PTOISBIOS (O8-08)
`
`UTILITY
`
`Attorney Docket No.
`
`080379-00014OUS
`
`PATENT APPLICATION
`
`First Inventor
`
`TRANSMITTAL
`
`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., PTOISB/17)
`
`ACCOMPANYING APPLICATION PARTS
`
`. E Applicant claims small entity status.
`See 37 CFR 1.27.
`
`[Total Pages i___ ]
`. IX] Specification
`Both the claims and abstract must start on a new page
`(For information on the preferred arrangement, see MPEP 608,01{a))
`
`[Total Sheets _1]___]
`. IXI Drawing(s) (35 U.S.C.113)
`[Total Sheets
`2
`. 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).
`
`9. I: Assignment Papers (cover sheet & document(s))
`
`Name of Assignee
`
`37 CFR 3.73(b) Statement
`(when there is an assignee)
`
`IX] Power of
`Attorney
`
`English Translation Document (if applicable)
`
`lnfonnation Disclosure Statement (PTO/SB/08 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 andlor Amino Acid Sequence Submission
`(if applicable, items a. - c. are required)
`a. D Computer Readable Form (CRF)
`b.
`Specification Sequence Listing on:
`
`i. E] CD—ROM orCD-R (2 copies); or
`H_ 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.
`‘Communication
`17.IZ 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:
`
`IX continuation
`Prior application information:
`
`I:I continuation-in—part (cm)
`D Divisional
`Examiner THEIN MIN LE
`
`or prior application No: ..1.2./_<21.4..5_5:s............ ..
`Art Unit: 2887
`
`19. CORRESPONDENCE ADDRESS
`
`IE The address associated with Customer Number:
`
`20350
`
`I
`
`OR
`
`I:I Correspondence address below
`
`W _
`
`State 7
`I
`Telephone
`
`January 24, 2011
`
`63115123 V1
`
`Apple Exhibit 1029 Page 00001
`
`Apple Exhibit 1029 Page 00001
`
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`Page 00002
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`

`
`I hereby certify that this correspondence is being filed via
`EFS—Web with the United States Patent and Trademark Office
`
`on
`
`we
`
`E
`
`_
`
`2;2:::::s::eN2:%°si%232::3§:
`
`PATENT
`_ -—"‘___"
`
`KILPATRICK TOWNSEND & STOCKTON LLP
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`In re application of:
`
`_
`
`Confirmation No.: Not Yet Assigned
`
`Patrick RACZ, et al.
`
`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
`
`P.O. 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 94111-3834
`Tel: (415) 576-0200
`Fax: (415) 576-0300
`JDL:sep
`
`63115158 V1
`
`Page 00004
`
`Page 00004
`
`

`
`I hereby certify that this correspondence is being filed via
`EFS-Web with the_I_Jnited States Patent and Trademark Office
`°
`“W” 7 '33 ‘M’
`'
`KILPATRICK TOWNSEND & STOCKTON LLP
`
`Attorney DOckct NO‘:
`Client Reference NO.: PN759544USE
`
`P
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`In re application of:
`
`Confirmation NO.: Not Yet Assigned
`
`Patrick RACZ, Ct 811.
`
`Examiner: Not Yet Assigned
`
`Application NO.: Not Yet Assigned
`
`Art Unit; Not Yet Assigned
`
`Filed: January 24, 2011
`
`For: DATA STORAGE ANbD ACCESS
`SYSTEMS
`
`INFORMATION DISCLOSURE
`STATEMENT UNDER 37 CFR §1.97 and
`§1_98
`
`Customer NO.: 20350
`
`Mail Stop Amendment
`Commissioner for Patents
`
`P.O. 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 §l.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 U.S. 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 reguired 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 94111-3834
`Tel: 925-472-5000
`Fax: 925-472-8895
`
`JDL:sep
`63115150 v1
`
`Page 00006
`
`Page 00006
`
`

