mate rial , if

10

tha t s what you 're asking .

11

BY M R . FL YNN :

12
13

Q.

01:46

A s you sit here today , are you aware that

a certa in qov ernme ntal agency b rought kn computers?

14

A.

Yes .

15

Q.

Have you attempted to access those

16

01:47

computers?

17

A.

Th e y to o k th o se com p u t er s b a c k a w ay .

18

Q.

When did they do that?

19

A.

L ast year sometim e , 1 believe .

20

So you just went on a11 of

('

106

file , d eleted fili

a.

'..-:

La s t

spring .

:::47

21

Q.

A nd they took the source codes w ith them ?

22

A.

I don 't believe so .

23

hardware .

24

Q.

They just took

W ere the source code s on the hardware?

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.s,
.w

A.

M r . Morttgom ery had me make a p rogram that

would delete a1L the hard drives in al1 the computers

w e g av e b a c k t o th em .

Q.

So it 's your testim ony today that all

those source codes at eT repp id were taken b y the

go v e rn m e n t ?

A.

one was called .

w iping a11 those hard drives .

10

Q.

12

13

No .

It 's a DO D ce rtified program for

THE COURT :

Is this a good time to take a

llttle break?
M R . FLY N N :

S u re .

15

THE: COURT :

W e fve b een going not quit e tw o

17

M R . FL YN N :

J us t on e qu e s t i on z y o u r H on o r ?

18

THE COURT :

Sure .

19

20

Go ahead .

BY MR . FLYNN :

Q.

So to you r kn owledge, what is left at

eTreppid w ith regard to the source codes fo r that

22

technology that was w ip ed out?

24

01:48

hours .

21

23

01:47

So what was le ft?

14

16

01:47

We ran A ctive Kill, I be lieve Lhat

Those were a11 given bac k clean slate .

11

1.()y

2
4

A.

I hav e no idea what source code was used

for that project.

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M R . FLY N N :

T h a n k y ou , y o u r H o no r .

T HE COURT :

A 11 right .

until -- le t 's m ake it five a fter 11 :00 .

(Re cess taken .)

T H E CO U BT :

P le a se b e s ea t ed .

M R . FLYNN :

Thank you, your Honor .

T HE COUPT :

Oh , by th way , before you

1 '11 file that in w ith the c lerk .

10
11

And then when you conform Lhe eop ies , give

M R . FLYNN :

THE COURT :

15

Go ahead .

17

18
19

It 's n ice

Doesn lt hurt .
02:07

BY M R . FLYNN :
Q.

Mr . V enab les

how m any hard d rives are

there at eTrep pid T echnology?

A.

I don 't know .

1 -- since I purcha sed them

20

all , I shou ld know an accurate numbe r, b ut we lve

21

bought m an y, m any hund red s .

22
23

T hank, your Honor .

to b e lega l for a change .

14

16

24

02:06

them the copies , tloo , please .

12
13

92:06

sharty I d o have an order permit tinq you to pract ice .

Le t 's be in recess

I w ould say , total , we p robab ly have about

a thousand , bu t no more than 2000 .

fa .

H a z.d drlve s ?

LIZA CHAPEINr CCR, RMR

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A.

Y e ah .

Q.

How many files are on those hard drives?

A.

W e fv e go t - -

Q.

You r best estimate?

A.

We bve got p lenty that only have a couple

o f file s in them in our file cab inets in the

warehou se .

8
9

Q.
O r can you ?
A.

1 can 't estimate .

11

Q.

How m any computers do you have at eTreppid

13

Technology ?
A.

On m y netw ork , 1 have less than a hundred z

b ut we pve go t pzenty of other ones that are not in

15

use or --

16

02:07

14

17

02:07

Col le ctive ly / how many wou ld you e stimate?

10

12
t

C o r re ct .

02:08

Sayy total , 200 or less computers .

Q.

If 1 suqgested to you there were over

18

150 m illion files on eTreppid Technology com puters,

19

wou ld you d isagree?

20

A.

No .

21

Q.

But you don 't know ?

22

A.

I wou ld say --

23

Q.

Y ou can 't give u s you r b est estim ate?

24

A.

Since T 've seen a 1ot o f the files we 've

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been going ove r the l.ast couple of weeks on most o f

these hard drives in the warehouse and what have you,

a lo t of them have ind ivi.dua l fram es of video , so a

s ing le frame for every second, or less than 30 frames

a se cond they we re recorded at, so you r number of a

million or more would be accurate becau se it conta ins

a 1o t of these v jdeo frames .

Q.

Well r L50 m illion?

A.

Right .

10

Q.

How m any of the 150 m illion have you

11

c h e c ke d t o d a t e ?

12

A.

02::8

In the past two wee ks, sin ce the 10th ,

I've looked at just about every hard drive in the

14

building .

15

Q.

17

How m any files have you chec ked to date,

A.

1 h a v e n 't op en e d ev e ry s i n g le fi le .

I #d

say I 'd op en a folder and it has like a thousand

19

frames of somethingr Ifl1 just look at the first one

20

and then go to som ething else .

Q.

02:09

So o f the 150 million filesw can you tell

22

the Court today how m any are still on the eT repp id

23

comp uters that have never been de leted ?

24

02:09

o f the 150 m ill ion?

18

21

oz:oa

That 's --

13

16

w'

I 'd say about 80 percent a re not source

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code and those aren 't de leted .

Q.

Now, perhap s it was an ove rsiqht of m ine,

but as T u nderstand it , there is a fa irly significant

little structure zgh t there on eT repp id prem ises : is

there not?

A.

10
11

o2:n9
In Lhe downstairs -- center of the

downsta irs a rea, our little private room ?

Q.

Yes .
Could you -- would gou indulge me and put

it whe re you thin k it should go , the pr ivate room ?

A.

the bu ilding here ; it 's abou t located c enter

13

downstairs .

14

Q.

Have you ever been in the p rivate room ?

15

A.

Yes .

16

Q.

How m any t im es?

17

A.

In t h e p a st t w o w ee k s , I 'v e s pe n t a lo t o f

19
20

02:10

time th ere .
Q.

Before the p ast two w ee ks , h ow m any time s

w ere yo u in the p rivate room ?

02:10

21

A.

V ery little .

22

Q.

W ho had access to the p rivate room at

23

eTreppid?

24

02:10

Tt 's underneath -- say this is the rest of

12

18

11l

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x- ;

Warren and Dennis and Patty and some

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Q. Just ii you can give me a number, how many

of those outside government peop Le that had access Lo

the priv at e room have you ever dea lh with?

A.

1 d ealt with two o f them a 1ot recently ,

O th er than that, wM had some with the

specia l access program .

requ la rly .

10

1 dea lh with a1l of them

I hacl to know who they were com ing and

11

going out of the buildng . They can 't just get to

12

that room without com ing through our -- one of our

13

outside doors.

14
15

Q.

These government people you 've dealt w ith

A.

No .

18

Q.

Who at eTreppid do you know contacted

A.

Jay Dixon actually is the guy w ith DSL .

21
22
23

24

02:11

Did you ?

17

20

02:11

in the last two wee ks , who contacted them ?

16

19

:2:10

and I 've dealt with them in the past .

11.2

o u t s id e g c)ve r n me n t. p (aop 1.e .

..
v

them ?

b rought him in there .

But out side that , there are governm ent
people that Wa rren contacted .

Q. Who --

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S t r i ke tha t .

You (3e)'sona11y contacted Jay Dixon?

A.

basis since he 's our rep resentat ive with our facility

clearance .

Q.

W hat is in the p rivate room?

A.

A couple of tables , a coup le of computers,

and a coup le o f secure conta iners; safes .

9
10

Q.

A.

12
13

The -- one of them wa sn 't even plugged in .

was on it .

Q.

What was on it?

Just in term s of a

genera l d escription ?

16

A.

02:12

Basically just operating system and

17

M ic ro so ft O f f ic e a nd a cc e ss t o t he In te r ne t ; n o th in g

18

else .

19
20

21

02:12

The other one was running and I saw what

14
15

A nd have you made an effort in the last

several wee ks to access those comp uters ?

11

Q.

O kay .

Did you ma ke any effort to access

any o f th e files on e ither o f these two computers?

A.

22

n2:l1

W ezl, it wa s -- we 're on a regular contact

No .

I just saw what was on them .

I conne cted one o f them to th e Internet .

23

Q.

Did you b ring Mr . Dixon into that room ?

24

A. He requested to go there to see where our

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......

containers were .

Q.

....y

114

Now, I believe you had previously

testified that these computtqrs dow n here be long to

eTrepp id ?

A.

I 'm awa re hh at some o f them w ere paid fo r

by variou s government agencies; I don 't know which

one s belong to us / wh i.ch ohe s don 't .

Q.

that these belong to eT reppid?

A.

1 don lt b elieve 1 said that .

11

Q.

Okay .

02:13

How many com puters are there in

12

th is ban k here next to Mr . M ontgom ery 's w ork station ?

13

A . Currently, there 's like 30 or less.

14

Q.

16

A nd do you have any knowledge of who owns

tho se 30 or less compute rs?

A.

17

18

02:13

There 's two banks, actually .

M R . PE E K :

Co u n se l , I c a n t se e th e

w itness .

19

THE W ITNESS :

20

The one ban k I 'm describing there is the

There 's tw o banks .

21

o ne that Dennis wor ked on regu larly .

22

bank that's just along the same wall that had a11 our

23

security cam eras hooked -- connected to it .

24

02:13

Just -- d id you testify befo re the break

10

15

'

They 're the same kind of

LIZA CHAPEN, CCR, RMR

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c om p u t er , sam e e x ac t c ab in e ts .

BY M R . F L YN N :

3
4

Q.

The question agajn ts, who ow ns hh ose

A.

1 have no idea .

I know 1 pu rchased al L of them and

eT repp id pa id for a11 of them .

Were paid for through outside contraets .

know .

11
12

Q.

I don 't

Do you know whether there are any source

A.

02:14

The surveillance compute rs don 't have

13

anything , and -- don 't have anything excep t for v ideo

14

record ing softwaze , which is outside third-party .

This bank of com puters has noth ing on them

16

anymore .

17

a nd t h e re 's n o th in g on a ny o f th em .

02:14

Warren and I went and looked o n each one

18

Q.

Who --

19

A.

Just operat ing system .

20

Q.

Who else was in the room when you tried to

21

I don 't know if they

code s in tho se corap uters?

15

(.

:2:13

10

j.1jj

compuhers?

-g-

look on th ose computers?

22

A.

Just Wa rren and me .

23

Q.

Ancl you found nothing?

24

A.

Tha t ,:5 co r re c t .

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Q.

A.

We just logqed on and looked ho see what

was on the drives and there was nothing; just

operating system .

Q.

10

A.

A nd every sinqle fi le on a 1l 30 computers

We do a regular partition o f drive space r

so the sp ace where data s kept , the ''E'' partit kon

had nothing on it ; ze ro files .

11

12

02:14

had nothing?

8
9

Q.

02:1s

Now , this 80 percent of the files , the

150 million files hhat are sti Ll at er

rreppid.

13

A.

U h -huh .

14

Q.

How many of those have source codes?

15

A.

None o f them .

Q.

I be Lieve you te stified that the g am e

16

17

&1(;

What d id you do to t ry to access any of

They /re al1 samp le test

engines fo r your v ideo prog ram , there were about a

19

hund red source code files still at eTrepp id , co r r ec t ?

A.

21
22

23

24

02:15

files .

18

20

the source codes jn those computers?

On M ichael 's m achine .

oz:zs

The se aren 't any o f th e other drives I 've

loo ked throughout the building .

Q.

Now , I understand that , but ove rall in th e

computers, there's about a hundred source codes just

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fo r the video gam es that are sti kl the re?

2
3

A . Tw o har'cl drives : M '

g lnachi.ne and Michae1 's
m a c h in e .

Q.

And --

A.

I be l.ieve there m igh h b e a coup le in the

SRCSERVER shill .

Q.

A copy on the SRCSERVER ?

A.

C o r re c t .

Q.

Le t m e show you you r Decla ration

under the penalties of perjury . It was filed in this

11

case .
MR . FLYNN :

Honor, there 's no date on it , it 's b lan k, but there ls

14

a signature, but it fs among th e documents that we re

15

filed to support the TRO .

17

02:z6

THE COURT :

A 11 right .

MR . FLYNN :

You 've got it , your Honor?

Go ahead .

I 've

got it .

18
19

o2:z6

On the copy I have, your

13

16

s igned

10

12

n2:1s

BY MR . FLYNN :

20

Q.

Did you prep are this Declaration?

21

A.

Ye s .

22

Q.

Did you , you rself, persona lly type it up ?

23

A.

No .

24

Q. Did you prepare it in conjunction with

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A . Yes.

Q.

w
ux..
tl
-

11i
)

..

Now , you say in paraqraph 11, page three ,

bottom of the p age .

''Fr tlm t h i.s ch ec k '' - -

Th i s wa s a f te r yo u re t:u rned f rom va cat ion .

02:17

Yo u ca n re a d a 1o ng w it h me .

'

A.

O ka y .

Q.

''F'rtlm th i s che c k , I det e rmine d tha t a l 1 o f

-

10

the eT repp i d s()u r c e code st o r ed o n e ach o f th e s e

11

se rver s h a d b e ()n d e le ted .''

12

A.

Rigt1t .

13

Q.

Is that truth ful?

14

A.

It ds a little bit of an overstatem ent

15

since the gam e engine , khere 's a copy o f the game

16

engine probab ly still there .

17

18
19
20

Q.

22

02:17

n2:17

And how much -- how many o f the files have

you no t even chec ked yet ?

A.

Th e rest of the folders were completely

deleted .

02:17

21

c ou n s e l fo r eT re pp d ?

If I cou ld exp lain the w ay the structure

of the ha rd driv e is .

23

Q.

Su re .

24

A. We have four main folders on that

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SRCSERVER .

the source code, except for the game engine, was

stored .

1'9

The one called KT Latest was where all o f

The game engine, Michae l and 1 kept as a

separate bac kup .

he and 1, it was only he and I hhat kep t backups of

it r and Denn is wa s aqreable w tth this .

8
9
10

12

13

We ddn ft -- slkn ce it only involved

unde r this ET Latest fo lder and ET Developm ent

folde r .

o2:la
Those fclders were de Leted , comp letely

dele hed out ; noth ing ex isted underneath tho se .

Q. But since you were never given prior

14

access, as for the source codes for object tracking,

15

patte rn recogn ition, and face recognit ion , you

16

wouldn 't even know what source codes to look for,

17

w o u ld y o u ?

18

A.

I don 't know if they we re ev er there .

19

wouldn 't know .

20

were called .

21

02:18

I don 't know what the actual p rog ram s

o2:1a

There 's a couple hundred dif feren t

22

projects underneath that, that were underneath that

23

ET Latest fo lder .

24

oz:ta

A 11 the rest of the source code w as kept

11

Q. So, again, you don't know whether they

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f

were ever there , correct?

Co rrect .

Q.

You clon 't know whether the government took

them , correct ?

A.

Co rrect .

Q.

And if they were ever hhere, you have no

02:19

knowledge of how they everz ah some point, were not

there ?

10

11

A.

Well: Jf they were never the re z 1 have no

idea i f they disappeared , co rrect .

Q.

12

If the assumption is at some point they

were there , w ithout. using the word d eleted, yo u have

14

no know ledge o f how , at some po int , they were there

15

and then no t there?

17

18

A.

02:19

I could only tell you what was there based

o n w ha t l .m re c ov e r in g .

Q.

And you were never given access --

19

Strike that .

20

You never h ad a conv ersation w ith

21

M r. Mon tgom ery about the methodology of the intru sion

22

d etection device s that the government w anted to p ut

23

on these computers and these comp uters, did you?

24

o2:t9

R ight .

13

16

4.
*
'

120

A.

No.

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MR . FLYNN :

A nd for Lhe record , when 1

said these computers, I was referring to the 30 or so

c om p u t e rs ne x t to M r . M o n tg om e ry 's w o r k st a t i on a nd

t he tw o comp uters in the so-called private area .

T HE CO UHT :

Tn Exhib it 1?

M R . FLYNN :

On Exhibit 1.

Than k you , your Honor .

Q.

Who we re the p rogramm ers downstairs that

10

you re ferred to ?

11

A.

You wa nt the list by nam e?

12

Q.

Yes .

13

A.

Krishna Tangirala that 1 mentioned before.

oa:2o

''C h :J'' --

l5

Q.

A r e h is f i 1e s m i s si ng ?

16

A.

Yes .

17

h a r d d r i ve w h en I c am e b a c k f rom m y t r ip .

Q.

And the next one?

19

A.

Chucai Huang .

20

Q.

A re h is files m issing ?

21

A.

He s wo rking on som eth ing that I don 't

even kn ow what it is , so I cou ldn 't tell you .

23

Some other peop le checked his machine ; I

'
.

24

()2:20

His hard drive had a comp letely new

18

22

02:2:

BY MR . FLYNN :

14

12l

s
>n..y
')
.

didn't.

