PTO/SB/OS (08-08)
`
`UTILITY
`
`PATENT APPLICATION
`
`TRANSMITTAL
`
`
`
`Attorney Docket No. 080379-000140US
`
`First Inventor RACZ, Patrick
`DATA STORAGE AND ACCESS
`SYSTEMS
`
`(Only for new nonprovisional applications under 37 CFR 1. 53(b))
`
`Express Mail Label No.
`
`VIA EFS
`
`APPLICATION ELEMENTS
`See MPEP chapter 600 concerning utility patent application contents.
`
`ADDRESS TO:
`
`Commissioner for Patents
`P.0. Box 1450
`Alexandria, VA 22313—1450
`
`1. [:1 Fee Transmittal Form (e.g., PTO/SB/17)
`
`ACCOMPANYING APPLICATION PARTS
`
`. E Applicant claims small entity status.
`See 37 CFR 1.27.
`
`]
`44
`[Total Pages
`. IXI Specification
`Both the claims and abstract must start on a new page
`(For information on the preferred arrangement, see MPEP 608,01(a))
`
`9. I: Assignment Papers (cover sheet & document(s))
`
`Name of Assignee
`
`17
`
`]
`
`[Total Sheets
`. IXI Drawing(s) (35 U.S.C.113)
`[Total Sheets
`. Oath or Declaration
`a. D Newly executed (original or copy)
`b. IE A copy from a prior application (37 CFR 1.63 (d))
`(for a continuation/divisional with Box 18 completed)
`i. I: DELETION OF |NVENTOR(S)
`Signed statement attached deleting inventor(s)
`named in the prior application, see 37 CFR
`1.63(d)(2) and 1.33(b).
`
`2
`
`]
`
`37 CFR 3.73(b) Statement
`(when there is an assignee)
`
`IX] Power of
`Attorney
`
`English Translation Document (if applicable)
`
`Information Disclosure Statement (PTO/SB/OB or PTO-1449)
`I:I Copies of citations attached
`
`. IXI Application Data Sheet. See 37 CFR 1.76
`
`Preliminary Amendment
`
`. I:I CD—ROM or CD—R in duplicate, large table or
`Computer Program (Appendix)
`I:I Landscape Table on CD
`
`Nucleotide and/or Amino Acrd Sequence Submissron
`(if applicable, items a. - c. are required)
`a. C! Computer Readable Form (CRF)
`b.
`Specification Sequence Listing on:
`
`i. E] CD-ROM orCD-R(2 copies); or
`”- D Paper
`
`Return Receipt Postcard (MPEP 503)
`(Should be specifically itemized)
`
`Certified Copy of Priority Document(s)
`(if foreign priority is claimed)
`
`16. E] Nonpublication Request under 35 U.S.C. 122 (b)(2)(B)(i).
`Applicant must attach form PTO/SB/35 or equivalent.
`
`ommunication
`c
`.
`.
`
`-
`HE Other.
`
`
`
`
`c. D Statements verifying identity of above copies
`18. If a CONTINUING APPLICATION, check appropriate box, and supply the requisite information below and in the first sentence of the
`specification following the title, or in an Application Data Sheet under 37 CFR 1. 76:
`
`D Continuation-impart (CIP)
`I: Divisional
`IE Continuation
`Examiner THEIN MIN LE
`Prior application information:
`
`19. CORRESPONDENCE ADDRESS
`
`
`I OR I: Correspondence address below
`20350
`
`of prior application N0: __1_2_/_QJfL§_5_8..............
`
`Art Unit: 2887
`
`IE The address associated with Customer Number:
`
`
`
` I
`
`Zip Code
`Email
`
`State
`Telephone
`
`January 24, 2011
`
`63115123 v1
`
`Apple Exhibit 1029 Page 00001
`
`Apple Exhibit 1029 Page 00001
`
`