`
`Substitute for form 1449/PTO
`
`Complete if Known
`
`PTO/SB/08a (07-09)
`
`080379_000130US
`
`INFORMATION DISCLOSURE
`
`STATEMENT BY APPLICANT
`
`(Use as many sheets as necessary)
`
`Application Number
`
`Filing Date
`,,
`,,,,,
`
`,F,,,s,t,:',, 6“
`
`t
`
`.
`
`{RA°Z‘P"“"°k
`
`Examiner Name
`Attorney Docket Number
`
`l
`
`Examiner
`initials‘
`
`Cite
`No.
`
`Document Number
`
`AA
`
`AB
`AC
`AD
`
`—+TE
`
`AF
`AG
`
`AH
`Al
`
`AK
`
`AL
`AM
`AN
`
`Number Kind Code2"”‘"""'"’
`US 4,341,951
`
`US 5,226,145
`US 5,367,150
`US 5,406,619
`
`US 5,457,746
`
`US 5,532,466
`US 5,588,146
`
`US 5,677,953
`US 5,703,951
`
`US 5,740,369
`US 5,744,787
`
`US 5,754,654
`US 5,794,202
`US 5,809,241
`
`U.S. PATENT DOCUMENTS
`Publication Date
`Name of Patentee or
`MM—DD-YYYY
`Applicant of Cited Document
`
`07-1982
`
`07-06-1993
`11-22-1994
`04-11-1995
`
`Benton
`
`Moronaga et al.
`Kitta et al.
`Akhteruzzaman et al.
`
`Pages, Columns, Lines, Where
`Relevant Passages or Relevant
`Figures Appear
`
`10-10-1995 T Dolphin
`
`07-02-1996
`12-24-1996
`
`T“
`
`Konno et al.
`Leroux
`
`10-14-1997
`12-30-1997
`
`04-14-1998
`04-28-1998
`
`05-19-1998
`08-11-1998
`09-15-1998
`
`Dolphin
`Dolphin
`
`Yokozawa et al.
`Teicher
`
`Kim
`Hanel et al.
`
`
`US 5,889,860
`
`O3-30-1999
`
`Eller et al.
`
`
`
`
`
`
`
`
`
`
`Sun et al.
`05-04-1999
`US 5,901,330
`Bernard et al.
`06-29-1999
`US 5,918,213
`Peyret et al.
`07-13-1999
`US 5,923,884
`Schneck et al.
`08-03-1999
`US 5,933,498 A
`
`08-10-1999
`Hoshino et al.
`US 5,936,220
`
`
`
`US 6,012,634
`01-11-2000
`Brogan et al.
`
`
`US 6,018,720 A
`01-25-2000
`Fujimoto
`AX
`AY
`US 6,078,917
`06-20-2000
`Paulsen et al.
`AZ
`US 6,119,945
`09-19-2000
`Muller et al.
`
`|
`|
`
`Corresponds to JP 11-53184
`
`|
`
`BA
`BB
`
`US 6,142,369
`US 6,202,056
`
`— BC
`BD
`
`US 6,385,731
`us 6,424,975
`
`11-2000
`03-13-2001
`
`05-07-2002
`07-23-2002
`
`Jonstromer
`Nuttall
`
`Ananda
`Walter et al.
`
`Wu
`Us 6,442,570
`Dahman et al.
`‘ US 6,473,829
`Crane et al.
`- US 6,510,235
`Leighton et al.
`_ US 6,553,413
`-3 Ting‘
`Examiner
`Date
`Signature
`Considered
`
`08-27-2002
`10-29-2002
`
`'EXAM|NER: 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 U.S. Patent Documents at www.usQto.gov or MPEP 901.04. 3 Enter Office that issued the document, by the t\No-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 if English language Translation is attached.
`
`63115150 v1
`
`Page 00007
`
`Page 00007
`
`

`
`PTO/SB/08a (07-09)
`
`Substitute for form 1449/PTO
`
`C°mP’ete if KNOW"
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`Application Number
`
`Filing Date
`F,,s,Named,,,vento,
`
`RACZ, Patrick
`
`(Use as many sheets as necessary)
`
`Examiner Name
`
`Attorney Docket Number
`
`080379_000130US
`
`Examiner
`|nitials*
`
`Cite
`No.‘
`
`J
`
`Document Number
`
`Number Kind Code2 "””°"”’
`us 6,574,643
`
`US 6,658,568 B1
`BL
`- US 6,993,507
`m us 6,999,936
`us 7,044,362
`
`BP
`
`US 7,083,081
`
`US 7,334,720
`US 7,677,446
`US-2006/0249570
`US-2008/0041938
`
`US 4,341,951
`US 5,226,145
`
`Examiner
`|nitia|s*
`
`'
`
`.
`
`Foreign Patent Document
`
`U.S. PATENT DOCUMENTS
`Publication Date
`Name of Patentee or
`MM-DD-YYYY
`Applicant of Cited Document
`
`Pages, Columns, Lines, Where
`Relevant Passages or Relevant
`Figures Appear
`
`06-03-2003
`
`12-02-2003
`01-31-2006
`02-14-2006
`05-16-2006
`
`08-01-2006
`
`02-26-2008
`03-16-2010
`11-09-2006
`02-21-2008
`
`Waiter et al.
`
`Ginter etal.
`Meyer et al.
`Sehr
`Yu
`
`McGee etal.
`
`Hulst et al.
`Wise
`Seifert et al.
`
`Moronaga et al.
`
`FOREIGN PA_'_I'_E_NT DOCUMENTS
`Publication
`Name of Patetee or
`Date
`MM-DD-YYYY
`
` Country Code3
`
`Kind Code5 '
`
`EP
`
`EP
`
`WO
`
`Ntfllgr‘
`0 195 098
`
`0 542 298
`0 713 198
`
`0 823 694
`0 843 449
`0 914 001
`
`10-269291
`
`11-212785
`
`11-213010
`11-272762
`
`11-53184
`
`98/19237
`
`98/33343
`
`98/37526
`
`10-03-1990
`
`FPDC, Inc.
`
`04-22-1998
`05-22-1996
`
`02-11-1998
`05-07-1998
`05-06-1999
`
`Hitachi, Ltd.
`Nederland PTT
`
`Citibank NA
`Sunhawk Corp. Inc.
`Canal Plus SA
`
`10-09-1998
`
`Sony Corp.
`
`08-06-1999
`
`Casio Comput. Co. Ltd.
`
`08-O6-1999
`10-08-1999
`
`02-26-1999
`
`05-07-1998
`
`07-30-1998
`
`Planet Computer: KK
`Hitachi Ltd.
`
`_
`Seta.KK
`Schulumberger Technologies,
`Inc.
`Sonera OY et al.
`
`08-27-1998
`
`Mondex Int. Ltd.
`
`Corresponds to US
`6.018720
`
`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.
`1 Applicants unique citation designation number (optional). 2 See
`Kind Codes of U.S. Patent Documents at www.usgto.gov or MPEP 901.04. 3 Enter Office that issued the document, by the two-letter code (\N|PO
`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. 5 Kind of document by the appropriate symbols as indicated on the document under WIPO Standard ST. 16 if possible. 5 Applicant is to
`place a check mark here if English language Translation is attached.
`
`63115150 v1
`
`Page 00008
`
`Page 00008
`
`