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t'

Q.

individual's ftles are missing or not?

A.

No, I can 't say for s ure .

Q.

W ho is the next p rog ramme r?

A.

Such ita Samant .

Q.

A re his files missinq ?

A.

Tha t fs a lady .

8
9

me , as we ll .

10

Q.

So you don 't know?

11

A.

I don lt know .

13
14
15

16
17

02:21

She has reported to somebody else besides

12

But yo u don 't know whe ther th is

02:21

Then - -

Q.

When you say ''al1'' in youz Declaration,

were you referring to the ir file s, too?

A.

I was talking about the two servers I had

02:21

under m y contro L.
Q.

And f o f cou rse f you neve r had under your

18

con trol th e 30 or so computers next to

19

Mr . Montg om ery 's wo rk station on Exh ib it 1 and the

20

private a rea ; is that correct?

02:21

21

A.

Correct .

22

Q.

And who is the next ind ividual?

23

A.

Zehang Sun .

24

Q.

We re his files m issing ?

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A.

He had his hard d rive taken away from him .

Q.

By who?

A.

He sa id by Dennis .

Q.

So right now , th ts individual has no hard

d r iv e ?

02:22

A.

He had h is wo rk-in-progress hard drive

removed - - the removable drive taken out .

operating system drive is in the re .

Q.

Were there any files on that?

10

A.

No .

11

Q.

Who is the nex t individua l?

12

A.

N o t th a t 1 kn ow o f .

13
14

His

02:22

No h th a t I kno w o f .

The next one in the room is -- I on ly

rem ember h is first name , Yong Mian .

15

Q.

Were any of his files missing ?

16

A.

I don 't kn ow .

17

I only ta lked to mayb e three of th em .

19

them were spo ken to m y Jessie and Patty .

T he rest of

20

Q.

How m any p eople are there downstairs?

21

A.

There a re three more, in add it ion to the

23
24

02:22

I d id n 't - - h a l f o f t he p e op l e d ow n st a ir s ,

18

22

123

/1

ones I 've mentioned .

Q.

so since you rve never spo ke to them , you

don 't know whether any o f their files are m issing,

LIZA CHAPEN, CCR, RMR

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()
.1

Vh

A.

I o n 1y

know what I was told by the others

who checked their computers .

A.

Right .

Q.

You ment ioned som ething about a 1aw

10

13

02:22

enfo rcem ent person com inq to eTreppid ?

A.

N o, I said !aw en forcement told m e not to

run the machine s anymore , some o f the machines that 1

was runn ing recove ry on .

11

12

124

e ither?

You don 't persona llg know?

a' )

Q.

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1.
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Th ey never cam e to the bu ild ing .

Q.

So you had a telephone conversation w ith

this p erson ?

14

A.

15

bu ild ing .

16

Q.

T went to go meet h im outs ide the

92:23

Who is this 1aw en forcemen t person ?

17

T H E W IT N E SS :

18

MR . PEEK :

Am I supp o s ed t o s a y ?

Your Honor, the law enforcem ent

19

individ ual s h ave asked us not to identify that there

20

is ongoing investigat ion , so he 's a little reluctant

21

to say that .

22

THE COURT :

23

MR . PEEK :

24

Well , you know --

So 1 know th is is sealed , so --

bu t the y a re co n c:e rne d .

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'

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1

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'

Wel l, 1 think th at -- I mean ,

one o f the things that 1 was going to add ress here

be fore we too k ou r noon recess is th is w hole issue o f

classified in formahion, what leve l of classification

we 're talking abo ut, and fran kky, M r. Flynn , 1

thought I hea rd you say, and 1 m ade a note o f it,

that there 's goihg to be a ce rta in point at wh ich we

need to have this p rivate meeting , after wh ich th is

w ho le matter is going to or m ay go to Federal Court .

10

M R . FLYNN :

Yes, your Hono r .

11

THE COURT :

Am I m i sta ken about that?

12

MR . PEEK :

13

:2:24

,
,
don t thin k it s going to go to Federal Court .

THE COURT :

I know e but 1et me hear --

15

MR . FLYNN :

No , you r Ho no r, you rre not

16

m istaken and , ye s, your Honor y we are go ing to reach

17

th a t p o in t .

02:24

l 've now lea rned from th is w itness that he

19

doesn 't even know five percent enough of what we 're

20

talking ab out to test ify about it , and the only one ,

21

probably, is Mr . Montgomery .

22

Mr . T repp apparen tly do esn 't know , either .

23

So at some point , M r . T repp is going to

24

n2:23

Well , that 's what he sa id ; I

14

18

THE COURT :

Y25

have to be -- M r . Montgomery is go ing to h ave to be

LIZA CHAPEN, CCR, RMR

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126

on the witness stand and he 's go ing ho have to go at

least to December '02 -- and 1'11 give you a copy of

th is ch ronology - . and we 're going to reach that

point a t that tim e because l was wondering if,

franklyz if this ind ividual knew enough --

T H E C O U RT :

W e l l , I gu e s s - -

M R . UL YN N :

-- a n d h e d o e s n 't .

THR COUPT :

Well, 1 gue ss there 's --

Let me fin ish th is conve rsation here .

10

What I 1m looking at is a coup le o f things .

11

Oner I 've certainly enjoyed your company,

12

gentlemen, very much, and 1 enjoy the issues; it's

13

kind o f an interesting case , but if th is ca se is

14

going to go somewhere else, then I d on 't w ant to sit

15

here and go through a half a d ay or a day of

16

testim ony about things that , you know , I 'm not go ing

17

t o b e a b l e t o u lt m at e ly d e c id e .

18

92:24

02:24

n2:2s

Secondly, i f there are th ings that are

19

classified or potent ially classified , 1 don 't have

20

enough understanding about those to m ake an y kind of

21

ruling whatsoever on it .

22

,
-

Th irdly , I would assume , and I d on 't know

23

this , but I would a ssum e that if the federa l

24

government had a concern, the federal government

LIZA CHAPEN, CCR, RMR

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t )

would be here , or the U .S . Attorney 's o ffice would be

here

federal gove rnm ent or agency d irecting m e w ith rega rd

to how far this p zoce ss cou ld qo .

5
6

or we would have a court order from some

Unt il 1 get that , then any que st ion that 's

MR . PEEK : Your Honor, this was just

re lated to 1aw enforcem ent issues ; th is wasn 't

related to the Department o f Defense .

THE COURT :

Well, I -- whatev er it is,

o2:z6

11

unt il som ebody cites m e to a statute or until

12

som ebod y gives me a cou rt order tha h says this stuff

13

can 't b e discu ssed , then wh en a quest kon is asked ,

14

T lm go ing to o rder it to be an swered .

15
16

MR . PEEK :

We 're happy to 1e t h im answer,

T H E C O U RT :

So - -

18

MR. PEEK: I just was --

19

T HE COURT :

But b ac k to m y -- m y question

20

is, is there someone at the Depa rtment o f Defense or

21

the other federal agency w ith whom I should have a

22

discussion ab out what shou ld go forward in this case ?

A nd if so, I would ask you to have that

'

24

02:26

you r Ho nor .

17

23

02:2s

as ked is go ing t.o be answered , so --

10

127

individual contact me or to do something, because T'm

.

L1ZA CIIAPEN , CCR, RMR

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--.
.

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---<x .m-

not go ing to have secret meetings and continue the

ca se and do a1l this other stu ff unless I have a

b asis to do that .

lf 1 do , be happy to do it , but I don rt .

M R . PE E K :

Y ou r H o n o r , m a y 1 b e he a r d o n

T HE CO U RT :

MR . PFEK :

Y e ah , ye a h .

-- I think what 's happen ing is

that you 're be inq given half o f the sto ry .

10

Th e source code is a code that was b eing

11

asked b y the governm ent unde r contrach of eTreppid to

12

develop that woulcl do certain thinqs, patte rn

13

recognitionz anomay detection, those kinds of -- it

14

would perform those funct ion s in an executable

15

format .

02:27

02:27

16

The Department o f Defense provided to

17

e T re p p id c e r t a in c la s s if ied m a t e r ia l - - an d I

18

m ent ioned th is to you the other da y -- in the form of

19

video , and yo u m ight can im agine w hat th at is -- to

20

try to se e if the source -- if the code could

21

actually operate and m ake p attern recogn ition and

22

anomaly detection and facial recognition and object

23

detection .

24

o2:2G

this b ecause --

.w.
1
---

n.....

But the source code itself is not

LIZA CHAPEH, CCR, RMR

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)
1

It is not a classified piece of --

WelL, it's not classified tn any way.

It's just the knfarmation qjven to eTreppid that was

classified on wh ich the source code would ope rate .

c lassified .

Now , some of those videos, there 's a

concern about w he re they a re .

the Department of Defen se r has b een investigating

eTrepp id to find out what ha s happ ened to them , but

you 're b eing sort of given this im pression that there

So the OSI, as part o f

10

is something o ut here that in the national se curity

11

intere st tha t we shouldn 't be ta lking ab out : and

12

that 's not t he case .

13

:2:27

02:28

If jt were the case, you would have heard

14

from the fed eral government r you wou ld have heard

15

from the United States District Court, you wou ld have

16

even seen a m otion to stay this proceeding .

17

a d d re s s t h a t i n a n ab st en t i o n i s su e a s t o w h e th e r

18

they w ere or were not .

We wou ld

19

So I on ly raised the po int ab out Sloan s

20

test im ony , M r . Ven able 's testimony , because the 1aw

21

enforcement had asked not to disclose that there w as

22

the subject of an onqoing criminal investigation .

23

That 's the only reason I b rought it up .

24

THE COURT: A1l right

LIZA CHAPENP CCR: RMR

n2!2a

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))
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is sealed .
He re is m y position .

I feel li ke I 'm --

you know , 1 'm no t reatly out in the ligh t in terms of

what -- you know , what exactly it is you lre saying .

1 fee l like I 'm in the da rk on that , and until 1 have

some solid statuto ry authorty o r som ething from the

government or contact from the federa l government,

then I'm just going to go ahead and proceed because I

don 't have a basis not to proceed .

MR . FLYNN :

I understand f you r Honory and

11

with a11 due respect to Mr . Pee k, if 1 only qave you

12

half the story , wh sch adm ittedly I 've ev en given you

13

less , because there isy a s I said , a dicho tom y

14

betw een the d ata com pression technology that these

15

folks made a dea l c)n and a11 this government stuff .

16

That fs the bottom line to the proceeding

17

18

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---

10

----

02:29

02:29

b ef o re y o u .

Now , in a11 th is governm en t m ate riak, the

19

way , a s T understand it , on th is level , the

20

government works , the ind iv idu als involv ed , w ho have

21

been at eTreppid Techno logies , would never contact

22

any U .S . A ttorney and go into any cou rt to d isclose

23

anyth ing or see k any order .

24

02:29

THE COURT :

Well , they ,re out of luck,

LIZA CHAPEN, CCR, RMR

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$

hhen , 1 guess , if they -- 1 mean, if there 's som e

statutory authority that we're not supposed Lo

proceed with this thing , then f need to see it .

If they don 't want m e to p ro ceed w ith

this , Lhen they need to tel me that .

secreh that they can 't tell me that, then we fre just

go i ng t o g o a h e ad .

MR . PEKK :

Honor .

THE COURT :

11

M R . PEEK :

We ll --

:2:30

-- as we go through the

one w itne ss into it , it is a kmost noon -THE CO UPT :

16

MR . PEEK :

Right .

02:39

-- and I wou ld as k that we

17

p ro c ee d e xp e d i t iou sl y b e c au se y o u to l d u s w e o n l y h a d

18

today .

19

m erits .

Th is is not a m in i-trial or tria l on the

20

THE COURT :

21

I m ean , here is m y prob lem and I hope you

24

T understand .

can understand and apprec iate that .

23

We w ant you to p roceed , your

We have just started our case, we are only

15

22

02:30

process .

13
14

lf it 's so

We 'll tell you what the source cod e is --

10

12
/

It 's like a lawyer stands up and says , ''I

object

''

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)
('

An d s o , ''What 's yo u r 13a si.s ? ''

''We 11, 1'm not going to tell you what the

'

basis is, but E oklject to ths evidence.''

M R . FLYNN :

That is the pa radox .

THE COURT :

Can you --

MR . FL YNN :

Tha t is the pa radox the Court

02:31

is confro nted w ith , and 1 w jll say th is is where we

end up -- here 's where we end up .

The re is no source code except in

10

Mr . Montgomery 's head .

11

by contract .

12

had to be that wa y .

13
14

15

It has a lw ay s been that way

You will hear his test im ony .

02:31

lt always

THE COURT:

I've read that.

I've read

MR . FLYNN :

The re is no source code that

that .

16

could be made to de live r to an yone , practically,

17

p ra gm a ti c a ll y , le ga l ly o r o t h e r w is e .

18

. -

02:31

Th e bottom line for the Cou rt is whether

19

the source cod e that 's in M r . Montgom ery ls head ,

20

which is what we 're fight ing about , b ecause of the

21

conv ersat ions that M r . Montgom e ry and M r . Trepp had

22

financia lly in the fa ll o f 2005 , involving hund red s

23

of millio ns of do llars, is the reason for -- that 's

24

the reason we're in

.

court today .

LIZA CHAPEN, CCR, RMR

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T hat code r if you want to ca ll iL, that 's

in Mr. Montqomery 's head, has nothing to do with the

deal that: was m ade between these people for data

compre ssio n technoiogy, which is al1 over the

co n t r ac t s .

02:32

THF COURT :

1 read that , too .

MR . FLYNN :

So where we 're go ing to end up

when M r . M ontqome ry teshifies, and 1 911 giv e the

judge -- your Honor a heads up -- is there are

10

thousands of lines of code involving this classified

11

technology , notw th standing what M r . Peek says, that

12

extrem ely few indiv iduals in the gov ernm ent even know

13

abou t .

92:32

14

Mr . Montgomery and Mr . Trepp have signed

15

docum ents that they would neve r disclose it to

16

anyone .

17

18
19

T h a t 's w he re w e 're q o in g t o e nd up , y ou r

Bono r .
The on ly way the Cou rt can understand the

20

ram ification s o f this technology is for

21

M r . Montgome ry to tell you r mu ch of which M r . Trepp

22

doesn 't ev en know , how it was used , what the results

23

of that were over the last sev eral years .

24

02:32

THE'
, COURT: And you're saying he cannot

LIZA CHAPEN, CCR, RMR

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te ll m e that ?

MR

FLYNN :

that .
W hy

M R . nLYNN :

And 1 bel ieve the only th ing

that I can com e up w ith is tha t he and Mr . Trepp

could go into chamb ers , and Mr . T repp could v erify

what M r . Montqom ery will tell you .

way o f -M R . Peek :

THE COUHT :

13

M R . P E EH :

14

T HE CO UHT :

16

I have no othe r

Your Honor , we 're going to do

02:33

You have a -W e 're go i ng t o - Well , we 're goin g to d o it

where 1 say -M R . PEEK :

:2:33
1 unde rstand that , you r Honor :

17

b ut I would like to have it done in op en court , as

18

opposed to just send two individuals into your

19

chambe rs to d iscu ss --

20

02:33

this in op en court .

12

15

134

Abso Lutely cannot tell you

T H E C O UP T :

11

- -<rN'

10

1'

-.-

THE COURT :

Well , we 're not going to even

21

do that if I don tt have some statutory basis for h is

22

saying he can 't or won 't d isclose it .

23

G ive me that , and 1 '11 say fine .

24

MR. PEEK: Andr your Honor, what I find

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'

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interesting to this filib us ter is that we know that

there were 200 gigabytes de leted o ff o f the

SRCSEPVER , o ff the IGASERVER , and out o f the RA TD

box , and he 's saying , #'Wel1, thaL doesn 't'' -- ''That 's

meaningless .

:2:34

it wa s thah he did de lete .

inference , if you will , he 's trying to put ouL

there -- imp lication , if yo u will -- that there was

We have this sort of

10

som eth ing put on a p rogram that autom atica lly

11

deleted , and we 'll hear from that later , but --

THE OOURT :

I 'm getting that part .

:2:34

1 'm

13

just -- 1 just have a concern about this scurity

14

issue , th at we dre going to get to a point w here

15

there 's going to be evidence or inform at ion that 's

16

critica l to e ither side , and one side o r the other is

17

go in g t o s a y , ''I Im so r ry , I c a n t t e l l yo u ab out

18

that .''

19

MR . PEEK :

20

THE COURT :

21

MR . PEEK :

22

Tlaat fs not a source code .''

But you never hear him say or expla in wh at

12

('

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'

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Well --

A l1 I 'm sayin g is when that --- then they fail on their

burden .

23

THE COURT :

A l1 I 'm saying --

24

We lly who ha s the burden ?

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136

... .

po int , and I 'm trying to give both sides a heads up ,

what I 'm saying to you, Mr . Flynn, is if we get to

thah po int a nd you or you r clie nt tell m e that you

cannot disclo se hhat , without some citat ion to some

authority fo r Lhat purpose , 1 'm going to orde r it to

b e disc lo sed .