`

`135191111 01?: (3153111111331 Number:
`
`,
`
`3031313
`
`‘1 6011-1311111:) named :13:«JW (:1 111-313 11123-1 13:1 pszz‘enE 51:31::0110119233 3:111:11 -'1-3 1:31
`
`(W111
`Regi:
`E\Eu“Near
`
`-
`
`{Em-331103 216111333 E121.“ Ehe sppiicaijen Ede:1Eifie1'
`
`E112“\EnEEecE $Eaie3 P3331: 311:1,
`1
`'
`315 13001131111, 01‘ 33811113, if;1 331313331131
`-
`'
`.
`,
`1‘1 remissc-E 313331;;1'1 11-3111 13317111113113
`1
`‘icaEsons 351513311331 $11301 -
`1 ENE-”H 2111111111
`.e any of E215: atx1ve~
`'
`ed praatimnera: EU a1
`-
`.
`213113331193 1":EE1 37 1’TFR 3G?)
`:33. a SEaEsmen:
`EJ111131“ 3? '53-." "31311)
`111113 unders:gn‘ecfis bofian too u101111113: mam"1* EEE.
`$11511.E1113h the 1.:11101>1g'1‘*‘swarship1:1 5.11111 511111 311: pa13111
`appfiwfions 111 which rEgEtEs haw £31311 3113391136 [£3 1:13 undersignsfi
`
`\\\"\\\\\\\\\\\\\\\\\\\‘\\‘\‘\“‘\‘“ _.
`
`““ FErm 431‘
`Em 11 fine-111105111
`
`Assignae Name 111:1 Addm
`
`S11133E1‘E33E'1 ES:3E1r1-3131
`712908 P30111 brave Ham
`111.111.11.311, Cay E7;
`Ean1E3:
`Br‘EEEsh‘Jirg: 11 1s ands
`
`3
`
`.531 113133.: 111‘ 11113 E01113E11§311131 1:31:11 11 31311111113111 11113131 3?" {EFR 3123383} {57131111 PTEZEESEQS 113 31.111111131111111} is; 331111112111 E11 E111
`$3313 E11 $33611 awiaafim 111 11111311 $11111 $33111 E35 1135313 T1133 31331131111311112111031‘ 3? SFR 333(1)} 111311 E19 11311191331323 E131: 111113 111‘
`E313 31331111311313 3131111313111 111 111131111111 111113 31331131111313 31151130133331 E13 31101111131111 E11 213E 1111 1111311531? 11? 1:113 asgégme,
`311d E11E531§§311E§
`3313 a s- Eiaaiisn E11 which this Fewer {1% 51113031131: is E11 13131036,
`
`.mxnw» >\~~~.~n«“\\\“\\‘x§\§m‘.
`
`SEGNM‘URE‘: 0f A33E131133 1111111113111
`1'1'33Es sgpphsd E3601111's 1111111111311:
`
`:11 11:11:
`
`Page 00002
`
`Page 00002
`
`

`

`I hereby certify that this correspondence is being filed via
`EFS—Web with the United States Patent and Trademark Office
`
`n
`A
`in, 1
`° W?
`,
`5"
`KILPATRICK TOWNSEND & STOCKTON LLP
`
`.
`
`
`
`PATENT
`Docket No.: 080379—000140US
`Client Ref. No.: PN759544USE
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`In re application of:
`
`_
`
`Confirmation No.: Not Yet Assigned
`
`Patrick RACZ, et a1.
`
`Examiner:
`
`Not Yet Assigned
`
`Application No.: Not Yet Assigned
`
`Art Unit:
`
`Not Yet Assigned
`
`Filed: January 24, 2011
`
`COMMUNICATION
`
`For: DATA STORAGE AND ACCESS
`SYSTEMS
`
`Customer No.: 20350
`
`
`
`Commissioner for Patents
`
`PO. Box 1450
`
`Alexandria, VA 22313-1450
`
`Commissioner:
`
`In accordance with the accompanying continuation application, please
`
`enter the following remarks:
`
`Remarks/Arguments begin on page 2 of this paper.
`
`Page 00003
`
`Page 00003
`
`

`

`Patrick RACZ, et al.
`Application No.: Not Yet Assigned
`Page 2
`
`PATENT
`
`REMARKS/ARGUMENTS
`
`This continuation application presents claims that are substantially similar
`
`in scope to claims originally presented in parent case 11/336,758, and in some cases
`
`presented again in parent case 12/014,558. While in many cases these claims were
`
`canceled or not elected in these parent cases, Applicants respectfully submit that the
`
`Examiner should be aware that claims presented herein may be similar to at least some of
`
`the claims prosecuted in the parent cases, and the Examiner might want to consider art
`
`cited in the parent for relevance. The art cited in these parent cases will be cited in an
`
`Information Disclosure Statement, but in order to comply with the duty of disclosure
`
`Applicants submit that the Examiner might also want to look to the Office Actions in the
`
`parent cases.
`
`CONCLUSION
`
`If the Examiner believes a telephone conference would expedite
`
`prosecution of this application, please telephone the undersigned at 925—472—5000.
`
`‘ spectfull
`
`submitted,
`
`KILPATRICK TOWNSEND & STOCKTON LLP
`
`Two Embarcadero Center, Eighth Floor
`San Francisco, California 941 1 1-3 834
`Tel: (415) 576-0200
`Fax: (415) 576-0300
`JDLzsep
`
`63115158 v1
`
`Page 00004
`
`Page 00004
`
`

`

`I hereby certify that this correspondence is being filed via
`EFS-Web with the United States Patent and Trademark Office
`
`n
`» I,
`,
`W‘ 7 “234 M7
`°
`-
`KILPATRICK TOWNSEND & STOCKTON LLP
`
`
`
`PATENT
`—
`Attorney Docket N0.: 080379-000140US
`Client Reference N0.: PN759544USE
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`In re application of:
`
`Confirmation N0.: Not Yet Assigned
`
`Patrick RACZ, et a1.
`
`Examiner: Not Yet Assigned
`
`Application N0.: Not Yet Assigned
`
`Art Unit: Not Yet Assigned
`
`Filed: January 24, 2011
`
`For: DATA STORAGE ANbD ACCESS
`SYSTEMS
`
`Customer N0.: 20350
`
`
`INFORMATION DISCLOSURE
`STATEMENT UNDER 37 CFR §1.97 and
`§1.98
`
`Mail Stop Amendment
`Commissioner for Patents
`
`PO. Box 1450
`
`Alexandria, VA 22313-1450
`
`Commissioner:
`
`The references cited on attached form PTO/SB/08A and PTO/SB/08B are being
`
`called to the attention of the Examiner. In accordance with 37 CFR §1.98(d), copies of the
`
`references can be found in Application No. 12/014,5 58, filed January 15, 2008 (Attorney Docket
`
`No. 080379—000110US) and Application No. 11/336,758, filed January 19, 2006 (Attorney
`
`Docket No. 080379-000100US). It is respectfully requested that the cited references be
`
`expressly considered during the prosecution of this application, and the references be made of
`
`record therein and appear among the “references cited” on any patent to issue therefrom.
`
`Some of the references cited in this IDS were cited in an Office Action mailed on
`
`September 1, 2010 in related US. Patent Application No. 12/014,558. Copies of the Office
`
`Actions in 12/014,558 are available on PAIR and are believed to be readily accessible to the
`
`Examiner.
`
`Page 00005
`
`Page 00005
`
`

`

`Patrick RACZ, et al.
`Application No.: Not Yet Assigned
`Page 2
`
`PATENT
`
`Some of the references cited in this IDS were cited in an Office Action mailed on
`
`November 6, 2006, in related U.S. Patent Application No. 11/336,758. Copies of the Office
`
`Actions in U.S. Patent Application No. 11/336,758 are available on PAIR and are believed to be
`
`readily accessible to the Examiner.
`
`Some of the references cited in this IDS were cited in Office Actions mailed on
`
`July 19, 2005 and February 28, 2004, in related U.S. Patent Application No. 10/111,716. Copies
`
`of the Office Actions in U.S. Patent Application No. 10/111,716 are available on PAIR and are
`
`believed to be readily accessible to the Examiner.
`
`As provided for by 37 CFR §1.97(g) and (h), no inference should be made that the
`
`information and references cited are prior art merely because they are in this statement and no
`
`representation is being made that a search has been conducted or that this statement encompasses
`
`all the possible relevant information.
`
`Applicant believes that no fee is required for submission of this statement.
`
`However, if a fee is required, the Commissioner is authorized to deduct such fee from the
`
`undersigned’s Deposit Account No. 20—1430. Please deduct any additional fees from, or credit
`
`any overpayment to, the above—noted Deposit Account.
`
`- \. ectfully submitted,
`
`
`
`KILPATRICK TOWNSEND & STOCKTON LLP
`
`Two Embarcadero Center, Eighth Floor
`San Francisco, California 941 1 1—3 834
`Tel: 925-472-5000
`Fax: 925-472-8895
`
`JDLzsep
`63115150 v1
`
`Page 00006
`
`Page 00006
`
`

`

`Substitute for form 1449/PTO
`
`PTO/SB/OSa (07-09)
`
`Complete if Known
`Application Number
`
`Filing Date
`
`INFORMATION DISCLOSURE
`
`l
`
`I RACZ, Patrick
`First Named Inventor
`STATEMENT BY APPLICANT
`
`Art Unit
`(Use as many sheets as necessary)
`
`Examiner Name I
`Attorney Docket Number
`
`080379-000130US
`
`
`
`
`
` US 5,918,213
`US 5,936,220
`
`Document Number
`
`AF
`AG
`
`AH
`AI
`
`
`
`
`
`U.S. PATENT DOCUMENTS
`Name of Patentee or
`Pages, Columns, Lines, Where
`Publication Date
`Cite
`Examiner
`lnitials“
`No.1
`MM—DD-YYYY
`Applicant of Cited Document
`Relevant Passages or Relevant
`
`Number Kind Codemmw")
`Figures Appear
`
`AA
`US 4,341,951
`07-1982
`Benton
`
`AB
`US 5,226,145
`07-06-1993
`Moronaga et al.
`11-22-1994
`Kitta et al.
`AC
`US 5,367,150
`
`
`AD
`US 5,406,619
`04—1 1—1995
`Akhteruzzaman et al.
`fiE US 5,457,746
`10-10-1995 T Dolphin
`
`
`us 5,532,465
`07-02-1996
`.__
`Konno et al.
`
`US 5,588,146
`12—24-1996
`Leroux
`
`US 5,677,953
`10—14-1997
`Dolphin
`US 5,703,951
`12—30-1997
`Dolphin
`us 5,740,369
`04-14-1998
`Yokozawa et al.
`US 5,744,787
`04-28-1998
`Teicher
`AK
`AL
`US 5,754,654
`05—19-1998
`
`
`AM
`US 5,794,202
`08-11-1998
`Kim
`AN
`US 5,809,241
`09-15—1998
`Hanel et al.
`AO
`us 5,845,281 A
`12-01—1998
`12-08-1998
` US 5,847,872
`US 5,889,860
`03-30-1999
`Eller et al.
`
` US 5,901,330
`05-04-1999
`Sun et al.
`
`06-29-1999
`Bernard et al.
`
`07—13-1999
`US 5,923,884
`
`Peyret et al.
`
`
`Schneck et al.
`08—03-1999
`
`US 5,933,498 A
`
`
` Hoshino et al.
`08-10-1999
`
`
`
`01-11-2000
`Brogan et al.
`US 6,012,634
`
`
`
`
`
`AX
`US 6,018,720 A
`01-25-2000
`Fujimoto
`Corresponds to JP 11-53184
`
`
`us 6,078,917
`06-20-2000
`Paulsen et al.
`AY
`
`AZ
`us 6,119,945
`09-19-2000
`Muller et al.
`
`BA
`US 6,142,369
`11-2000
`Jonstromer
`
`BB
`us 6,202,056
`03-13-2001
`Nuttall
`
`us 6,385,731
`0507-2002
`- BC
`
`BD
`us 6,424,975
`07-23-2002
`us 6,442,570
`08—27—2002
`
`I
`
`
`
`
`Ananda
`
`Walter et al.
`Wu
`
`-- us 6,473,829
`-- US 6,510,235
`-- us 6,553,413
`-I_
`Examiner
`Signature
`
`10-29-2002
`
`Dahman et al.
`Crane et al.
`Leighton et al.
`
`Date
`Considered
`
`'EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance
`and not considered. Include copy of this form with next communication to applicant.
`1 Applicant's unique citation designation number (optional). 2 See
`Kind Codes of US. Patent Documents at www.usgto.gov or MPEP 901.04. 3 Enter Office that issued the document, by the two—letter code (WIPO
`Standard ST.3). 4 For Japanese patent documents, the indication of the year of the reign of the Emperor must precede the serial number of the patent
`document. 5 Kind of document by the appropriate symbols as indicated on the document under WIPO Standard ST. 16 if possible. 6 Applicant is to
`place a check mark here it English language Translation is attached.
`
`63115150 v1
`
`Page 00007
`
`
`
`Page 00007
`
`