9
10

order -- I m go ing to issue a show cause order with

regard to contempt .

o2:3s

A nd 1 111 do the same on the other side .

12

I don 't want to do that .

1 want to do the

13

rig ht thing .

14

thing is and give m e c ita tion to some authority .

But you need to te ll me what the right

15

That 's a1l I 'm saying .

16

MR . FLYNN :

02:35

1 understand, your Honor, and

17

T 'm co n v in ce d a t t h i s p o i nt th a t t h e C o u r t w a n t s to

18

do the right thing and --

19

THE COURT :

20

Huge sa lary that 1 --

21

MR . FLYNN :

That 's what I get paid for .

02:35

And I don 't know whether they

intend to call M r . Montgome ry .

23

24

02:34

If it 's not disc osed , I 1m going to

11

22

(
R
V

A 1l i 'm saying is that if we get to th at

('

I thin k a 1ot will b ecome clear when we

call him,

and you 'll see wh en we reach a certain end

LIZA CHAPEN, CCR, RMR

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%-e.
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forw ard with it and then we 'll see where we go w ith

it .

I do have a Judges ' meeting at noon so 1

need to recess just a couple minutes early and 1'11

be back at 1:30f so just for planning purposes .

BY M R . FLYNN :

Q.

For two years , acco rd ing to your

11

test im ony, you worked on about one percent of

12

eTrepp id source code ?

13

A.

Correct..

14

Q.

And th en a fter that , you were bas ically

do in g adm inist rative, orqanizing dut ies ?

16

A.

Purchasing , p rep aring stu ff the re , right .

17

Q.

So in a11 the years --

18
A.

Co rrect .

20

Q.

You worked on one p ercent of the source

A.

I can 't te ll you what p ercentage of a11

22
23

24

02:36

o2:a6

You dve been there six years , is it?

19

21

n2:3s

Go ahead , Mr . Flynn .

10

15

jgg

THE COURT: A11 right. Well, let's go

---(x
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point , it will become obv ious .

-----.

code ?

the stuff .

I just told you the two projects I've

= '

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()
1

w o rk ed o n .

Q.

And whatever the Denn ks Mo ntgom ery sou rce

code is on these government con tracts , you don 't know

a ny t h i ng ab o u t t '
?

MR . PE EK :

Counse l, could you p lease .

T h a n k yo u .

THE W ITN PSS :

1 don 't know about the code ;

1 just know about the hardware that was used for the

projects.

10

M R . FLYNN :

Than k you , sir .

11

THE COURT :

Are you finished?

12

MR . FLYNN :

Yes, s ir .

13

THE COUBT : Al1 right.

14

02:37

Th an k you .

Do you have any

redirect?

15
16

02:36

MR . JAKO PIN :

Yes, a little b it , your

02:37

Honor .

17

18
19

20

REDIRECT EXA M INATION

BY MR . JAKOPIN :

Q.

W e 've heard a 1o t about the source code ,

21

and so that we can m ake -- get som e c larity to that ,

22

Windows is an application -- o r W ord is an

23

application , it 's a typing app lication , correct?

24

A. correct.

LIZA CHAPEN, CCR, RMR

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Q.

relates to that ?

A.

How w ou ld you exp lain the source code that

Microso ft hired probably severa l hundred r

m ayb e thousands to develop the ir O ffice ap plications,

and they w rite al 1 the actual text files that are

eventually com piled to make th is one executable

called Wo rd .EXE, and th at runs and it 's got who know s

how m any lines of code in it .

thousand, maybe a million just for Word because it ls

11

a ve ry , v ery -- what we call fat app lication , ve r y

12

featu re-rich .

13

Q.

referred to as the source code , then , fo r this Word

15

applicat ion ?

:2:38

16

A.

Co rrect .

17

Q.

So you 'll have source code that is fo r an

18

app licatio n that w ill have a whole 1o t of lines o f

19

code that a11 together form the source code for that

20

application ?

23

24

A.

oz:aa

C orrect , that are comp iled and that

creates th e applicat ion .

Q.

02:37

A nd are a l1 those lines o f code together

14

22

oz:ap

I heard th at it 's seve ral hundred

10

21

. 1ar)

O ka y .

For each o f the d if ferent

applications that exist at eTreppid , there 's then

LIZA CHAPEN, CCR: RMR

(775) 323-5492

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 142 of 222

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sou rce code tha t corresponds to that , correc t?

A.

T h a t 's r iq h t .

Q.

Now , are there d ifferent app licahions that

4
5
6

share source codes among them?

A.

Seve ra L of those app licat ion s used video

02:38

comp ression Codecs .

For exampley they hard-coded the v ideo

comp re ssion Codec into the player so thah w e cou ld

ship this p laye r to some o f our c lients tha t wou ld

10

just be a stand-atone and it only played our type of

11

media file , our type of video .

12

So , in that case, that Codec, that video

13

comp re ssor and the p laye r had the sam e code in each

14

of those two deals .

oz:aa

f'

15

Q.

So you can com bine together d iffe rent

16

lines o f source code , or the same lines o f source

17

co d e fo r d if f e r e nt ap p l i ca t io n s ?

18

A.

T hat ts right .

19

Q.

Now , we 've also hea rd about clas sified

20

information .

21

02:39

Do you have an unde rstanding o f what 's

22

d ifferent betw een classified in formation an d source

23

code --

p
'

24

A.

Ye s .

LIZA CHAPEN, CCR, RMR

02:39

(775) 323-5492

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 143 of 222

)
l
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2
3

-- as Lt was u sed at eT reppid ?

And what was that?

A.

A s ER facility secur ty officer, 1 'm

required to take courses from the governm ent that

trains me on what 's classified , how the classified

m ateria l is handled , who can handle the class ified

mate rial , how ho destroy 5t, a 11 the thing s that are

invo lved with classified material , how it 's defined ,

eve rything , and I 've taken the se cou rses and gotten

11
12

cert ificates for th em .

Q.

No.

14

Q.

O kay .

17

o2:ag

sou rce codes be ing classified?

A.

16

Are you aw are of the different

app lication s that are being wo rked on at eTreppid?

A.

I know a lot o f the diffe rent ones .

p r o b ab l y d o n 't kno w a 1 l o f t h em .

Q.

W hat are th e one s that you 're aware o f?

19

A.

I mentioned the one be fore y the Ad aptive

21
22
23

24

92:39

18

20

n2:3a

A re you aware of any o f the eTrepp id

13

15

--:7

10

Q.

.-

Program which we lve had pretty m uch from the start .

The data comp ressor y th e v ideo Codec
p rogram s, the audio Codec p rogram s .
Codec is a wo rd for a comp ressor ,

decompressor

L'
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.ZA CHAPEN, CCR, RMR

(775) 323-5492

02:40

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 144 of 222

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O ur stream ing programs , ou r v oice-ove r IP

'

programs .

3
4

app l icat i ()n s .

Q.

p r og r am s ?

A.

I do rl1t. kn ow w h ic h p rog ram s do t ha t .

Q.

A l1 r.
i.gh t .

A.

1 c o u 1dn 't g iv e yo u a n ame o f a p ro g ram

10

11

We 've go t h un d re d s o f d if fe re n t

t ha t d id 1)h a t .

Q.

A re yo u -- do yol hav e an unde r st a nding o f

where the sou rce code for a l 1 of the di f fe rent so urce

13

code programs was stored?

15

MR. FLYNN :

Strike -- objection, your

Honor , to th e wo rd ''a ll''; lacks foundation .

16

THE COURT :

17

more -- better than just ''all ''

18

BY M R . JA i(O P IN :

19

Q.

20

Let m e a sk it a different way .

Do you have an understand ing of where the

source code that diffe rent prog ramm ers w rote got

22

stored ?

24

A.

02:40

Define them a little bit

21

23

:2:4:

o2:4o

12

14

A ce y o u a w a r e o f pa tt e rn r e c og n i t io n

A 11 -- they stored a 11 of the ir stuff on

the SRCSERVER

They had local cop ie s on the ir work

LTZA CHAPEN: CCR, RMR

(775) 323-5492

02:41

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 145 of 222

stat ions and they had -- when they had something that

was a worl:ing order on a version-by-version basis, it

m ig h t b e ro t e v 6)ry d a y , b u t e v e ry c ou p 1e o f d a ys o r

every weelo

SRC SE RVER .

Q.

they would p ut tha t good bu ild up on

92:41

And so a11 of the sou rce cod e that each of

the d ifferent programm ers worked o n ultimately got

sto red on th e SRCSERVER?

A.

10

Right .
A nd each one of the p rogramm ers could g ive

11

better details of which prog ram s they worked on and

12

which fo lders Lhey p ut them on SRCSERVER .

13
14

15
16
17

one p erson w as doing .

Q.

A re you aware o f eTrepp id hav ing backup

A.

I 'v e b ee n to ld ov e r t he y e a r s t h a t Den n i s

19

maybe there w as CDs in the b eginning -- but gave them

20

to Wa rren to p ut in a safe somewhere outsid e the

21

build ing .

24

02:42

C Ds of sou rce code?

had , on a regular basis, m ad e DVDS and hard drive s --

23

02:41

1 w asn 't awa re o f w hat every particular

18

22

14(
3

a.

M R . FLYNN :
foundation .

MR

M ove to strike ; lacks

''I was aware .''

.

JA KO PI N :

From what?

Your Honor --

LIZA CHAPEN, CCR, RMR

(775) 323-5492

02:42

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 146 of 222

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THE COURT:

1 'm no t sure w ha t the question was .

that he was awa re .

I t h i n k y o u n ee d t o d et e rm in e e x a c t ly h ow

he was aw are ancl then i '11 decide whether to strike

it or not .

BY MR . JAIIOPIN :

Q.

11

CDs?

02:42

A.

Denn s told me that he was ma king them .

THE COURT :

13

MR . JA KO PIN :

15
16
17

02:42

How were you awa re that there we re those

12

14

Motion is denied .
Th ank you .

B Y M R . JA X O PIN :

Q.

Did you eve r have an opp ortunity to loo k

02:42

at tho se C Ds?
A.

18

thin k you asked h im did he know , and his answ er w as

10

Hold on just a minute.

t
'

U p u nt il re c e n t l y s n o , a nd t he n - -

Do you want m e to continue?

19

Q.

Ye s .

20

A.

I fo rget what -- T believe Lhe 10th or the

21

11th of J anua ry, W arren b rought me everyth ing he said

22

he had in the safe and had m e look at it to see what

23

it contained , and it was four hard drives and a stack

24

of Dvos and cos m fxed .

LIZA CHAPEN, CCR, RMR

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02:4a

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 147 of 222

(,'..

Q.

Did you check tho se ?

A.

I went ove r them .

14 5

Th ree o f the hard d rives we re supposed to

be a RA ID group , created with a Window s Dynamic

Driver RA rD ; one of the drives was b lan k ; and the

othe r two were part of a Dynam ic RA IB group but it

was missing the third drive .

8
9

A dapt ive Prog ram from 2001.

10

Another CD had files on it that were

11

passwo rd p ro te ctecl and the password wasn 't what

12

Dennis had g iv en Warren .

13

None of it had cu rrenh stu ff .

n2:13

T he m o st

14

recent fi Les on the -- a ll of the co llective C Ds and

15

the hard drive s, 1 couldn 't even read , but the CDs

16

was 2001, 1 b elieve ; m aybe January 2002 .

17

Q.

Yo u had mentioned an Ad ap tkve Prog ram ?

18

A.

ET Adaptive r the data com pre ssor p rog ram .

19

Q.

Uh -huh .

20

A.

It h ad --

02:44

Wa s there -02:44

Wh at 's tha t?

22

Q.

Go ahead .

23

A.

lt had the code for that but not the

24

:2:13

The -- one of the DVDS h ad code fo r the

21

.
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compzete code

LIZA CHAPEN, CCR, RMR

(775) 323-5492

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 148 of 222

..e

It had imb edded anobhe r program inside

th at was comp iked with in tt so it did n 't have the

com plete code .

th ks litt.
'e embedded p rogram ins tde o f it w as .

Q.

Was there any source code on the CDs and

o th e r m e d ia th a t y o u w e re g iv en , oth er than th is

Adap tive Prog ram ?

A.

11

Q.

You mentioned binaries .

Cou ld you expla in

ho the Court what a binary is?

A.

Binary is what source code

just call a11 executables binaries

16

-- we general ly
02:45

They can be an executab le o r a DLL file .

17

They lre the fina l p rodu ct after com pilinq .

18

c reate you r b inary file .

19
20

Q.

Y ou

Ts the binary fjle created from the source

code ?

02:45

21

A.

C o rr e ct .

22

Q.

How is that done?

23

A.

Through a compiler such a s -- there 's

24

c2:44

code on an y of those d rives was for the Adap tives .

14

15

But other than that , that wa s the onky

12

13

02:44

The re we re only the b inarke s , the se

executab le's for v kdeo comp re ssion and a m ed ia play e r

10

W e don t know what th e code was for

146

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command line one s .

The one we use in the bu ilding is

LTZA CHAPEN, CCR, RMR

(775) 323-5492

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 149 of 222

f
.

the Visua q Studo Product that M crosoft ma kes .

Q.

And how does it operate?

A.

lt goes and run s th rough and compile s each

C ++ file , creates in termed iate libraries .

F rom th o se , it comp tle s them toqether and

creates the final executable or DLL and converts it

a11 to what we ca Ll the binary .

8
9
10

It ps basically just ones and zeroes

Q.

O kay .

w ill be many lines of code , co r re c t ?

A.

C o r re c 1).

12

Q.

And there w ill be p()tentia l1y many

l3

d i f fe ren t so u r ce c od e fi le s t ha t a re d i re c t e d t o a

14

single app zication ?

A.

C o r ze c t .

16

Q.

Doe s the compile r act upon a11 o f those

02:46

17

source code fi zes , each o f w hich have line s in it, in

18

a sequence to then create a sing le executab le file?

21

o2:4s

15

20

oz:ls

So with in a sou rce code file , t he re

l1

19

A.

Exact ly .

It goe s through each o f the

files in the project .

02:46

You create a project in our developer

22

environm enL .

It goe s through each o f those y c r e at e s

23

an inte rmediate 1ib file , library file , and then

24

combines al1 those together into your final

'

147

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LIZA CHAPEN, CCR, RMR

(775) 323-5492

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 150 of 222

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148

executable , and it does it in a sequenttal fash ion .

2
3

Q.

So that you end up with a single program

thah can be executed by the com puter ?

A.

Correct .

N ow , you m ight need interm ed iate steps .

L ike, for examp le , our video compressor , it can 't do

anything by it sell .

something else wo uld need to , like a m edia player

wou ld need thak file to be able to p lay bac k our

10

T ha t 's - -

v ideo .

11
12

It 's a DLL lib rary .

02:46

02:46

Q.

You referred to a DLL library .

A-

Dynam ic Lin k L ibrary .

W h a t 's

that?

'

13
14

15

d ifferent p art s o f the ope rat ing syst em and software

16

that 's ru n on the ope rak ing system , so that to play

17

back, for exam p le r M P3 audio , you wou ld have a DLL

18

that handles M P 3 a ud io files , and we created DLL

19

files for vid eo and for aud io .

20
21
22

('

That 's w hat Windows use s to modulize

Q.

You 'll have a DLL that wil l lkn k to get

different kind s o f files to th e prog ram ?

A.

For examp le , you try to p lay bac k eT reppid

23

A udio, there wou ld b e a -- that , fo r examp le, isn 't

24

exactly the DLL , but it Is similar and it w ould allow

=

LIZA CHAPEN: CCR: RMR

(775) 323-5492

:2:44

:2:47

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 151 of 222

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yo u t o p 1(,y b a (7k t.he au d io .

Q-

O kay .

A.

We wou ldn 'h create an e xecutable for ET

A udio ; we did hav e our own players .

Q.

Gett ing back to source code r could you

describ e #lhe mannec n which various programmers

would storce source code onto the SRC SERV ER?

8
9

A.

ET Latest is where they we re supp osed to

We a lso had a fo lder in there called ET

11

Programmers , underneath which had a subfolder for

12

each p rog.rammer that we assigned .

13

they each -- that fo lder, fo r exam ple , for Venkata ,

15

only V en kata can get into that fo lder .

16

other u sers on the netwo rk could .

17

None of the

02:48

V e n ka t a h a d w h a t w e c a l l m od i fie d

18

p erm issions .

He cou ld add files , change file s, but

19

h e can never dele te .

20

de lete .

Only the adm in istrator could

02:48
And th ere was a sub folder for each of the

22

p rogramm ers w ith tho se pe rm issions a ssigned , and they

23

w ould put the ir w or k in p rogre ss und er those and do

24

the ir own da ily or w ee kly b ackup s under there .

i'
S..

02:48

Denn is and I assigned perm issions that

14

21

02:47

put their latest b uilds .

10

LIZA CHAPEN, CCR, RMR

(775) 323-5492

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t-....
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Q.

A.

O kay .

A 1l of the proqramm ers excep t for Michael,

Jessie and Jim , w hch is not a programme r; al1 the

re st w e re d e le t e d .

02:48

Jessie , Michae l and Jim 's folde rs w ere

still the re .

Q.

What was in M ichael 's folder ?

A.

The game eng ine code .

10

Q.

What wa s; in Jim 's folder?

11

A.

A 11 the 3-D models he m ade for the game

12

And Jessie 's had all the web site stu ff he

developed ; no C+4 code, just Java and HTML stuff.

15
16

Q.

Jav a and HTML are differen t p rogramming

02:49

languages r corre ct ?

17

A.

T h e y dre w eb s it e p ro g ram m i n g la n g u a ge s .

18

Q.

And that 's different from the C++

19

:2:49

engin e .

13

14

1qj()

And were a11 o f tho se files deleted

programm ing lang uage?

20

;7r
..

from the SRC SERV ER?

A.

They don 't ma ke executab les or p rogram s

21

that are run; they just generate code to display web

22

pages .

23

MR . JAKO PIN :

I don 't have anyth ing else .

24

Did your Honor have any questions of the

LIZA CHA PEN , CCR, RMR

(775) 323-5492

02:49

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 153 of 222

x

(... )
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151

witness as it relates to just having your

understand ing be clear as it re late s to sou rce code

or files?
T H E C O tJRT :

Y e ah , 1 do hav e a p retty

bas ic -- pretty b asic que st on that re ally hasn 't

been, at lea st , laid out well enough for me to rea lky

understand it .

8
9

I 'm not exactly sure -- wh en you sa

sou rce cod e, I 'm not sure what you m ean by that

: so

if you could explain it to m e in laym an 's te rms so

11

that --

12

THE W ITNESS :

13

THE COURT :

oz:so

Okay .

Is it li ke a key tha t a l low s

y ou acce ss to n formation --

15

TH E WITNESS :

16

THE COURT :

17

:2 :43

y a

10

14

No

02:s0

-- or is it the in formati

on

itself?

18

('
-j

THE W ITNESS :

It 's som eth ing you co uld

19

read l You could open one -- say , fo r examp le , for

20

the v ideo C odec , it would be arranged -- the project

21

wou ld b e a rranged , so this w ould m ake a DLL file to

22

1et you play th is video .

23

header files and then there wou ld be a bun ch o f ''C ''

24

files.

Th ere wou ld be a bunch of

LIA CHA PEN , CCRZ RMR

(775) 323-5492

02:50

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 154 of 222

t....c
1

text that you coulcl read . There would be like

function -- p lay function , for examp le , and it would

say wha t the variab les for tha t funct ion is .

Then , there would b e a cor responding C++

file that would actua lly have the bu1 k o f that

function .

wou ld have some stuff ins ide , fo r example , a ''fo r ''

loop , it wou ld be -- say , ''For th is number o f th ings ,

10

th is num ber o f ite rations , do th is calculat ion and go

11

around .''

o2;so

A nd you can actually -- an ybody could read

13

this stuff

14

it ls in plain Engzish language .

15

nz:so

Tt woulcl say ''p lay funct ion y '' and then it

12

gk!(j;4
!

The header files just have definitions and

('

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am.pfj

They m ight not know wh at it 's doing , but

TH E COURT :

Bu h w hat I1m a sking , Vs the

16

source code the dev ice that you use to get access to

17

what you just described ?

18

THE W ITNESS :

19

T HE COURT :

20

THE W ITNESS :

c2cs1

Uh-huh .

It is?
You could - - no .

The sou rce

21

code -- we co llective ly call a 11 of this language

22

that 1 'm desc ribing the source code .

23

THE COURT :

It 's the content ?

24

THE WITNESS: You can look at it with a

LIEZA CHAPEN, CCR, RMR

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02:51

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 155 of 222

(..,;
1

T HE (>
-()tlRT : A 11 ri.ght .

T HE W ITN ESS :

TH E COUFT :

THE W ITNESS :

THE COUFT :

A l1 riqht .

02:51

-- and com pile them .

A11 riqh t .

Now , out o f

cu rio sity , do you bave a security ctea rance?

TH E W ITN ESS :

Yes, 1 have top secre t .

10

THE CO UPT :

11

Do you know what c learance M r . Montqomery

12

13

Top secret .

02:51

has?

THE W I1'HESG :

He ha s top sec ret w ith a

14

specia l compa rtm ent r SC I special compa rtm ent .

15

forget what it stands for .

16

We use a sp ec ia l ed itor to

look at them --

153

Word docurAent or Notepad .

/
.

('.
-

THE CO UHT :

That rs the h ighest level .

W ith regard to th e

17

c onversation that you indicated that you had on

18

January loth -- actually , 1 first th ought it Was on

19

J anuary 11th , but it appears that it w as clarified to

20

have b een on January 10th -- w ith M r . Montgomery

21

where he said to you that Mr . T repp w as going to have

22

to pay big money o r big bucks for ''it .''

23

What wa s the ''it'e?

24

it this waky: Dd Mr

02:51

D kd M r .

- -

ket m e ask

M ontgome ry in that conve rsation

L'
.
EZA CHAPEN , CCR, RMR

(775) 323-5492

n2:s2

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 156 of 222

...v x.)
.

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.

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--

154

describ e 'lhe ''it'' or was his stateme nt simp ly he ha s

t o pa y b i.fJ b u c k s fo r - -

T H E W IT N ES S :

No , he de s c r ibe d wha t ''it ''

was .

T H E CO (JRT :

THE WITNESS :

W ha t w a s b'it ''?

02:52

This w as th e top -- ou r mo st

recent contrac t, potential contract .

detect ion and sate zlite images, other imaqes for the

governmen t.

10

THE CO URT :

A 11 right .

It 's anoma ly

W e ll , what I 'm

11

ta lking about -- w e 're ta lking ab out source code fo r

12

tha t ?

13
14
15

THE W ITNRSS :
use to d etect it .
THE COIJRT :

A 1l right .

A nd a re those --

is that a tangib le thing or is that info rmation

17

t ha t 's c o nt a in ed i n h i s h ea d ?

18

O r do you know .

19

THE W ITNESS :

20

how he did it .

21

it w ith him .

23

24

02:52

lt 's for the methods they

16

22

Well, 1 don dt know exactly

1 know various people that wo rked on

THE'
, COURT :

:2:52

A 11 right .

W ell y I m ay have

som e furthe r quest ions, but I don 't --

Just give me a second; T thought I had one

LIZA CHAPEN, CCR, RMR

(775) 323-5492

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Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 157 of 222

(<w.)
1
t

No ,

l cltan 't h av e an yt h in g fu r t h e r r ig h t

n ow .

M r . F1 ;nIA?

MR . FLYN N :

1yj5

more .

2
3

1w'
b
z-

..- - ---

I-lope fu l ly i t w i 1 1 be

02:s3

r e 1a t iv e 1 5( s h o r1:, k'o u r Ho n o r .

'

.7

R E:C R OS S EXAM IN AT 1O N

BY MR . FL'fNN :

10

Q.

M r . Ve nab le s , the st a c k o f C D s w h i ch you

11

sa id w a s w it h fou )7 h a rd d r ive s : a n d t ha t w a s , qu o te ,

12

''Eve ryth ilRg i n the sa fe ''?

13

A.

C orrect .

14

Q.

ls that r in fact , accurate , that the fou r

15

hard drive s in the stack o f C Ds w as everyth ing in the

16

safe?

17

A.

I d o n 't kn ow .

they we ren 't in a sa fe on your p rem ises ; they were

19

brough t from a post office box or a bank vault

20

som ewhe re .

22

Q.

1 have no idea .

02:54

Whe re d id you get the term inology,

''Every th iqg in the sa fe''?

23

A.

From Warren .

From M r . Trepp .

24

Q.

W as it the downstai rs safe or the upstairs

/'

02:54

l d i dn 't t a ke t h em f rom - -

18

21

:2:53

LIZA CHAPEN: CCR, RMR

(775) 323-5492

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 158 of 222

-..

(
1

2
3

A.

bank vau kt or somep kace out skde the bu kkdin

Q.

A.

building .

Q.

12
13

I have no idea what he has outside th e

I know what w e have in our building .

Have you ever seen the contents o f an y

sa fe be lon ging to Mr . Trepp ?

A.

The one that we have in o ur secret room :

Q.

The secret room being what we de sc ribed on

Exh ibit 1 as the p r ivacy room that 's

A.

R ight .

15

Q.

-- right there, r ight ?

18

n2:s4

he opened for me and Jay Dixon .

16

- -

02;s5

And what did you see?

A.

S p a r e c op ie s o f ke y s a n d v a r i ou s m in i DV

tapes that w e 'd rece ived from the m ilita

19

n2:s4

14

17

g.

How ma ny safes , to your know ledge , d id

11

156

No safe in our build ing ; it was at the

M r . T repp have ?

10

(v)
.
m

safe?

ry .

That wa s it .

20

Q.

How many drawers did you look in?

21

A.

The two -- there 's two saf e containers in

22

that room .

Each has two d rawers .

23

only -- as far as I know : the only comb inat ion to

24

one. Re opened it, showed b 0th m yself and Jay Dixon

LIZA CHAPEN, CCR , RMR

oz:ss

Wa rren had the

(775) 323-5492

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 159 of 222

.-.. .

'
-

Q.

in b0th sa fe s?

A.

No .

Q.

''He '' b eing ?

A.

Wa r ren .

Q.

And what was in that safe again, just

A.

That was just mini DV tapes, no hard

10

1 just described the one he opened .

o2:ss

so --

drives, and th e spare keys to the bu ilding .

o2:5s

11

Q.

And what was in the oth er safe?

12

A.

The othe r safe had -- 1 forget the number ;

13

we have a 1og fkle of it -- of hard drives that Patty

14

had placecl in the re that som e o f were classified ,

15

som e are not , and also a bunch o f m kn i DV tapes ;

16

prob ably 20 .

17

Q.

of these safe s pr tor to th is t im e whe re you saw them

19

in --

20

A.

No .

21

Q.

And , again , it was in January o f 2006 th at

23

24

czts6

Had you ever seen the contents of either

18

22

So have you describ ed , in total , what was

1sy

.-

A nd t h e o the r sa fe , Pa t ty o p en e d f o r u s .

2
3

oa:s6

you saw these ?

A.

In the last two weeks when Jay Dixon from

DSS had me check L)0th of them.

'

- -

.. -.- ..-. -..... - .- - .- - - -- -- -- .-- - .-

- -. ..

.- - -

- ..

. ..- - - - - - - .. .- -

- -- - - . - - . -

LIZA CHAPEN, CCR, RMR

- .-..- - - - -- .

- - -. - .

(775) 323-5492

. --

-.-. - .-

--

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 160 of 222

(
1--)
(

Q.

Did you see an inventory ?

A.

Yes .

Q.

ln which safe did you see the inventory?

A.

In the sa fe th at Patty op ened .

Q.

Where is the inventory now ?

A.

There 's a copy in th e safe and 1 have a

1gg

Patty had made an inventory .

Q.

Do you have it w ith you?

A.

No .

10

Q.

What was on the inventory ?

11

A.

A l1 th e m ini DV tape s and hard d rive s that

12

Patty sa icl w ere in the hard drive at on e time or

13

another.

15

02:56

The re 's some o f them listed as m issing

right now .

czts;

16

Q.

Wa s the re an inventory of the other safe?

17

A.

No .

18

Q.

Who created the inventory, if you know?

19

A.

Patty to ld me she d id .

20

Q.

When d id she c reate the inventory?

21

A.

I have no idea .

22

Q.

A 11 right .

23

A.

If -- sh e had updated it recently; that fs

24

92:s6

copy in m v of fice .

14

(vj
'

a1l I know.

LIZA CHAPEN, CCR, RMR

(775) 323-5492

02::7

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 161 of 222

:.,..j
1

Q.

1!;9

Tha t was go ing to be my next --

--

How many d ifferent ed ition s of an

inventory in the -

you aw are of a s you test ify today ?

A.

Q.

A nd how m any editions had it gone th rough

you have ao knowleclge of; is thah correct ?

A.

Wh at 's that again?

10

Q.

How many editions o f -- how m any t im es

11

that inve ntory that you saw had been changed in the

12

past --

13

I don 't know .

14

Q.

-- you have no know ledge o f?

15

A.

No .

16

Q.

Patty Gray may have som e know ledge ; is

18

t ha t c o r re c t ?

A.

I saW the current one and I added stuff

that was in Warren 's sa fe to it , so I 'm -- the copy

20

that 's in th ere has only been edited by m e sin ce I

21

first opened it .

22

Q.

24

o2:s7

o2:s7

19

23
1
'

02:57

17

There 's just one copy in there .

1 h ad to provide that to DSS .

7
8

call it the Patty Gray sa fe are

A nd you could have your o ffice , ov er the

brea k, fax that inventory to you ?

MR . JAKCIPIN : Objection, your Honor.

.

LIZA CHAPEN, CCR, RMR

(775) 323-5492

o2:s7

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 162 of 222

v'j
(

T HE W ITNKSS :

They don 't have access .

MR. JAKOPIN:

The inventory is beyond the

scope o f redirect .

MR . FLYNH :

It 's go t to do w ith the sa fe .

THE COUHT :

1 'm interested in the truth ,

9
10

11
12

Go ahe ad .
BY M R . FLYNN :

Q.

You 're the only one that has got the

combination?

A.

o2ts8

DSS has instructed me to change the

combination and not to give it to anybody .

13

Q.

zncluding Mr . Trepp ?

14

A.

Includ ing M r . Trepp .

15

Q.

Tnclud ing M r . Gray?

16

A.

Patty .

17

Q.

I mean M iss Gray?

18

A.

Correc t .

19

Q.

Correc t?

20

A.

That 's right .

21

Q.

Wa s th e inventory c reated on her computer?

22

A.

I have no idea .

23

24

o2;ba

not necessarily the scope o f redire ct .

'

l 've given som e lat itude , but --

('

160

w)'

02:5a

02:5:

Probab ly .

Q.

So the various ed it ion s of the invento ry

LIZA CHAPEN, CCR, RMR

(775) 323-5492

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 163 of 222

(...'j
1

A.

Co r rC?c t .

Q.

Now , w tln regard to the CDs, the stack ,

what 's your best: estim ate of how m an y we re in the

s t ac k ?

o2:sa

A.

Less than ten .

Q.

And do you know what safe they cam e from ,

personally ?

A.

No.

10

Q.

M r . Trepp handed them to you and sa id y

11

T don 't know whe re they came from .

''Th is is eve rythin g in the safe .

12

Is tha t your testim ong?

A.

That's rkght.

14

Q.

But you don 't know what sa fe ?

15

A.

He said that they w ere in a bank vault or

Q.

And wh ere are those CDs today?

18

A.

In m y office .

19

Q.

So you could b ring those to court also ?

20

A.

Correct .

21

MR . PEEK ;

o2:s9
Your Honor , 1 1m going to

object.

23

24

02::9

a P .O . Box somewhere ; I forg et wh ich .

17

22

02:sa

''

13

16

161

may still be pre sent o n her hard d rive ?

(
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)

We 're n ot going to engage in d iscov ery

right now

we m ade th is request a long t ime ago o f

LTZA CHAPEN, CCR, RMR

(775) 323-5492

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 164 of 222

cou nsel and they didn lt want -- they did n 't w ant to

engage in any exchange of discovery last week when we

ta lked abou h it, and we 're here now in a Preliminary

Injunction and 1 think to be asking to produce

documents over the lunch hou r is un reaso nab le at this

time .

truth , and I unde rstand the search , but , yo u know,

I 'm not inclined to tu rn ove r anyth ing to

10

Mr . Montgomery r igh t now without having the

11

opportun ity to ce rta inly cop y it b efore we do thatr

12

make an inv entory of it , and 1 th in k to a sk to do

13

that in th e n oon hour and t ry to do that an d h ave

14

som e idea of what 's on it between now and the close

15

of bu siness today when we clo se this test imony is

16

unrea sonab le Lo as k.
M R . FL Y N N :

oaloo

o3:no

Tb e q u e s t Lo n w a s o n l y w he t h er

18

he could do it , your Honor .

19

righ t now .

That 's where we are

20

M R . PEEK :

21

THE CO URT :

That 's what I --

22

M R . FLYNN :

I haven 't asked --

23

THE COURT :

That 's what I though t the

24

o2:s9

I unde rstand this is a sea rch for the

17

162

(
r-7

W ell, I know where h e ls go ing .

question was and --

L.EZA CHAPFN, CCR, RMR

(775) 323-5492

03:00

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 165 of 222

.-

r,.
'v1
.-

M R . PE RK :

- -

y6a

% .-

T he n , I d o n 't kn ow w ha t t h e

relevance of that is.