`

`Substitute for form 1449/PTO
`
`INFORMATION DISCLOSURE
`
`STATEMENT BY APPLICANT
`
`PTO/SB/08a (07—09)
`
`Complete if Known
`Application Number
`Filing Date
`
`First Named Inventor
`
`
`RACZ, Patrick
`
`Examiner Name
`(Use as many sheets as necessary)
`
`
`Attorney Docket Number
`
`080379-000130US
`
`
`
`U.S. PATENT DOCUMENTS
`
`MM-DD-YYYY
`
`Publication Date
`
`Applicant of Cited Document
`
`Name ofPatentee or
`
`Relevant Passages or Relevant
`Pages,Columns, Lines,Where
`D_ocumentNumber
`
`Figures Appear
`Number Kind_ode2(”WW”)
`
`US 6 574 643
`06-03-2003
`Waiter et al.
`
`US 6 H658 568 B1
`12—02-2003
`Ginter et al.
`
`US 6. 993, 507
`01-31-2006
`Meyer et al.
`
`US 6 9,99, 936
`02-14-2006
`Sehr
`
`US 7 044, 362
`05-16-2006
`Yu
`
`US 7, 083, 081
`08-01-2006
`McGee et all
`
`US 7,334, 720
`02-26-2008
`HuIst et al.
`
`US 7,677, 446
`03—16-201 0
`Wise
`
`US-2006/0249570
`11—09-2006
`Seifert et al.
`US-2008/0041938
`02-21-2008
`
`
`07—1982
`US 4, 341,951
`
`Moronaga et al.
`07-06-1993
`US 5,226,145
`
`
`
`
`Mondex Int. Ltd.
`
`05—07—1 998
`
`Foreign Patent Document
`
`
`FOREIGN PATENT DOCUMENTS
`Pages, Columns, Lines,
`Publication
`Name of Patentee or
`Date
`Applicant of Cited Document Where Relevant Passages
`MM-DD-YYYY
`or Relevant Figures Appear
`
`Examiner
`.
`Initials"
`
`Kind Code5 if known
`Country Code3
`Nlfllfir"
`
`0 195 098EP 10-03-1990 FPDC, Inc.
`
`
`
`04—22-1998 Hitachi, Ltd.
`
`05-22-1996
`Nederland PTT
`
`0 542 298
`EP
`
`0 713 198
`
`0 823 694
`
`0 843 449
`0 914 001
`
`02-11-1998
`
`Citibank NA
`
`05-07-1998
`05-06—1999
`
`Sunhawk Corp. Inc.
`Canal Plus SA
`
`
`10—269291
`10-09-1998
`Sony Corp.
`11-212785 Casio Comput. Co. Ltd. 08-06-1999
`
`
`
`11-213010
`08—06-1999
`Planet Computer: KK
`
`11—272762 Hitachi Ltd. 10-08—1999
`
`
`Corresponds to US
`
`6,018,720
`11-53184
`02-26-1999
`Seta1KK
`Schulumberger Technologies,
`98/19237
`Inc.
`Sonera OY et al.
`
`07-30-1998
`
`98/153343
`
`WO
`
`98/37526
`
`08—27—1 998
`
`Examiner
`Signature
`
`Date
`Considered
`
`EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance
`and not considered. Include copy of this form with next communication to applicant. Applicant’5 unique citation designation number (optional). See
`Kind Codes of U. 8. Patent Documents at www. uspto. gov or MPEP 901. 04. 3 Enter Office that issued the document, by the two-letter code (WIPO
`Standard ST. 3). For Japanese patent documents, the indication of the year of the reign of the Emperor must precede the serial number of the patent
`document. Kind of document by the appropriate symbols as indicated on the document under WIPO Standard ST. 16 if possible. Applicant is to
`place a check mark here if English language TranslationIs attached.
`
`63115150 v1
`
`Page 00008
`
`Page 00008
`
`

`

`Substitute for form 1449/PTO
`
`_ompleteifKnown
`
`
`Application Number
`
`INFORMATION DISCLOSURE
`
`
`F"'"9 Date
`
`PTO/SB/OSb (07-09)
`
`number(s), publisher, city and/or country where published.
`
`STATEMENT BY APPLICANT
`
`F'rstNamed'Wentor
`Art Unit
`
`RACZ, Patrick
`
`
`(Use as many sheets as necessary)
`Examiner Name
`
`Attorney Docket Number
`
`080379—000120US
`
`Examiner
`Initials *
`
`Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title of
`the item (book, magazine, journal, serial, symposium, catalog, etc.), date, page(s), volume-issue
`
`.
`
`Examiner
`Signature
`
`Date
`Considered
`
`'EXAMINER: Initial if reference considered whether or not citationIs in conformance with MPEP 609. Draw line through citation if not in conformance and
`not considered. Include copy of this form with next communication to applicant
`1Applicant’s unique citation designation number (optional). 2ApplicantIS to place a check mark here if English language TranslationIS attached.
`
`63115150 V1
`
`Page 00009
`
`Page 00009
`
`

`

`Application Data Sheet
`
`Application Information
`
`Application number:
`
`Not Yet Assigned
`
`Filing Date:
`
`Application Type:
`
`Subject Matter:
`
`Title:
`
`1/24/201 1
`
`Regular
`
`Utility
`
`DATA STORAGE AND ACCESS SYSTEMS
`
`Attorney Docket Number:
`
`080379-000140US
`
`Request for Early Publication:
`
`Request for Non-Publication:
`
`Suggested Drawing Figure:
`
`Total Drawing Sheets:
`
`Small Entity?:
`
`Petition included?:
`
`Secrecy Order in Parent Appl.:
`
`Applicant Information
`
`No
`
`No
`
`17
`
`Yes
`
`No
`
`No
`
`Applicant Authority Type:
`
`Inventor
`
`Primary Citizenship Country:
`
`United Kingdom
`
`Status:
`
`Given Name:
`
`Middle Name:
`
`Family Name:
`
`Name Suffix:
`
`Full Capacity
`
`Patrick
`
`RACZ
`
`City of Residence:
`
`Saint Heller
`
`State or Province of Residence:
`
`Country of Residence:
`
`Jersey
`
`Street of Mailing Address:
`
`City of Mailing Address:
`
`19 Royal Street
`
`Saint Heller
`
`Page 1
`
`Initial 1/24/11
`
`Page 00010
`
`Page 00010
`
`

`

`State or Province of mailing address:
`
`Country of mailing address:
`
`Postal or Zip Code of mailing address:
`
`Jersey
`
`JE1 4WA
`
`Applicant Authority Type::
`
`Primary Citizenship Country:
`
`Status:
`
`Given Name:
`
`Middle Name:
`
`Family Name:
`
`Name Suffix:
`
`Inventor
`
`Netherlands
`
`Full Capacity
`
`Hermen-ard
`
`Hulst
`
`City of Residence:
`
`Amsterdam
`
`State or Province of Residence:
`
`Country of Residence:
`
`Netherlands
`
`Street of Mailing Address:
`
`Van Tuyll van Serooskerweg 75hs
`
`City of Mailing Address:
`
`Amsterdam
`
`State or Province of mailing address:
`
`Country of mailing address:
`
`Netherlands
`
`Postal or Zip Code of mailing address:
`
`1076 JG
`
`Correspondence Information
`
`Correspondence Customer Number:
`
`20350
`
`Representative Information
`
`Representative Customer Number:
`
`20350
`
`Domestic Priority Information
`
`Application:
`
`Continuity Type::
`
`Parent Application: Parent Filing Date:
`
`This Application
`12/014,558
`11/336,758
`
`Continuation of
`Continuation of
`Continuation of
`
`12/014,558
`
`11/336,758
`
`10/111,716
`
`01/15/08
`
`01/19/06
`
`09/17/02
`
`Page 2
`
`Initial 1/24/11
`
`Page 00011
`
`Page 00011
`
`

`

`Foreign Priority Information
`
`Country:
`
`PCT
`
`United Kingdom
`
`Application number:
`
`Filing Date:
`
`6800104110
`
`99252272
`
`10/25/00
`
`10/25/99
`
`Assignee Information
`
`Assignee Name:
`
`Smartflash Technologies Limited
`
`Street of mailing address:
`
`1070908 Palm Grove House, PO. Box 438
`
`City of mailing add ress:
`
`Wickhams’ Cay, Road Town
`
`State or Province of mailing address:
`
`Tortola
`
`Country of mailing address:
`
`British Virgin Islands
`
`Postal or Zip Code of mailing address:
`
`Page 3
`
`initial 1/24/11
`
`Page 00012
`
`Page 00012
`
`