T H F C O U RT :

Go aheud and ask the question and we 'll

We l l r 1 d o .

see where we go w ith it .

B Y M R . FL X N N :

Q.

8
9

11

o3:0a

Mr . V enables, one o f the CDs --

1 want to remind you we just have a few

m inutes .

10

O ne o f the ODs you sa id had data

A.

Correc t .

13

Q.

Wh en you spoke to M r .

- -

14

Strike that .

15

Did you see any o f them --

16

Str i. ke t ha t .

17

W a s t h e C D it s e l f , t h e ac t u a l d is k , in sid e

03:01

a little container?

19

A.

Plast ic sleeve y yeah .

20

Q.

Did it have any m arking s on tt ?

21

A.

I be lieve it had the d ate , whichever that

22

oa:oo

comp ressic n technology on it?

12

18

('

was ; I can 't rem ember .

23

Q.

W hat wa s the date ?

24

A.

I can t remember what it was

LIZA CHAPEN, CCR, RMR

(775) 323-5192

:3::1

'

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 166 of 222

(*'*')
1
i'

Did you see any marking on the data

compression CD of the type , ''c D No . 1''?

A.

1 can lt recall .

Q.

As you sit here today, have you ever seen

the Contr tbut ion A greement between M r . T repp and

Mr . Montgomery?

A.

No .

Q.

A s you sit here today , are you awa re if

10

data comp ression technology on CD No . 1?

A.

1 d on 't know what their ag reement is .

12

Q.

Do you have any know ledge , h av ing looked

13

at wha tever this C D is th at you looked at that had

14

data c omp ression technology , whether that corre late s

15

in any wa g to the C D that 's described in the

16

Contribut ion A greem ent?

18
19

A.

03:01

03:02

T h e on l y t h in g I k n ow i s w h a t I fo u nd o n

the CD .
Q.

Did Mr . Trepp ever te ll you that , ''Oh T

20

yeah , tha t's the d ata compre ssion technology CD that

21

is the ba sis for forming the company ''?

22

A.

No .

23

Q.

You , yourself, never wo rked on data

24

03:01

that Cont ribution A greement exc luded -- only gives

11

17

f
'

164

Q.

1%Y

He didn 't say that .

comp ressian te chnology at eT repp id , d id you ?

LIZA CHAPEN, CCR, RMR

(775) 323-5492

03:02

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 167 of 222

v...7

(.'y..

'

A.

No .

Q.

S o b'lh e rk yo u 1.o o ke d a t th a t C i3 - -

Str.
i.ke th a t .

H ow m a ly f i.le s w e re o n th a t C D ?

A.

A c o up 1.e o f h u n d re d .

Q.

An d yo tz don 't re ca l 1 th e d a te ?

-/

A.

No .

03:02

I12 w a s e it h e r 1a te 2 0 0 1 o r e a r ly

2 00 2 ; I c an 't r emem be r .

Q.

And a s 1 unde r st and you r t e s t imon y r s ome

10

o f t he con te n t.s o f the C D , in pa rt , we re pa s swtnrd

11

prot ec t.ed s o you co u 1dn 't acce ss t hem ?

12

A.

13

Q. But ot14er components of that CD, thfa CD on

14
15

Thal:'s r igh t .

A.

The re we re separate C Ds .

w i t h a te x t f i le th a t sa i d , ''W a r re n k n ow s th e

18

passwo rd .''

19

The othe r C D had th is A dapt ive Program --

20

source code for the A daptive Program wh ich wasn 't

21

com plete; it wa s m issing stuff .

23

24

oa:n3

O ne CD only had password p rotected biles

17

22

03::3

data c ompression , were not passwo rd p rotected?

16

16
.
s

Q.

A 11 right .

The one where W arren knows the

password, did you ask h im if h e knew t he pa ssword?

He said h e did , and we tried it and it

LEZA CHAPEN, CCR: RMR

(775) 323-5492

03:03

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 168 of 222

(
.y
1

d idn 't work .

Q. What was the password that he gave you?

A.

I don 't remember .

Q.

Was there anyth ing in hhe sa fe that wou ld

indicate what the password was?

A.

10

A ny document?

Wa rren 's safes didn 't have any pap er

Pat tly es safe had copies of our contract

from the r ilitary and the m ater ia l log .

Q.

Now , over the -- a1l the years tha t

11

eTrepp id had been in business since 1998 , do you know

12

how many M r . -- how m any passwords fo r files

13

Mr. Trepp ha(:i .n hi.s head?

14

A.

I have no idea what p assword s he had .

15

Q.

Do you know whether h e m a knta ined a

16

separate inv entory of passwords fo r the m illion s of

17

f i le s t h a t w e r e i n e T r ep p id c om p u t e r s ?

18
19

03::3

documents in it, only m in i DV tape s .

y(;(;

=r
'
.
g>

A.

03:04

03:04

I 'v e seen h im acces s his locked drawer in

h is office that had a pape r with the passwords on it .

20

Q.

Than k y ou .

03:04

21

A.

I 've nev er seen it .

22

Q.

Did you ever look at M r . Trepp 's computer

23

to see w hethe r he ma intained p asswords on his

24

computer?

LIZA CHAPEN, CCR, RMR

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Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 169 of 222

jw-.x)

A.

No .

Q.

So how -- tn the docum ent that you saw ,

A.

I d tcln 't see the document .

Q.

W hat did you --

A . I just saw him checking for passwords or

Q.

So as you sit here Loday y you have no

know ledge whetlner he , giv ing him the benefit of the

10

doub t, m ade a m ista ke in giving you t he p asswo rd for

11

th is d ata comp re ssion technology C D?

12

A.

03:05

I be lbave that password for tha t one was

13

the name of his mother . 1 think that 's what he told

14

me.

Som eth ing like that .

Someth ing he would know .

15

Q.

How abou t the nam e of h is w kfe , J a le ?

16

A.

I ha ve no idea .

17

H e h ad p le n ty , 1 'm su re .

18

THE CO URT :

It 's time .

19

MR . FLYNN ;

Thank you , your Honor .

20

THE COURT :

We rll --

21

M R . PEEK :

22

03:04

som ething one t im e .

8
9

y(;.
/

how many cliffe Eetn t p asswords we re on it?

(.
'
.
n

oa:os

Your Honor , m ay th is witness be

excused?

23

THE COURT :

I don 't know .

24

Are you inkshed with this witness?

LZZA CHAPEN, CCR, RMR

03:05

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Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 170 of 222

y..q:)

'
l

M R . F IuYN N :

N o r 1 'm no t , Y o u r H on c)r .

THE COURT :

A 1l r iqht .

M R . PRRK :

4
5
6

7
8
9

10
11
12

(
'

13

16a

Then , not .

You r llonor, are we go ing to

have more t im e than today ?

THE COURT :

No , 1 don 't have planned -- 1

1 'm interested in a coup le of im portant

pieces o f in formation to me .
I 'm interested in what ''it'' is , whether

''it'' is a tangible thing .

o3:os

I 'm inte cested in know ing whether o r not

''it'' was developecl while he was wo rking for eT reppid .

And I 'm knte rested j.n knowin g whether or

not the aqreement that was entered would have

15

excluded that technology o r the b asis for that

16

techno logy .

I haven t heard mu ch e laborat ion on that and , to me ,

19

those a re the kind s of simp le thin gs that I m ay need

20

to dec ide in m aking a decision ab out whether or not

21

you get yeur injunction or you don 't get your

22

injunction .

24

03:06

I 'v e se e n t h e a rg um en t s in t h e b r ie f s , b u t

18

23

03:05

hadn 't p lanned any more t im e than tod ay .

14

17

(.
-s.
rJI

MR . PEEK :

And we lre trying to do that ,

your Honoz.

LIZA CHAPEN, CCR, RMR

(775) 323-5492

03:06

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 171 of 222

.

b'
7
..

1
f

i
!

y(;,

What Mr. Venables was just talking about

here today p rim ariiy w as -- it was on a SRCSKRVER, it

w a s d e le t e!d o f (' o f t he SRC S F,RV ER

who w ill connect up what went on to that SRCSERVER,

but we spent just three hours with Mr. Venables on

what was zea lly a very discrete a rea o f inqu iry abou t

the fact that it was there and it was deleted .

T HE CO URT :

M R . PEEK :

10

THE COIJRT :

11

M R . PEKK :

12

THE COURT :

t h e re a r e o t he rs

A 11 right .

Mr . Trepp will be te stifying .

Here ls whah f --

03:07

Mr . Frye will be te stifyinq .

-- need to understandz and it

prob ab ly w'ill ref Lect my ignorance w ith regard to

14

this subject, but what is the ''it'' that you want

15

back?

o3:ov
In other words , if I we re to w rite an

17

o rd e r t od ay a n d s a i d

18

g ive 'it ' back '' w hat is ''it'' and wh at w ould ''it''

19

loo k like if ''it'' was sitting in front o f me?

20

93:06

But --

13

16

r.s,

. -

''o ka y

M r . M on tg om e r y h a s t o

MR . PEEK : It would look just exactly the

21

way Slo an testified it was, your Honor , w hich is

22

lines o f code .

23

THE COURT :

On a p iece of paper ?

24

MR . PEEK : No, no.

LIZA CHAPEN, CCR: RMR

(775) 323-5492

03:07

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 172 of 222

I-'-)
(

THE COURT :

MR. PEEK: On disk.

Actually , it 's an e lectron ic file , so it

4
5

T H E C O U RT :

MR . PE KK :

On a d isk?

O ka y .

03:07

lt cou ld be on a hard drive , it

ould be on a C D RAM , could be on a numb er of ways to

sto re the info rm ation .

T HE COURT :

10

M R . PERK :

A l1 r ight .
But it would be -- as he sa id ,

11

it 's sou rce code w ith in which are wr itten m any , many

12

lines of code which he ll that code how to operate ,

13

how to perform its functionality

Now , we 'll get into a little bit --

15

THE COURT :

M R . P EE K :

18

THE COURT :

20

Wou ld that inc lude all the

03:08

cod es?

17

19

03:07

14

16

170

wou ld be e ithe c on a d is k --

(
*-)

Y e s r i t 's a L l t he c o d es .

For the video , the aud io ,

the -M R . PEEK :

Yesy because a11 o f those We re

21

th e p rope zty of e'Preppid , and a11 o f that was , as h e

22

said, deleted off the file s .

23

THE COURT :

21

MR

PEEK :

Well , we 'll -A nd 1 know th at he 's talked

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1

THE COURT :

MR . PEE.
'K :

A 11 r tght .

Well , we lll see

Where we go with th is .

I just have got that meeting .

if wefve

got to run a little lahe tonig ht , i '11 talk to my

10

staf f about what the ir schedule is , if we can

11

accomm odate --

12

oxtoa

THE COURT :

8
9

It wa s d eleted off o f the

servers .

6
7

1'm sorry for interrupting

you .

4
5

1y1

about --

2
3

t
z%

13

M R . PEEK :

THE COURT :

15

M R . PEEK :

We ll , that 's -Just exac tLy w hat you rre

ta lking about .

17

18

I w ant to get to the m erits ,

you r Hono r .

14

16

THE COURT :

- - k in d o f w h a t m y c o n ce r n

Was .

19

We '11 be in rece ss until about 1 :30 .

20

(Noon recess.)

21

--00 0--

22
23
'

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24

LZZA CHAPEN, CCR, RMR

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RENO , NEVA DA ; Tuesday, February 7 , 200 6; 1 :30 P .M .

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3
4

THE COUR'
T:

said you had some more quest ions?

MR . FLYNN :

04:3t

Your Honor, in the interest of

time, we'd like to reserve on Mr. Venables subject to

recall .

10

M r . F 1 yn n , y ou

!
/

A1l r.
i.g11t .

THE COURT :

A11 right .

Ca ll you r next

w itness .

04:a1

11

You can step down , sir .

12

MR . PEEK :

13

subject to recall?

Your Honor, m ay he be excused ,

May he be allowed to leave?

14

THE COURT :

15

MR . PEEK :

Yes .
Because ; know that he

16

doesn 't -- ob vious ly because he w ants to recall him ,

17

h e w a n t s h im o u t (af t h e c o u r t ro om .

18

So may he be allow ed to leave?

19

TH E COURT :

20

MR . PEEK :

21

(Witness excused .)

22

(Discussion off the record a

23

MR . PEEK :

24

04:31

Yes .
Thank yo u .

04:31

Actually , Mr . Ste iner w ent to

get him so he 'l1 walk in with Mr. Steiner, so -- I

LIZA CHAPEN, CCR, RMR

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THE BACLIFF: There's nobody out there

now .

MR . PEEK :

S o r r y , yo u r H o no r .

THE CO URT :

M R . PRKK :

THE COURT :

lt rs okay .

MR . FLYNN :

Your Honor r wh ile they re

He was right there .

04:32

That 's a11 rig ht .

I thought he was righ t there .

10

looking , w e tr ied to get you some cases on the

11

gove rnm ental p riv Llege secrecy , m ilitary secrecy

12

privizege , and 1 think they were given to your

13

secreta ry as you we re walking outo

11

going to grab th en and get them up to you .

THE CO URT :

16

(The w itness was sworn . )

17

T H E C O U RT :

A 11 right .

04:32

A 1 1 r ig h t .

P le a s e t a ke t he

w itness stand over there .

19

The re 's some wate r the re --

20

T HE W ITNESS :

21

THE COURT :

22
23

24

04:32

so M r . Pulver is

15

18

173

hope .

2
3

(''n

Than k you .

04:a3

-- if you w ant to have a

little bit .
M ake sure wh en you lre testi fying that you

speak up so that everybody can hear you

LIZA CHAPEN, CCR, RMR

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THE COURT :

174

O k ay .

And try not to speak at the

same time as the taw yer .

T H R W IT N E SS :

Okay .

MR . PEEK :

THE COURT :

MR

MR . FLYNN :

May 1 approach the bench?

THE COURT :

Yes .

Your Honor , may I move this ?

PEEK :

04:a3

Oh , certainly .
Than k yo u .

10

Thank you .

11

M R . FL YN N :

n4:3a

Y o u 're w e lc om e .

12
t

13

Z EHAN G S UN ,

11

called as a w itness , hav ing been first duly sworn ,

15

testified as follow s :

16
17

D IR E CT E XA M IN A T IO N

18

BY M R . JA KOPIN :

19

Q.

Wou ld you tell th e Court your nam e?

20

A.

Oh , my n ame is Zehang Sun .

21

Q.

A nd where do you currently w ork?

22

A.

eT reppid Technology .

23

Q.

A nd what 's your p osition ?

24

1 'm the v kce pre sident of en gineering .

LIZA CHAPEN, CCR, RMR

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1
.

1
(

2
3
4

Q.

-)

was the first school that you went to?

A.

Actually , before the ye ar 2004 , m ost of

the tim e 2 was in schoo t.

THE COURT :

THE W ITNESS :

C a n yo u sp e l l hh a t ?

10

T H E R E P O RT E R :

11

THE W ITNESS :

15

Northern , N -o-r-t-h-e-r-n .
Ho rth e r n .

G-l-a-o-g-o -n-g , Un sversity .

And then my major was telecommunications

and in form ation theory .
A fte r that , 1 went to hhe graduate school

of the same university and my ma jor was digital

17

si g n a l p ro c e s s in g , a nd th a t w a s -- 1 g ra d u at e - - go t

18

m y fir st Master of Engineering from that university

19

in year 1997 .
A fter that , I received a fellow ship from

21

Universit y' in Singapore .

22

sorry, Naryang Technology Core Un iversity .

23

24

:4:34

Northern Giaogong ,

16

20

04:34

undergraduate in un iversity in China called --

14

From yea r 1990 to 1994, I was

(Discussion off the record .)

13

l7b

..

12

O nce you gradua ted lrom h igh school, wha t

5
6

.
-

The nam e of university is ,

N anyang , N-a-n-y-a-n-g , Technology Core

Univ er sity .

L.
1ZA CHAPEN, CCR r RMR

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04:34

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176
.

And J spend there about two years and go t

my se cond Maste r 's Degree that was three-dimen sional

ima g e p ro c:e s s i (Rg a nd c om p u te r v i. s i-on .

I n y e a r 20 0 0 , I r e ce ive a n o th e r fu 1 l

a s si s ta nc e's h ip f rom U n ive r s it y o f N evad a - Re n o h e re ,

and that 's why I went to the graduate scho ol here ;

sp ent another fou r years .

9
10

I got my Ph . D . deg ree .

12

13

My degree w as in

BY MR . JA KO PIN :

:4:36

Q.

Did you write a dissertation fo r your

A.

Ye s .

Ph .D .?

M y dissertation was about feature

14

subset selection for vehicle detection .

15

grant -- that was a project supported by Ford Motor

16

C om pany 's Scient ific Research Lab .

That was a

17

T n ye ar 2 0 01 , I q ot a n int e r n sh ip f rom

18

Ford M otor Com pany and I spent three m onth the re .

19

m y work had great potential and that 's why he g ive m y

21

advisor, Professor George Bebbis (phonetic), U NR , a

22

grant to f arther support m y work .

24

:4::6

A fter three m onth , m y boss in Ford think

20

23

04;3s

com pute r science and enqineering .

11

t.'

'

M y work was v ehicle -- for the vehicle

detection and c kass ification .

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i)
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f

Q.

you used the wo rd feature .

Can yo u tell the Court wha t you mean by
the word feature ?

A.

Fe ature is a rather abstract -- it 's a

concept.

in the w ozk o f pa ttern recogn ition and image

processing .

For example -- I th tn k we can m aybe have

10

an example here - - if we try to d ishinguish between

11

human and , let 's say, an an im al, the feature cou ld be

12

the face , the leg , the head ; th at cou ld b e a feature .

13

Q.

talking akout fea tures o f the vehicle s?

A.

Ye s .

16

Q.

Co rrect?

17

A.

Ye s

18

:4:37

And that --

19

Q.

Go ah ead .

20

A.

A nd m y d issertation wa s about automat ic

21

feature subse t selection , and basical ly my w ork on

22

that produ ct for th ree year .

21

n4:a7

And so you were , in you r dissertation ,

15

23

:4:37

How we direct the ob ject is a terminology

14

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177

You talked about vehic le detect io n, and

3
4

6)

A fter that , m y wo rk wa s inv ited into

fourth generation Sm art Car . There wa s auto show in

LIZA CHAPEN, CCRZ RMR

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2002 in Ch icago and m y wor k was there .

Q.

And w hat d id that work do?

A.

Th at work ks detect vehkcle s and the -- in

front o f the -- in front of veh icle was my softw are

running .

Q.

04:38

And what was that -- you say software

running ; could you exp lain to the Court how thah

software ran ?

A.

That sofkwa re is a -- the software --

10

software is just a sequence of instructions and

11

that -- and the interface betw een hum an and the

12

machin e, :nd we can do some cod ing , use a software:

13

and after the cod ing is done , the m achine convert

14

that into m ach fne language , which first step going to

15

b e the assembly language .

16

o4:3a

17

th e y c a n c o n v e r t t h at to m ac h in e c o d e b e c au se th e re 's

18

no way hum an can read mach ine code , but m achine can

19

read m ach ine cod e .

21

That 's basically -- m ach in e -- how the

mach ine running is based on tha t m achine code .

22
23

24

04:38

A fte r they get so many languages , further

20

The code is just bunch of numbers, like

83, 100, tho se kind o f things .

The c ocle that you refer red to that is the

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1

A.

Yes .

Q.

Is tha t called source code ?

A.

Yes .

Q.

And co uld you expla in what that is?

A.

Source code is just a, once again,

Sou rce code is a bunch of sm alle r

fun ctionaiities, you know , m ake su re -- each smaller

10

funct ion doesn 't m ake any sense , but the source code

11

is l ike com bination of those kind of sm alle r

12

function s .

13

to serve a purpose .

15

write the source code .

Q.

That s basica lly why people

o4:4n

And so would each of the comb ination of

17

functions have a num be r of different lines of source

18

code --

19

A.

Ye s .

20

Q.

-- that are asso ciated with it ?

21

A.

Yes .

22

Q.

And then those different functions

23
24

04:39

Th e comb ination of hu o se :unc qyons going

14

16

04:39

inte rface between hum an and m ach ine .

179

human readab le code?

,
$

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together provide the overall function of the program ?

A

ves

that 's correct .

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Q.

N ow , you 've worked at eTreppid since when?

A.

1 o f t'ic i a2ly jo i-ned the company lst

-

January 2004 .

Be foze that f l work on Lhe consu ltant for

abou t m aykhe th re e wee ks ?

04:40

Y e ah , t h ree we e ks .

Q.

A nd what was your posit ion?

A.

V ice p resident of engineering .

Q.

And have you he ld that po sition

10

cont inu ou sly while you tve b een at eT reppid?

11

A.

Yes .

12

Q.

And what have you r re sponsib ilities been?

13

A.

1 thnk my job falls into two different

14

16

04:40

categor ies .

15

The first category is like a -- m y boss

04:41

gave m e some work to do .

17

And the second ca tegory y l t h in k y t h e

18

eTrepp id m igh t want this kind of wor k, and these two

19

kind of wo rk s .

20

the w ork, my boss 1et me to do first time is evaluate

21

feasib ility , whether or not we can handle that .

22

180

( 'i

I hand le tha t d ifferently , and for

Som et ime the requ irement from the

23

governm en t - - from the cust omer is not v ery realistic

24

and,

fo r examp le , you know , they -- som etim es they

LIZA CHAPEN, CCR: RMR

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say, ''Oka '

g, can you detect a person ?''

in thah im age may be only five-by - five p ixels big .

4
5
6

we cannot do this; this is the reason .

and th is

If we thin k the product is feasible r

ho a nalyze the p roduch further .

13

w e r e

The second step is going

Most tim e , I 'm going 1:o come up w ith a

For example , if the object -- if the goal

is ''A ,'' then I need to figure out

you know, how to

do ''A .'' W hat we n eed to do , m aybe , we need to get

15

''B '' a nd ''C '' do wn f i rs t

T HE COURT :

04:42

Excuse me .

17

a l i t t le b it ?

18

trouble keep ing up with you .

Can you slow down

I t h in k t h e c ou rt r ep or t e r i s h a v in g

19

If you'd slow down just a little bit

20

THE W ITNESS :

O kay .

So it 's like the

21

tricks are -- the first tim e is th e goal wo uld b e

22

''A '' but taere 's no way we can jump to ''A I$ We need

23

to get ''B '' and ''(

: '' down fi rs t .

24

04:42

tree structu re .

14

16

04:11

going to be the first step .

12

p e r so n

''

And I also give som e suggestions

going to the second step .

11

Rut the

If this things happen , I wou ld say , ''O kay,

10

f'

181

--.

If we ne6,d to get ''B'' and ''C'' do w n ,

LIZA CHAPEN, CCR , RMR

(775) 323-5492

we

04:42

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m i g ht n e ed ''D e' ERn d ''EIr '' th o se th in g s ba s ic a 1 ly and

,

a na lyze these who le th ng s , 1'm go kng to get a tree

st ructu re .

A fter ) get this , I need to further

a naly ze , vou know -- fo r examp le , each note on the

t re e

''B '' ''C '' ''E1 '' ''E '' t h ey a r e a s ub ta s k

:

7
8

i.s a

sub -a lgorjthm .
We need to eva luate whether o r

good a lgorithm to finish that task .

10

basically we 're don e w ith this step

11

con fident we can do th is .

12

04:42

not we have

If we do , hhen
.

W e c an - -

04:43

Next: step , m ost t kme , is 1 'm go ing to

13

w rite a code u sinq a too l , a lanquage called MATLAB

,

14

and the Math -- w ith the MATLAH cod ing p e riod --

15

m aybe , you know , a fber we need -- I need to do each

,

16

eve ry sub functon , test each , every sub function

, t he n

17

comb ine a11 those things toqether

18

the who le th ing m eet ou r goa l .

s e e w h e t he r o r n o t

19

If they do , then I 'm d one .

20

If they don 't , I need to go ba ck and r you

21

22

c4:43

:4:13

kn ow , figu re out wh y .

We do th is back and forth couple t ime s,

23

and after this , 1 'm going to , you know

, p resent the

24

result to my boss, and if m y boss thin k that ; s o kay

,

'

LIZA CHAPEN, CCRZ RMR

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Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 185 of 222

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then next step ts , we try to conve rt thah into a ''C ''

coder C++ code .

And until that step , basicalky t'm going

to alte r my hand -- alter m y hand , 1 on ly responsible

for , you know y the peop le -- depends on algorithm so

the eng ineer can converh hhat to ''C '' code ,

maybe , you know , tbe customer requ ires , you know ,

interface , and tfal no t re spons ibke fo r th at .

RY MR . JA KO PIN :

10

Q.

11
12

A l1 righ t .

an d th e n

You said a 1ot there .

THE COURT : I mean, I don't want to

14

curtail pour exam tnation r but what does a11 this have

15

to do w ith the issues that we 're trying to decid e

16

here ?
MR . JAKO PIN :

to do w ith th e writing o f software , of source code o f

19

eT repp id that spec ifkcakly relates to pattern

20

recogn it ion , to anoma ly detection , and th is is a

21

witness who h as w ritten code that is used fo r that ,

22

and so -THE COURT :

04:44

Well, you r Honor , this has

18

24

04:44

b it b eca use --

13

23

04:44

Why don 't we try to brea k it up a little

17

')

W ell

I th ink it 's on ly fair

for me to tell you , I really d idn 't unde rstand about

LIZA CHAPEN, CCRy RMR

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90 percen t. o f what he sa kd , and paEt of tt ts my kac k

o f t rain ing and education in the area that he 's

talking about , and two, pa rt o f it is lanquage and

that 's not an ybody 's fault, bu t --

MR . JA KOPIN :

7
8
9

1 '11 try to brea k it up

THE COURT:

-- I'm just trying to tell you

what I wou ld want to know if I we re in your shoes .

MR . JAKO PIN :

Uh-huh .

We ll, than k you , your Honor .

11

T HE COURT :

parts o f it , if you think 1 need to know about them ,

13

it 's your time : but I'm just simply saying that 1

14

would apprec iate it if you can avoid that y to the

15

extent that you can , and still exp la in to m e what I

16

need to know about w ho se p rope rty this is , how it

17

b ec am e t h e i r p r o pe r t y , wh e n Yt w a s d e v e lo p e d , w h a t

18

about th is patent or th is copyrigh t from 1985: those

19

are the knd s of th ings I 'm go ing to have to decide .

W hat he said here to day , 1, fran kly : I

teli you very honestly do not understand .

22

So , you know --

23

M R . JA KO PIN :

Than k you r you r Honor .

.'

24

04:45

And so , aga in y the technical

12

21

04:45

into --

10

20

184

By MR . Jl yo pzx :

LTZA CHAPEN, CCR, RMR

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Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 187 of 222

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,

You just described steps that you used to

ma ke software at oT repp id , correct?

A.

Ye s .

Q.

And is that source code that is qenerahed

at eTrepp id ?

04:46

A.

Ye s .

Q.

You gene rate one kind of source code idto

what you ca llecl MAT LA B?

A.

Yes, I used MATLAB for to test my ideas .

10

Q.

O kay .

11

A nd then another kind o f sou rce

A.

Yes .

13

Q.

C o r r ec t ?

14

A.

Yes .

15

Q.

Now , is there softw are that you have

16

w ritten at eTrepp Ld that then uses that process to

17

m o v e p a t te r n r e c og n it i o n ?

19

20

A.

wa s related to pattern re cogn it ion .

Q.

Wou ld you describe som e o f the diffe rent

kind s of so ftw are that you wrot e at eTreppid that

22

relates to pattern recognition?

24

04:46

I th in k most o f my -- a lm ost al1 my work

21

23

04:46

code that that is converted to is; called C++?

12

18

1()s

Q.

.....'

A.

For exam ple y face d etection is try ing to ,

you know, detect the face in 1ab video , and also

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Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 188 of 222

186
1
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motion detection .

So i. f someone walk into a, you know , a

restrict zone , and also im age regist ration , if, you

know : the v ideo was taken from a mov ng p latfo rm .

5
6

A 11 those code y actually ,

('

And so registration was one kind of sdurce

code re latin g to pahte rn recogn ition tha t you wrote?

A.

Yes .

10

Q.

A nd sofhware that wou ld detect the face of

11

a person was another kind of source code that you

12

wrote?

13

A.

Ye s .

14

Q.

And then another kind of source code that

15

you wrote relating to pattern recognition wa s fo r

16

m otion dete ct ion?

17

A.

Ye s .

18

Q.

Did you write any source code at eTreppid

A.

Yes, 1 did .

21

Q.

O kay .

23

24

c4:47

04:47

relating to tracking of a vehic le ?

20

22

Q.

19

04:17

respon sible .

7
8

I was

04:47

So those different kinds of sou rce

codes , you would w rite in what was called MATLAB ?

A.

Yeah, the first step -- the first step is

in MATLAB.
=

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* '

18 7

be converted to C+4?
A.

Ye s .

Q.

O kay .

6
7

ls there a kind of app lication that

you eve done at eTrep pid called a nom aly detect ion?
A.

Yes .

June two thou sand -- I think June last yea r .

Q.

A nd what was that?

A.

It 's try to dete ct som ething and --

which

10

not suppo sed to be a certa in -- not supposed to

11

present in a certain image .

13

Q.

see in the p icture ?

A.

Right .

15

Q.

And that's called anomaly detection?

16

A.

Right .

17

Q.

A nd so you wrote source code fo r that at

18

eTrepp id ?

19

A.

Yes ,

20

Q.

Okay .

22

o4:4a

So tt 's something that you don 't expect to

14

21

04:48

There was someth ing T had done in

12

A nd the second step for a1l of tho se could

Q.

I did .

And is that anomaly detection a

form of p attern recognition ?

A.

Yeah .

o4:4a

Anom aly detection can consider only

23

one kind o f patte rn recognition , pattern

24

classification.

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188

Now , was a lL the wo rk Lhat you have

done while at efpreppid your orfginal work?

A.

Yes .

Q.

Did yo u use any source code that

M r . Montgom ery prov ided you in do ing that work?

A.

A s (ar as I 'm aware , no .

Q.

Okay .

that you w rote ?

A.

Ye s , T thin k so .

10

Q.

W ho repo rts to you on your team at

11

eTrepp id ?

12

A.

13

And do you want the name?

Q.

Yes , p lease .

15

A.

O kay .

''Yum i''

17

Navin , Saurabh , Krishna , M ichael,

Q.

Do certain of those eng ineers w ork on

projects that relate to source code of pattern

19

recognition?

20

23

24

04:49

Suchit a; all th ose engineers rep ort to m e .

18

22

n1:49

A 1l the eng ineer report to me .

14

21

o4:4a

Does eTrepp id own the source cod

16

Okay .

Q.

A.

Yes .

Q.

O kay .

Nav in and Saurabh and K rishna , Yong

M ian .

Do those enginee rs hav e work

stations that they use to save the ir source code on?

A. ves.

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-.

$
'

Q.

1()9

Do they, then , save source code that

they 've worked typicalty on their machines on a

s e rv e r ?

A.

Yeah , I think so .

Q.

And do you know the name o f that server at

eTrepp id?

A.

I t hink called SRCSERVER o r --

Q.

O ka y .

A.

Yeah , called SRCSERVER .

10

Q.

A re you awa re o f whether the eng inee rs are

Yes .

11

now being ab le to w ork on the sou rce code that is

12

stored on the SRCSERVER?

13
14

15

A.

Q.

Okay.

Any other engineers --

o4:b:

MR . FLYNN : Objection , your Honor;

h ea r s a y .

18

BY MR . JA FO PIN :

19

Q.

-- te lt you their code w as gone ?

20

MR . FLYNN :

Hearsay .

21

TH E COURT :

It is hearsay .

22

Su stained .

24

04:50

That was coup le weeks ago z and Krishna

17

23

n4:ba

told m e hbs cod e was gone .

16

j
..

'.'-

04:5:

BY MR . JA KO PIN :

Q.

Have you been able to access source code

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,
.e.l
'

Tha lr, ( cannot -- what I can access is

that directory , b ut othe r people 's wo rk, 1 cannot .

Q.

O kay .

1 can on ly access

Is that directo ry for you something

A.

1 thin k so, but I didn 't t ry that .

Q.

We rt: you invo lved kn loo king for source

cod e that had been deleted at the company?

10

A.

So rry , I d idn 't unde rstand th is question .

11

Q.

We re you involved in loo king for any

12

n4:s1

sou rce cod e that had been deleted at the company ?

13

A.

Oh , no .

14

Q.

O ka y .

15

Did Mr . Montqom ery ever p rov ide you

any source cod e w ritten in MATLAB ?

16

A.

No .

17

Q.

O kay .

04:51

W ere you aw are of M r . M o n tg om e ry

18

ev er p rov iding you a program th at was kn C++ that had

19

been converted from MATLAB?

20

A.

No .

21

Q.

Okay .

'
:4:52

Could you exp la in to the Court the

22

typ e o f instructions that M r . M ontgom ery would give

23

to you for projects?

24

o4:5k

that you can access today on the SRC SERVER ?

A.

'

only there 's a di rectory for me .

fr om th e 65RC S E !kV El14?

1()()

('

'
-

A.

Most time is h e give m e a -- show m e, not

LIZA CHAPFN: CCR, RMR

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,...X

f'

give me -- show m e a bunch o f image sequence , v ideo

sequen ce , and so , okay , we can see there 's a vehicle

t he r e , we ca n s e e t #1e re 's w a 1 k tn$) pe o p le ove r t h er e .

C a n w e d e t ec t th a t ?

T h a t is - - no rma l1 y t h i s is 1i ke th a t .

Q.

C a n w e t ra c k t ha t .

det e c.t t h a't ?

A.

A s fa r a s I r em em L)e r r

Q.