`

`.
`
`.,
`
`.
`
`I
`
`)
`
`mummy
`)
`i
`Whmwrmrmowoesr-om
`u.a.wm1monauus.oemnmosooumoe
`WNWWMMMMW-IMuwueuumdmmmnmemowwm.
`
`DECLARATION FOR UTILITY OR
`
`DESIGN
`PATENT APPLICATION
`(37 CFR‘1563)
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`As the below named Inventor. I hereby declare that:
`
`My neatdenoe. melting address. and dttzenshtp are as stated below next to my name.
`
`lbelleve turn the -
`
`that and first lnventorotthesu- :. matterwhleh Is datmed and torwhlch 3 atom ts sou
`
`ht on the Invention entitled:
`
`DATA STORAGE AND ACCESS SYSTEMS
`
`OR
`
`[a meme on (MMJDDIYYYY)
`
`1 0 / 25 / 00
`
`as United States Appttoation Number-or PCT Intemattonal
`
`,'
`
`andmsamendedontItAM/DDIYYYY) E::jarapplmbre).
`10111.716.
`ApplicationNunber
`I hereby ”state thatt have reviewed andundefstand the contents of the above Identified speculation. Including the datrns, as amended
`by any amendment spedfimlty refemed to above.
`.
`
`l adtnowledge the duty to dtsolose Information whtoh ls material to patentablltty as defined In 37 CPR 1.56. Indudtng for continuation-In-
`part WHOM. material Information whtett bewne avfltabte between the flllng date ofthe prlor appltoatton and the national or PCT-
`tntemaltonal filing date of the continuation-Invert applloatton.
`_
`-
`_
`‘
`
`Fan nFIIlngDate
`
`Prloctty WWW
`no
`
`
`
`.
`
`
`
`CI
`'
`‘
`10/111,716
`-
`'
`
`
`
`We"
`» 8 mm —_
`Submltted
`Submltted atterlnltlal
`ocmber 25' 2000
`Hung Date
`WWW 0R
`”Wt-8mm “—
`
`
`
`Flllng
`(37CFR1.16(e))
`
`
`
` ——
`requlred)
`
`
`
`
`
`
`
`
`
`
` , thespedfioattonolmdl
`
`CI hathehedhemto
`(TWO olIho Invention)
`
`
`
`
`
`I herieby datrn forelgn prlorlty beneflB under 35 U.S.C. 119(a)-(d) or (t). or 365(b) of any torelgn applicatlon(e) for patent. Inventor’s or
`
`
`
`plant breeders rights oertifioate(a), or 3650:) of any PCT Intemattonal application whloh deslgnated at least one country other than the
`Unlted States of America. listed below and have atso ldentlfied below, by otreoklng the box. any forelgn epplloatlon for patent. Inventor's
`
`or plant breeders rights certificate“), or of any PCT International epplleabon having a ttttng date before that of the applkaflon on Mitch
`pdoflty Is dalmed.
`
`
`7
`.
`tIo "
`Pdot'F
`m0:- ..
`
`fit
`
`.
`.
`
`
`
`
`
`
`
`
`_
`
`_
`
`99252272
`
`GreatBrttaIn
`
`1012511999
`-
`
`'
`
`' I]
`g
`
`U
`
`[3 Additional torolgn applloaflon number's are listed on a'supplemenlal priority 4mm morsema attached hereto:
`'
`[Paaetole
`.
`ammsmmcmmnmmbmzr mkmteshmnplate.1hnwtfl-wwdepmdlngupond1eneedsdfltehdt«dufleese.Any
`cornnwntsontheemountolttmeyouarenqulredtooompletethlstonnshoutdbesenttothechletlnformettonomoer.U.S.PatentandTrademarkOtIIoe.
`Wadinobn. DC 20231. DO NOT SEND FEES 0R COWLETED FORMS TO THIS ADDRESS. SEND TO; Asstshnt CommIssIoner tor Patten“.
`Washington. oczom.
`'
`
`
`
`Page 00013
`
`Page 00013
`
`