W a s t ha t s ome t h in q tha t yo u w e re th e n

no .

re spon s ib le fo r , in fa c t , de he rm in in g h ow t o d o it ?
.

11

A.

Y e s , ye s .

12

Q.

And yolz wou ld t he n do that , and f rom t ha t r

13

A.

Ye s .

15

Q.

A nd t he n f rom tha t , t he eng inee rs wou ld

A.

T h a t 's ctor r ec t .

18

Q.

And from that , then , the software f or that

part icular appl icat ion would b e deve loped?

20

A.

Yes .

21

Q.

O k ay .

'
04:sa

An d t h e re w e r e m a n y d i f fe r en t

22

p a t t e rn r e co g n i t io n app 1 ica t io n s t h a t w e re de ve lo pe d

23

in that way?

24

04:s2

t a ke t hat MATLAB s c rip t and p ut i t into C++ ?

17

19

04:52

Y ou wo u ld t he n w r it e you r MATLAR sc r ipt ?

14

16

04 :52

D id i
ne g i ve yo u an y d i r ec t io n on ho w to

10

1(
.)y

('
.

w
-

A. Yes. And almost every one -- I think

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,
2

eve ry p iece of app l Lcation , every p iece of code is

done in that way .

3
4

Q.

A nd that would include the one that was

detecting the face o f the person?

A.

Yes .

Q.

A nd the one that was doing the mot ion

n4:s3

detection ?

A.

Ye s .

Q.

And the one that was doing the tracking of

10

'-

a veh icle ?

04:5a

11

A.

Yes .

12

Q.

A s well as the registration process?

13

A.

Yes .

14

M R . JAFO PIN :

15

THE COURT :

Okay .

I have nothing m ore .

M r . Flynn .

04:b3

16
17

18

C R OS S EX A M IN A T IO N

BY MR . FLYNN :

19

Q.

Is it M r . Sun ?

20

A.

Yes .

21

Q.

Dr . Sun .

22
23

(
.

24

Doctor .

o4:5a

Thank you .

You have no type of security cle arance

from the U .S . G overnm ent?

A.

No r 1 clon 't .

LIZA CHAPEN: CCR, RMR

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193

t
'

Q.

You have -- you 're not a U .S . c itizen?

A.

No.

Q.

Now , let me see if I understand you r

hestimony .

5
6

A'

O kay .

Q.

You were workinq on creating lines o f

10

codes w ith sou rce codes based on som e type o f an

algorihhm technology for facia l recognit ion?

11

A.

Ye s, that 's one of m y tasks .

12

Q.

You were working on creating lines of code

13

with source codes based on algorithms for object

14

trac king ?

15

A.

Yes .

16

Q.

On your own work station?

17

A.

N o , I w o u ld no t sa y t h at , b ec a u s e a s I

18

04:s4

I do pa rt o f that wo rk and m y group do

part of t hat work .

04:s4

21

Q.

A nd you never worked w ith M r . Montgomery ?

22

A.

What do you m ean b y that?

23

Q. But he never -- from what I just heard --

24

94:b4

exp lained before , that actually is a teamw ork .

19
20

04:53

too , but 1et me see if 1 can unde rstand .

t
.

1 had 8t little hard t im e followint; it,

He was my boss .

Maybe I m isundersto od some th ing .

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...)

A-

Uh -h u h .

Q.

He never gave you anything for you to do

A.

I don 't th ink 1 understand

04:55

The th ings -- part of m y work is like he

gave to m e , 1et m e do that .

Q.

Wh at d id he g ive you?

A.

It 's like , most tim e there 's a rad io

10

sequence --

04:55

11

Q.

W ell --

12

A.

-- and 1et m e do it .

13
14

O kay, you know , there 's a video sequence ,

and can you do th is?

15

Things like that .

16
17

Q.

04:s5

I thoug ht you said that he d idn 't g ive you

a n y th in g bh at y ou n ee d ed to do y ou r w o r k .

18

Maybe I m isunderstood th at .

19

A.

20

b ecause it 's like

21

okay , we hav e, you know , video sequence , can we track

22

this p erson ?

23

I 'm con fused .

your question .

6
7

yggjt)

the work vou just described?

f
.

-....

24

Oh , wh at I m ean is , in the level algorithm

any people can ask me , let 's say,

Can we , you know , de tect th is person?

This m ost o f the time , th is is Denn is 1et

me do .

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...y
1
f

Q.

That 's where 1 th ink 1 want ho get .

A l1 -- you did it by yourself?

A.

Parll o f that: yes , I did by myself .

Q.

So you got you r own source codes?

A.

Oh , yes, l th in k that 's true .

Q.

Right now, you lve got you r own sou rce

A.

weeks ago , but now I think part of m y code also

11

m issing .

12

Q.

What part is missing?

13

A.

For example, the anomaly detection , 1

04:56

thin k 1 don lt see that any mo re in m y computer .

15

T hat was talking about maybe a couple

10

Q.

Is that som ething that 's not -- the

16

anom a ly detectg
ion software that 's no longer in your

17

co m p u t e r , i s i t so m et h in g yo u c rea t e d ?

18

A.

Ye s, I d id .

19

Q.

In the last few w eeks, have you rec reated

20

04:s6

codes for a l1 the w or k you pve done ?

14

1:(5

So you created your own source codes .

.. .

it?

04:56

04:56

21

A.

N o , not. yet .

22

Q.

You can recreate it?

23

A.

Ye s, I can .

24

How lon g will it ta ke you ?

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..x.
1

A.

1 re a l ly - - 1 r e a ll y d o n 't kn ow , be c a us e

My wo rk is , in the algorithm level, is

like , 1 do some p totecting and get the algorithm

down .

algor ithm .

The actual sou rce code is d iffe rent from the

7
8

if I 1m con fident we can do this, wh ich mean s 1 'm

con fident w e can find algorithm to do that .

The actual codin g actually fo r some other

11

eng ineers , 1 mean, C ++, not in the MATLAB .

12

a ve ry high level source cod e .

13

it's --

14

It 's like a --

C an I use an example here?

Q.

Su re .

16

A.

Okay .

17

Q.

I 'm just trying to get edified, and I

o4:sv

believe the judge is trying to get educated, too.

19
20

G o ahead .
A.

O kay .

MA TLAB is like , fo r examp le, is

21

just a tool and let's say if I want to build a house,

22

the MATLA B m aybe have som e, you know , bu ild ing

23

b locks, lsuke w indow s, foundation .

24

O4:b7

MATLAB is

15

18

04:57

A lgorithm is like a high level th ing and

10

1:6

that depends on -- thks is only part of the things.

If 1 want test my design, just in -- pull

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x.x
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that p artkcula r window , pull that particular

foundation, pull them together, see whether or not

hhat is good , and the th ings r you know , if in com e

the ''C '' code , people have to actually bu ild that

window .

04::8

6
7

know , some tim e .

MA TLA R cod e done , m aybe , you know r in couple weeks,

but I rea Lly don 't know how soon they can d o the ''C H

10

11
12

Th at itself m iqht take, you know , I don 't

13

code .

04:b8

Q.

A. That algorithm?
Yo u 're talking about the MAT LAR or are you

talking about ''C '' code ?

04:58

16

Q.

Wh at you we re working on .

17

A.

M A T LA B .

18

;'
1.

How m any lines o f code make up -- how many

lines of code m ake up an algorithm ?

14

15

Tha t 's why, you know, I can get the

Th at is not very big ; ma ybe , you know ,

19

coup le hundred .

20

Q.

Okay .

21

A.

A t this m om ent ?

22

Q.

Ye s .

23

A.

T th in k I m ight h ave .

24

Do you have those lines of code?

I really don tt --

I m not sare ab out that .

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,.e
i

('

Q.

W e l 1.. 14a v e y ou (Dhe (7ked ?

A.

W h a t?

Q.

Have you checked to see w hether you have

1:g

these lines o f code that make up the algorithms that

you worked on ?

A.

04:59

In m y machine -- what I m ean , in my

machine I don n l thin k I have , but I think lat year

my m ach ine got c loned couple times .

10

11

..,

I real Ly don 't know whethe r o r not they

still hav e that code in those clone d isk .

Q.

o4:5a

So fn the last -- have you been looking

12

fo r th ese lines o f code on this algo rithm for the

13

last few weeks?

'

14

A.

No , be(
.na us e
I w as o :1 v a c a t i. o n .

15

Q.

So you don 't know whether anything is

16

A.

I --

18

Q.

It could still be at eTreppid .

19

A.

ln last several days , m y eng ineer to ld me

the ir code wa s gon e .

21

M y code --

22

MR .

23
1.

m issing o r not?

17

20

24

04:59

o4:s9

FLYNN: I object and move to strikez

your Ho nor .
T H E c OU RT :

T h at 1s a 11 r i gh t -

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....
,
.

MR .

THE COMRT :

His eng ineer told him .

That's a11 right .

I 'm n o t

goinq to consider it for the truth o f jt , but go

ahead .

BY MR . FLYNN :

n4:5a

Q.

M r . Sun, what we 're trying to find out --

A.

Uh -huh .

Q.

-- is anything that you created , o n e , yo u

can re create r correct ?

10

A.

Oh ,

11

Q.

A nd two , anything that you created , a s o f

yes .

04:59

12

the m om en tz we don 'h know whether it ls the re r o r w e

13

don't know based on your personal knowledge?

14
15

16

A.

18
19

1 thin h , ba sed on m y personal know ledge I

,

th in k it 's not there .

Q.

17

('
i

FLYHN :

19g)

'v'

......-

os:no

Now , dc) you know how many types -Do y o u kn ow a n yt h in g ab o u t th e q ov e rnm e n t

cont racts at all?

A.

No : I don 't because I 'm no t supposed to ,

20

you know , ask anything there .

21

the thing s m y b oss 1et me to do .

It's like, I just do

22

Q.

So in terms of, say, object tracking --

23

A.

Uh-huh .

24

Q.

-- do you know how many components of

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Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 202 of 222

.-

object tracking e'lreppid was involved in, some having

to d o with governm ent contracts, some having nothing

to do with governm ent contracts?

A.

A s L said before, no , 1 don 't know about

that .

Qs::Q

Q.

Did you bac k up your work station ?

A.

A ctual ly , m y -- first, m y cmputer is not

a work station and 1 didn 't back up ; the company back

up .

10

1 don 't have anywhere to b ack up .

11

Q.

O kay .

12

A.

Yeah .

13

Q.

Where fs the -- have you checked the

14
15

05:00

The com pany backed it up ?

backup that the com pany did on you r work product?

A.

That out of my hand .

I 'm not allow ed to

16

do that , because basically what w as -- what I

17

r e sp o n s i b le i s th e a lgo r i thm in t h o se l e ve l , a n d

18

whether or not they -- how they b ack up the software ,

19

which I don 't know .

20

Q.

W as Patty Gray ever on your compute r?

21

A.

What do you m ean b y ''on m y computer''?

22

2()o

%r.

Use my com puter or --

23

Q.

Yes , w ithout your perm ission ?

24

A s rar as z ,m aware , no .

L'
.EZA CHAPEN, CCR, RMR

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1
t

S in c e f yo u know , I (io h a v e a s h a re d
d ir e c to r y , t ha t 's fo r su r e .

3
4

Q.

m is sing r ight now --

A.

a t that t ime , I was in hosp ita l, coup le people work

unde r me call me .

MR. FLYNN: Well, I object and move to

stri ke , your Hono r.
THE WITNESS :

11

M R . FLYNN :

Okay .

Buh Jet them bring them in if

THE COURT: I'm going to hear the

14

evidence .

15

weight I think t 's entit led to .

16

M R . FLYNN :

18

0s:o2

they --

13

17

There 's not a jury here.

1'11 give it the

05:02

Okay .

B Y M R . FL Y N N :

Q.

19

Let me a sk you this , sir .

If you th ink there 's something m issing

20

that you need , in the last two wee ks: have you made

21

any effort to go get it?

22

05:01

T he y s a y - -

10

12

I th in k we know something m issnq , because

Since '
ae don 't know if there 's anything

A.

A s I said be fore , I was on vaca tion last

23

coup le wee ks .

My d aughter was born 9th o f Janua ry .

24

I was on vacatLon.

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.....

Q.

A . Tha;k 'gou .

Q.

5
6

7
8
9

O ka y .

' 'r

zg:

C o ng ra tu 1a t .io n s o n yo u r d au (Jh te r .
.

Rut in the next few weeks , do you know of

any rea sor. why you ca nnot go find it?

A.

I thin k I m ight want to try , but I rea lly

ns:02

don 't knou whether or not f can find that .

Q.

So as of today ts date , fr purpo ses of

this hearing , you don 't know ?

A.

No .

10

MR . FLYNN :

Thank you .

11

THE COURT :

Red irect?

12

MR . JA KOPIN :

13

THE COURT:

14

MR . JAKQPIN :

15

MR . FLYNN :

Yes z your Hono r .

16

THE COURT ;

You m ay step down .

17

Y o u tr e ex c u s ed .

18

THE W ITNE SS :

19

(W itness excused .)

20

THE COURT :

21

Step forward , sir , and be sworn first .

22

THE W ITNE SS :

23

(The wtness was sworn .)

24

THE COURT: Thank you

05:02

No , your Honor .

May this witness be excused?

Yes .
0st03

T h an k y ou f o r c om i ng .

Okay .

Call your next witness .

Okay .

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11F1H DA LL A . ROM AN ,

ca11ed as a witne:5s, having been first duly sworn,

1 e/5t if ie d a s fo 11ow s :

5
6

7
8

9
10

l1

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BY MR . JAIIOPIN :

Q.

W ou .
Ld yo u st at e and sp e 11 you r n ame r

p le a se .

A.

K en d a 1 l A . Ro man .
MR . FI,YNN :

Your Hono r , ma yb e it Would be

I b e lj ev e th i s is th e e xp e rt .

13

this poin t in p roceeding , let 's -- it 's su ch a waste

14

of time to do an expert .

1 th in k, a t

I would aubmit, if we just put Mr. Trepp

ns:n4

16

and Mr. Montgomery on the witness stand, for judicial

17

e ff i c ie n c y , c u t t h ro u g h a l l o f th is s tu f f a n d q e t t o

18

the bottom of this .

19

W e h ave not been disclosed who he is, any

20

in fo rm ation about h im .

21

put an expert on , on the eurrent state , foundational

22

state o f the re cord , is p urposeless .

23

24

05:04

quicker for me to put my objection in now .

l2

15

D (RRCT EXAMINAT 1ON

THR COURT :

We 've been given noth ing .

To

Wellr I don lt kn ow what he 's

going to say and so, I mean, it's just like the --

'
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you know , ''I ob je(:t..''

''W h ctt ':; yo u r g rou n d s ? ''

''I 1nl no t g o i.ng t o te l1 y ou .''

I cl()n '1. kn ow w he th e r h e ha s so m e th ing to

say that will be he Lpfu to the Court or not .

or may not, and so I can 't just arbitrarily restrict

eithe r side from putt ing som ebody on the w itn ess

stand becau se of their statu s as a 1ay w itness ,

expert w itness , whatever .

10
11

(
,

He may

Let 's go a lttle bit and we 'll see

Wel l: let 's put it this way .

13

CounsekF can you telt me what he 's going

15
16
17

MR. JAKOPIN : Yes, the subject matter is

0s:n5

background to expla tn to the Court about source code .

It 's tc) show he 's had conversations with

variou s em ployees at the company , and in his own

19

language to explain what it is that h as occurred at

20

the compa ny, and to then be able to p rovide to the

21

Court h is op in ion on the dam age that has occur red as

22

a result of what has been de leted .

24

05:05

to -- what's the subject matter going to be?

18

23

05:0b

w hat --

12

14

204

THE COURT :

A 11 righ t .

We ll r let 's take

it a step at a time.

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BY MR . JAKOPIN :

Q.

4
5

backg round since high schoo) , please .

A.

Yes .

I have a Rachelo r 's Degree in

com puter science grom Rrigham Young University , 1982 ,

and that deg ree included b0th hardware and software

databases and inter-computer communications , which is

called netwo rking .

Q.

Do you have any experien ce w ith v arious

11

different languages thak are u secl for source code

12

programming ?

13

A.

Yes .

num erous zanguages, including the one s at issue in

15

this casey C++ .

16

Q.

A re you familiar with different compute r

hardw are p latfo rm s?

A.

Yes, I am .

19

Q.

A nd how about different computer software

p latfo rms?

os:07

21

A.

Yes .

22

Q.

Is there an area o f your exp ertise that

23
24

05:06

os:cv

18

20

05:06

l 've studied and programmed in

14

17

/
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Can you give me you r educational

10

t'

Let 's Hee where we qo with it .

relates tc computer forensic s?

A.

Yes .

Fo r t he 1 as t six y e a rs : I 'v e b ee n

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doing expe rt w itness consulting , as well as regular

business consutting , and a 1ot of that work has been

as a computer fo rensic expert .