`

`.
`
`.
`
`V
`
`fl
`
`0
`
`5"“)
`
`PW: (1001)
`Whmmreemomoesrm
`unmmrmonuweoavmorm
`muwmuunruorimmpcmmmbmummdmmmum-wowmm.
`
`DECLARATION — Utility or Design Patent Application
`
` Direct all correspondence to: E CustomerNunber m'orBerCOdeLebel
`
`OR
`
`L'JCorreepondenoeeddreubelow
`
` Telephone
`
`' .-
`
`l hereby declare that all statements made herein 0! my own knowledge are true and that all stalemate made on information and
`belief are believed to be true: and further that these statements were made with the knowledge that willful false statements and the
`like so made are punishable by line or imprisonment. or both under 18 U.s.C. 1001 and that suoh Mllfui false statements may
`ieopardlze the validity of the appilmtion or any patent issued thereon.
`
`
`
`
`
`WE 0F SOLE 0R ”“57 MENTOR: '
`
`E] A petition has been tiled for this unsigned inventor
`
`Hermen—ard
`“HULST
`
`
`Family Name
`
`
`
`(first end middle [Ifmm or Summe
`
`
`Inventor's
`
`'7
`
`'f‘i
`
`
`
`
`
`SignatureW‘L‘;VIKMJDate’3 M01717
`
`
`_mm
`yan'lwuvanSemoeiea'kmfihs
`Miilln Address
`
`
`
`
`
`n: 2:!"- (at ca
`
`
`
`' "ME 9" SECOND “VF-"Tom
`
`.—
`D Abotition has been filed formic unsigned Inventor
`
`'
`
`State
`
`ZIP
`
`Coll
`
`-
`
`.
`
`'
`
`-
`
`/
`
`Residence:c
`
`19 Royal Square
`Mellin- Address
`
`Asmte
`
`Coun .
`
`CD Additionalinventors Ire being namedonthe
`
`supplementalAdditional lrrventods)sheetis)NOISE/02Aettadiedhereto.
`
`Cou .
`
`SF 1340208 V1
`
`{Page 2 of 21'
`
`Page 00014
`
`Page 00014
`
`

`

`Attorney Docket No.: 080379-000140US
`Client Reference No.: PN759544USE
`
`PATENT APPLICATION
`
`DATA STORAGE AND ACCESS SYSTEMS
`
`Inventors:
`
`Patrick RACZ, a citizen of United Kingdom, residing at
`Petit Alva, Rue de Petit Aleval, St. Peter, Jersey, JE3 7ET
`
`Herman-Ard HULST, a citizen of Netherlands, residing at 23 Tanza Road,
`Hampstead, London, NW3 2UA, United Kingdom
`
`Assignee:
`
`Smartflash Technologies Limited
`1070908 Palm Grove House, PO. Box 438
`Wickhams’ Cay, Road Town
`Tortola, British Virgin Islands
`
`Entity:
`
`Small
`
`KILPATRICK TOWNSEND & STOCKTON LLP
`
`Two Embarcadero Center, Eighth Floor
`San Francisco, California 941 1 1-3 834
`Tel: 925-472-5000
`
`Page 00015
`
`Page 00015
`
`

`

`PATENT
`
`Attorney Docket No.: 080379-000140US
`Client Reference No.: PN759544USE
`
`DATA STORAGE AND ACCESS SYSTEMS
`
`CROSS-REFERENCES TO RELATED APPLICATIONS
`
`[0001]
`
`This application is a continuation of US. Patent Application No. 12/014,558, filed on
`
`January 15, 2008, which is a continuation of US. Patent Application No. 11/336,758, filed on
`
`January 19, 2006, now issued US. Patent Number 7,334,720; which is a continuation of US.
`
`Patent Application No. 10/111,716, filed on September 17, 2002, which application is a national
`
`stage application under 35 U.S.C. 371, claiming the priority of international PCT Application
`
`No. GB00104110, filed on October 25, 2000; which claims priority to UK Application No.
`
`99252272, filed on October 25, 1999, each of which is incorporated by reference in its entirety
`
`for all purposes.
`
`BACKGROUND OF THE INVENTION
`
`[0002]
`
`This invention is generally concerned with data storage and access systems. More
`
`particularly, it relates to a portable data carrier for storing and paying for data and to computer
`
`systems for providing access to data to be stored. The invention also includes corresponding
`
`methods and computer programs. The invention is particularly useful for managing stored audio
`
`and video data, but may also be applied to storage and access of text and software, including
`
`games, as well as other types of data.
`
`[0003] One problem associated with the increasingly wide use of the intemet is the growing
`
`prevalence of so-called data pirates. Such pirates obtain data either by unauthorized or
`
`legitimate means and then make this data available essentially world-wide over the intemet
`
`without authorization. Data can be a very valuable commodity, but once it has been published
`
`on the intemet it is difficult to police access to and use of it by intemet users who may not even
`
`realize that it is pirated. This is a particular problem with audio recordings, and, once the
`
`bandwidth becomes available, is also likely to be evident with video.
`
`[0004] Over the past three or four years compressed audio sources have become increasingly
`
`widely available on web pages. One widely used audio data compression format is MP3 (MPEG
`
`- Audio Layer 3 of the MPEG1 compression algorithm), which is an internationally defined
`
`10
`
`15
`
`20
`
`25
`
`Page 00016
`
`Page 00016
`
`