I 've w orked on eases fo r the government

where I 've don e data recovery: in par ticular r video .

I w as hired b y the State o f California to

recov er video from security cam eras at one of th eir

correct ion al fac izities, and l 've testi fied regard ing

tha t forensic recovery process and also the analysis

10

I 've done of the recovered data .

11

os:o8

I 've also wor ked on cases for the

12

Departmen t of Defense , particula rly the Depa rtment of

13

the N avy r as a defense expe rt .

14
15

05::7

Q.

Have you worked on technolog ies relating

to what w e 've h eard today as softw ar e comp re ssion ?

nstoq

''

16

Yes .

i 've been working w ith , in

17

p articu larr audio and video comp ression for over a

18

decade .

19

I have a number of pend ing patents in the

20

area of v ideo comp ression, v ideo t ransm ission , and I

21

bav e an FDA app roved m edical device that T wa s the

22

p rima ry invento r and developer of .

23

A.

24

Q.

And h ow about with resp ect to pattern

recognition? Do you have background with pattern

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recogniticn ?

A.

broad -- a b road scope .

A 11 data compression, at som e .level, is

loo king fc r patterns o f materia l that can be stored

in a m ore e ffityient way .

to loo k fcr a ser ies of zero es in a row and rep lace

that serie s of zeroes with a number that rep re sents

that run length of ze roes .

11
12

a lm o st an y comp ression algorithm .

Theru

there ls this m ore speci fic pattern

14

recognition where we 're loo king fo r a face o r an iris

15

or th inqs like that , and that kind o f patte rn

16

recogniticn has just come to the forefront in the

17

last few years .

18

j'

os:oa

There fs pattern recoqnit ion bu ilt into

13

19

os:ng

A very sim ple way of doing comp ression is

10

4
:
'
,

Welk, pattern recognition has kind of a

MR . JAKOPIN :

05:09

1 'd like to tende r him , your

Honor r a s an expert .

20

THE COURT :

21

Go ahead .

22

M R . JAKOPIN :

23

BY MR . JAKO PIN :

24

I fm satisfied .

A 11 right .

Than k you .

Gettinf) b ack to source code , could you

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exp la in to the Gogrt how source code is used b y the

computer?

A.

Ye s .

Computers run programs , basically

that 's what they 're designed to do 4 and the computer

program is simp ly a series of inst ructkon s for the

computer to execu te .

the com puter what to do, we could w rite the

instruct ions at a very 1ow lev ely which is called

10

mach ine languaqe ; zeroes and ones that you 've heard

11

abou t .

05:10

Bu t that 's very tedious , and so what we 've

13

don e is we 've written these hiqher level languages

14

like C++ that actually use Eng lish w ords , and you can

15

put comm ents and various other ways o f m aking it mo re

16

unde rstand able for the hum an being .

17

Qs:1Q

In order for the hum an programm er to tell

12

.-

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05:1q

So as .
4 programmer , we , in th e text file ,

18

just like writtnq a letter, we write in the speciak

19

language -- it m igh t be MATLA B or it might be C++ o r

20

Java or one of these other languages -- and it 's just

21

an e lectro nic document that has a series of

22

instructions w ritten in the h igh level language , and

23

as a -- a s Sloan testified , there 's a comp iling that

24

takes these source code files and compiles them into

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object code and ltbraries, which then a11 get

com piled together to form the executab le p rogram .

A n d s o w he n w e t a l k a b ou t so ftw are , we

u sually td lk ab out the sou rce cocle fo r the proqram ,

a s w ell as the interm ed iate files and the

executables .

Do you have an understand ing ,

based upon you r conversations with d ifferent people

at eT reppjd , as to what sou rce code files were to be

deleted at the company?

os:11

11

MR . FLYNN:

1 object, your Honor.

12

THE COURT :

I 'm sorry?

13

MR . FLYNN: I object, your Honor.

14

THE COURT :

Hearsay?

15

MR . FLYNN :

Yes .

16

MR . JA KOPIN :

17

A 11 right .

10

Q.

n5:11

os:ll

He 's an e xpert, your Honor .

He can reqy on th ings that are not --

18

THE COURT :

Well, I think you --

19

MR . LOGAR :

Only as foundational .

20

THE COURT :

If you 're going to be

21

technical , I think you have to 1ay the foundation

22

th at these are the types of things upon which he

23

would ordnarily rely in the practice o f his

24

profession outside of the courtroom .

L'
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MR . JA HQ PIN :

That 's fine .

BY MR . JAFOPIN:

Q.

ln order to make a determ inat ion that

file s have been dttleted at a facility , what would you

norma lly do ?

A.

05:12

Well, Lt 's an industry be st practice to

have some type o f source code contro l system or a way

o f b ac king up you r so ftware .

Computers are machines and hhey b reak

10

dow n , and the storage m edium such as m agnetic disks

11

can actually decay over tim e, and so ev ery software

12

com pany l 've been invo lved in has some typ e of

13

repository wh ere they sto re their so ftware , and the

14

software js usualty organized by projects and there 's

15

lim ited access and there 's some type of tracking .

05:12

j.'

16

A nd so when I wa s b rought into this case ,

17

I specifically as ked the d irector o f R&D and Dr . Sun

18

what software methodo logy W as b eing u sed in this

19

case .

20

In m y first startup company , I actu ally

21

was the manager o f p rocessing con tro ls and tools and

22

I pu t such p rocesses in place , and then th roughout my

23

career, I 've been the CTO , chie f techno logy officer,

24

and in that posltion, I was the one responsible for

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making su re ou r so ftware wa s secure .

So o IRe o f t14e f i rst que s t io n s I a s ke d the

employees was , ''Dict you have such an industry

standard Boftwace contro l proced ure?''

lnt ta Lly, they d id , b ut unde r

M r . Montg omery 's direction , they set up th is other

system that 's not an indu st ry standard m ethodology,

and that system wa s the SRC SERVER .

/
.

And on the SRCGERVER we re num erous

10

directorkes for the subprojects in the ET Latest, so

11

that wa s the eTrepp id Latest sou rce code .

12

Q.

A 1J righ t .

13

A.

And then also they had a work in proqress,

14

17

THE COURT :

Let m e interrupt you for a

Ob:t4

second .
What I'm conce rned ab out is , if you were

18

h ired simp ly to go to eT reppid and look at their

19

comp uters; to determ ine wh ether o r not something had

20

been de leted , outside o f the con text of litigation ,

21

would you r in that proces s, spe ak to pe op le wh o

22

worked the re and rely upon what they told you in

23

order to p ractice your profession ?

24

05:14

which wa s th e ET programm e rs .

15
16

05:13

THE WITNESS: Yes, I would.

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THE COU RT :

MR. FLYNN: Your Honor, may T ask one voir

I im go ing to allow it .

d ire ?

THK COURT :

Ye s, sir .

95:14

8
9
10
11

12

BY M R . FLYNN :

Q.

In the practice of you r profession , would

you first go to the chief tech nical o fficer of the

comp any irt o rder to fulfill Lh at function?
A.

In pract ice , you don bt always -- depends

In pract ice , you don n l a lw ays go to the

14

chief technology o fficer first , bu t in a small

15

com pany l ike th is , I would have go ne to the director

16

of deve lopm ent or CTO .

17

Q.

And that , o f course , Ys M r . M ontqom ery ?

18

A.

We ll , the d irector o f R &D is who I talked

20

o5:1s

to , and that was , I believe , Sloan .

Q.

Bu t the chie f technica l o fficer o f the

21

com pany , particularly w ith regard to this d ifferent

22

security cletect ion system , was M r . Montgome ry ; isn 't

23

that correct?

24

0b:14

on the si z:e o f the organization .

13

19

V ()1.R D IR E EX A M IN A T ION

A.

My understanding is that he had left the

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company a qd was not -- not on site .

Q.

So you never talked to h im ?

A.

That 's correct .

going to hear from M r. Montqom ery, w ithout him having

spo ken to M r . M ontgom ery about what happen ed here r

which I b elieve is going to becom e perfectly clear to

the Court in five m inutesr th is is a11 useless

test im ony .

11
12

THF COURT :

Well , you see , I can 't -- I

14

testimony , then we ll move on and the n I f11 make that

15

evaluatio a.

Let m e hear the

0s:16

I just -- you know, as I'm sure you know,

17

I 'm sure gou 're very experienced and you know that

18

as -- I mean, I knew as a law yer when I came in that

19

the judge and the jury really didn 't get it when they

20

first wal ked in , and I 'm te lling you , I 1m in the

21

p rocess o g gett ing it , but I don 't quite get it yet .

23

24

o5:ls

It seem s to m e that the foundation has

been laid for this testimony .

22

nb:ls

can 't m ak e that determ ination .

13

16

Your Honor, I -- if you 're

10

('

M R . FLYNN :

So I fm going to 1et these people develop

their case and 1 '11 let you do the sam e thing .

If we have to go a little late to do that ,

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w e '1 1 do it .
.

Go ERl
nead .

4
5

6
7
8

9
10
'11

CONT ft1t;E D D 1RECT HXAM IN AT 1ON

BY M R . JA 3:0 P IN t

Q.

D o yo u h av e a n un d e rs ta n cii n g o f w ha t

so u r ce c o cLe h a (1 b e e n de1 e te d a t: th e comp an y ?

A.

A s I m('n t ioned be fo z'e , the re 's t h is ET

L a t e st , w h ic h k s 1)he la te st wo r k 5ng v e r s io n o f t h e
so u r ce c o (je , wh ic h wo u ld b e th e C + + code , a nd t h e

12

prog re s s c ode y wh ich wa s in th e ET p rog ramm e rs o r ET

13

development directory .

My understanding is that the majority of

1$

tho se directories -- the directorie s w ere st ill

16

there , bu t the -- or at least some o f the d irectories

17

are still the re, but the files themselves , t he s o u rc e

18

code files and the execu tab le files h ad a11 been

19

dele ted .

20
21

MR . FLYNN:

Objection to everything after,

''My unde rstan ding .''

22

Hearsay, lac ks foundation .

23

THE COURT :

24

ob:16

lib rarie s , and the n t he re wa s a 1so t h e w o r k in

14

0b:16

I p revio usly ind icated I lm

going to allow that testimony on the grounds that

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it 's som ethinq upon which he could reasonab ly rely as

an expert . I'kk gve it the weight I think it 's

entitled to .

Go ahead .

THE W ITNESS :

m ea sure L 3 the number o f giqabytes .

The other quant ifiab le

bytes is CA m egabyte , a billion byte s is a g igabyte

,

and then a trillion b yte s is terabyte .

A nd so on the various servers , there were

11

terab ytes of data and -- wh ich ks extreme ly large for

12

a sma ll software company to have , and on those

13

teraby te servers : there w ere , I think, around 120

14

gigabytes of data , which is a karge amount of sou rce

15

code .

05:17

05:18

16

MR . FLYNN :

17

T H E W IT N E SS :

18

nb:1v

A thousand b ytes is a kilobyte , a m illion

10

I beg your pardon , w hicb is -A la r g e a m o u n t o f so u rc e

code .

19

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M R . FLYNN :

20

BY M R . JA KOPIN :

21

Q.

Thank you .
Os:1a

Now, do you have an opinion as to -- do

22

you hav e an understanding that the source code h as

23

not been availab le for the eng ineers to be w orking

24

with at the present tlme?

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A.

process of events that happened between December 21st

and Janua ry 10th , the ind iv idua l p rogrammers ' work

statkons nad h ad their h ard dr ives w iped out and

zeroed , w nich m akes; it very d ifficult to recove r, if

not im pos sible .

attempting to recover some o f that da ta , but they 're

only reco zering bits and p iece s and that process

hasn 't bee n comp leted .

11

05:19

A nd then there also was th is RA ID se rve r

12

that was za ken out , physically taken out of the

13

building , and m y unde rstand inq is th at has not been

14

returned .

15

MR . FLYNN: Same objection .

16

I know you fve alread y ruled y your Honor,

17

but just rzo preserve the record .

18

THE COURT :

19

05:19

The SRCS;KRVER had been era sed , and they 're

10

:45, understandinq is that through the

Yes .

05:19

The record Will reflect your

continuinq objection --

20

MR . FLYNN :

Thank you , your Honor .

21

THE COURT :

-- if you want to do it that

22

way .

23

BY MR . JA KOPIN :

24

Q.

A re you aware that there 's a recovery

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A.

Yes .

Q.

While that recovery p rocess is onqoing , dc)

the engineers have the ab ility to work w ith that

source code tha t has been recovered ?

A.

access to those machines because they dve been taken

o ff the netw ork .

Q.

A nd evelu

then , ultim ately i f only a

10

certain p ercentage of source code is recovered , is --

11

let 's say 30 pe rcent o f the sou rce code is

12

recovered -- w ou ld that imp ly that 30 percent of the

13

effort is recovered, as well?

A.

05:20

I've worked on projects wherey let 's say,

15

there 's a hund red file s, and because o f a hard d isk

16

failu re , som e o f those file s could no t be re cove red .

17

Fizling in the m issing pie ce s can be v ery

18

time -con sum ing .

19

to a starting point wh en I 've lost files in the past ,

20

even fo r a very small case .

21

ns:ta

The short answe r is no w they don 't have

14

p rocess go tng on Lrying to recover th is sou rce code?

os:2o

It h as taken m e m onths to get back

us:2o

It lite rally to ok m any months of being

22

able to figu re out wha t was -- first of all , what 's

23

m iss ing ; second of all, trying to recreate that , and

24

especially difficult if the employees who wrote that

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so fhware Ln the first place eithe r forgot , b e c au s e

they dkd kt a year ago, or worse case, theyfve left

the company and so the peop le w ho d id the o riginal

work are not ava ilable to recreate it

So in thts case , whe re the re 's been a

large amount of source code deleted and just

fragments of it b eing recovered , it could easily take

man yea Es o f e ffo rt to get b ac k to a point whe re the

company could be as productive as they we re on

11

December ;h1st .

Q.

05:21

G iven that the com pany has been creat kng

12

source code for seven years w ith nume rous employees

13

would it L)e your opin ion that that 's a substantial

14

amount of source code to h ave to rec reate?

15

A.

16

17

Y es .

MR . JA KO PIN :

I hav e noth ing further for

th is w itness at th is t kme , y o u r Ho n o r .

18

TH E COURT :

Do you have any questions?

19

MR . FLYNN :

Just a coup le .
:::22

21
22

ps:2l

20

05:21

10

CRO SS EXAM INAT ION

BY MR . FLYNN :

23

Q.

Do you have a secu rity clearan ce , M r . --

.
24

A. I do nc)t

LIZA CHAPEN, CCR, RMR

(775) 323-5492

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 221 of 222

:.-.,.
w.
219
.,
)

Q.

a11 the hitrd d rives?

3
4

A.

ab le to do tha ty amount of work .

Q.

How long have you been re tained ?

A.

I was first t
nontacted Thu rsday o r Friday .

Q.

How much have you been paid so far?

A.

N othlng .

Q.

How much are you go ing to get paid fo r

your testimon y here?

A.

The --

12

Q.

What 's the deal?

13

A. Oh, I'm being paid by the hour.

14

Q.

H ow much?

15

A.

Three-ninety an hour is th e rate we charge

Q.

How many hours hav e you pu t in so far ?

18

A.

I would say less than 40 .

19

Q.

So you hav en 't checked an y of the hard

d rives .

ns:22

21
22
23

24

95:22

the client .

17

20

os:22

0s:22

11

16

I ve not been retained long enough to be

10

And did you actually go check p ersona lly

Do you know how many hard d rives there

are ?
A.

I know that there ls a -- I know that there

are 14 programmers,

each of those p rogramme rs have

LIZA CHAPEN, CCR, RMR

(775) 323-5492

Case 3:06-cv-00056-PMP-VPC Document 644-19 Filed 05/28/08 Page 222 of 222

(-.,j

two to hh ree m achirres, and som e of those m achines

have multtple drives, so they have operahing system

drives and then renlovable --

Q.

We re you in the courtroom --

A.

-- p rogram drives .

Q.

W ere you in the courtroom when

220

:b:23

Mr . Venab tes sa id that 80 percent o f the so ftw are is

still on the com ptlters?

A.

I don 'h thin k 1 was in he re at that

10

particu la r moment, but I know like the ope rating

11

system is sti ll there .

12

... )

13
14
15

It 's the source code that 's been de leted .

Q.

So urce code of ''it z'' buh you do n t know

what the 'it '' is yet e ither , do you ?

A.

We ll, the source code of each p rogrammer 's

16

w ork , and each of the programm ers is wor king on

17

d ifferent com ponents .

18
19
20
21

Q.

05:23

Bas ically , all you dv e done today is parrot

wha t the employees hav e already told you ?

A.

W ell , I also b ring the light that I have

of understand ing the technology and --

22

Q.

Understand ing --

23

A.

-- what goes into the so ftware developm ent

('

24

05:23

process , and also what is industry standard procedu re

LIZA CiIA PEN, CCR: RMR

(775) 32 3-5492

05:23