`

`standard including a definition of compressed audio information such as speech or music. It
`
`relies on psycho-acoustic properties of human hearing to achieve very large data compression
`
`factors. It is thus feasible to download usefully long passages of music in a practically
`
`convenient short time. Pirate data suppliers have not been slow to realize the potential of this,
`
`and many unauthorized websites have sprung up offering popular music, including recent
`
`releases by world-famous bands. This has caused the recording industry considerable concern
`
`and there is an urgent need to find a way to address the problem of data piracy.
`
`SUMMARY OF THE INVENTION
`
`[0005] According to the present invention there is therefore provided a method of providing
`
`portable data comprising providing a portable data storage device comprising downloaded data
`
`storage means and payment validation means; providing a terminal for intemet access; coupling
`
`the portable data storage device to the terminal; reading payment information from the payment
`
`validation means using the terminal; validating the payment information; and downloading data
`
`into the portable storage device from a data supplier.
`
`[0006] Another aspect of the invention provides a corresponding mobile data retrieval device
`
`for retrieving and outputting data such as stored music and/or noise from the data storage device.
`
`[0007]
`
`The payment validation means is, for example, means to validate payment with an
`
`external authority such as a bank or building society. The combination of the payment validation
`
`means with the data storage means allows the access to the downloaded data which is to be
`
`stored by the data storage means, to be made conditional upon checked and validated payment
`
`being made for the data. Binding the data access and payment together allows the legitimate
`
`owners of the data to make the data available themselves over the intemet without fear of loss of
`
`revenue, thus undermining the position of data pirates.
`
`[0008] A further advantage of the system is that it allows users under the age of 18 to make
`
`intemet purchases. Currently intemet users pay for goods and/or services by credit card. Since
`
`credit cards cannot legitimately be used by persons under the age of 18 (at least in the UK), a
`
`significant fraction of adventurous intemet users are excluded from e-commerce, one of the most
`
`significant predicted uses of the intemet. In one embodiment of the invention, however, the
`
`payment validation means comprises e-cash; that is, the payment validation means stores
`
`transaction value information on a cash value of transactions validatable by the data storage
`
`means. In simple terms, the data storage means can be a card which is charged up to a desired
`
`2
`
`Page 00017
`
`10
`
`15
`
`20
`
`25
`
`30
`
`Page 00017
`
`

`

`cash value (if necessary limited to a maximum value) at a suitable terminal. This might be an
`
`intemet access terminal but could, more simply, be a device to accept the data storage card and
`
`to receive and count money deposited by the user to charge the card, writing update cash value
`
`information onto the card. More sophisticated ways of updating the cash value on the card are
`
`also possible, such as direct bank transfer. Since, with this type of embodiment, the data storage
`
`means is, essentially, precharged with cash rather than acting as a credit card, it can be used by
`
`young people without the risk of their incurring large debts.
`
`[0009]
`
`In one embodiment the data storage means is powered by the retrieval device when it is
`
`connected to the device and retains a memory of the downloaded data when it is unpowered.
`
`This can be achieved by the use of Flash RAM or, more generally, any form of programmable
`
`read-only memory. Alternatively the data storage means may incorporate a rechargeable cell or
`
`capacitor and store information in battery backed-up static RAM.
`
`[0010]
`
`The downloaded data may be entered into the data storage device by means of an
`
`interface such as a magnetically or capacitatively coupled connection or an optical connection,
`
`but preferably the interface comprises contacts for direct electrical connection to the storage
`
`means. The payment validation means may likewise have one of a variety of interfaces but again
`
`preferably comprises a set of electrical contacts. The payment validation means could, however,
`
`comprise a magnetic or holographic data-strip such as is known for use with credit cards and
`
`phone cards. The interface to receive the downloaded data may be separate from the interface to
`
`the payment validation means, to facilitate separate and simultaneous access to both these
`
`systems. In other embodiments a single interface may serve for both data storage and payment.
`
`Advantageously the payment validation means includes memory storing information to identify
`
`the person who is paying for the downloaded data.
`
`[0011]
`
`For additional security the downloaded data may be encrypted. In this case data
`
`decryption may be necessary at some stage, either in the data storage means or in the retrieval
`
`device or in an information delivering apparatus such as a data access terminal. Alternatively the
`
`data decryption function can be shared amongst one or more of these devices. The skilled person
`
`will be aware of a range of suitable encryption/decryption techniques, including Pretty Good
`
`Privacy (Registered Trade Mark) and PKI (Public Key Infrastructure). Normally, when the
`
`downloaded data is encrypted, a decryption key must be supplied. This can be generated
`
`10
`
`15
`
`20
`
`25
`
`30
`
`Page 00018
`
`Page 00018
`
`

`

`automatically by the data access terminal or data access service provider or it can be entered by
`
`the user into the data access terminal or into the mobile data retrieval device.
`
`[0012]
`
`The data storage means and/or the retrieval device can be provided with access control
`
`means to prevent unauthorized access to the downloaded data. Additionally or alternatively, use
`
`control means can be provided to stop or provide only limited access of the user to the
`
`downloaded data in accordance with the amount paid. These access and use control fianctions
`
`may in some embodiments be combined, permitted use controlling access or permitted access
`
`controlling use. Thus, for example, a complete set of data information relating to a particular
`
`topic, a particular music track, or a particular software package might be downloaded, although
`
`access to part of the data set might thereafter be controlled by payments made by a user at a later
`
`stage. In this way, a user could pay to enable an extra level on a game or to enable fiarther tracks
`
`of an album.
`
`[0013]