`
`
`
`Substitute for form 1449/PTO
`
`Comp[efe if Known
`
`Application Number
`
`PTO/SB/08b (07-09)
`
`INFORMATION DISCLOSURE
`
`F'“"9 Date
`
`STATEMENT BY APPLICANT
`
`
`number(s), publisher, city and/or country where published.
`
`Firsmamed lnventor
`RACZ, Patrick
`’*“”"“ —
`Examiner Name
`
`Attorney Docket Number
`
`080379_00()120US
`
`
`
`(Use as many sheets as necessary)
`
`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), vo|ume—issue
`
`.
`
`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.
`1 App|icant’s unique citation designation number (optional). 2 Applicant is to place a check mark here if English language Translation is attached.
`
`63115150 V1
`
`Page 00009
`
`Page 00009
`
`

`
`Application Data Sheet
`
`Application Information
`
`Application number:
`
`Not Yet Assigned
`
`Filing Date::
`
`Application Type::
`
`Subject Matter:
`
`Tit|e::
`
`1/24/201 1
`
`Regular
`
`Utility
`
`DATA STORAGE AND ACCESS SYSTEMS
`
`Attorney Docket Number:
`
`080379-O0014OUS
`
`Request for Early Publication::
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`Request for Non—Pub|ication::
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`Suggested Drawing Figure:
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`Total Drawing Sheets:
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`Small Entity?::
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`Petition inc|uded?::
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`Secrecy Order in Parent Appl.::
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`Applicant Information
`
`No
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`No
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`17
`
`Yes
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`No
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`No
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`Applicant Authority Type::
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`Inventor
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`Primary Citizenship Country::
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`United Kingdom
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`Status:
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`Given Name:
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`Middle Name:
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`Family Name:
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`Name Suffix:
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`Full Capacity
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`Patrick
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`RACZ
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`City of Residence:
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`Saint Heller
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`State or Province of Residence::
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`Country of Residence::
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`Jersey
`
`Street of Mailing Address:
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`City of Mailing Address:
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`19 Royal Street
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`Saint Heller
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`Page 1
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`Initial 1/24/11
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`Page 00010
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`Page 00010
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`State or Province of mailing address:
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`Country of mailing address:
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`Postal or Zip Code of mailing address:
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`Jersey
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`JE1 4WA
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`Applicant Authority Type::
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`Primary Citizenship Country::
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`Status:
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`Given Name::
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`Middle Name::
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`Family Name::
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`Name Suffix:
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`Inventor
`
`Netherlands
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`Full Capacity
`
`Hermen—ard
`
`Hulst
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`City of Residence::
`
`Amsterdam
`
`State or Province of Residence:
`
`Country of Residence:
`
`Netherlands
`
`Street of Mailing Address:
`
`Van Tuyll van Serooskervveg 75hs
`
`City of Mailing Address:
`
`Amsterdam
`
`State or Province of mailing address::
`
`Country of mailing address:
`
`Netherlands
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`Postal or Zip Code of mailing address:
`
`1076 JG
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`Correspondence Information
`
`Correspondence Customer Number::
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`20350
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`Representative Information
`
`Representative Customer Number:
`
`20350
`
`Domestic Priority Information
`
`Application:
`
`Continuity Type::
`
`Parent App|ication:: 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
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`01/19/06
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`09/17/O2
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`Page 2
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`Initial 1/24/11
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`Page 00011
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`Page 00011
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`Foreign Priority Information
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`Country::
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`PCT
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`United Kingdom
`
`Application number:
`
`Filing Date:
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`GB00104110
`
`9925227.2
`
`10/25/00
`
`10/25/99
`
`Assignee Information
`
`Assignee Name::
`
`Smartflash Technologies Limited
`
`Street of mailing address:
`
`1070908 Palm Grove House, P.O. 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:
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`Page 3
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`initial 1/24/11
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`Page 00012
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`Page 00012
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`

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`
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`As the below named Inventor. I hereby declare that:
`
`My residence. mailing address. and citizenship are as stated below next to my name.
`
`lbeiieve lem the -
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`inai and tits! lnventorofthesu :- matterwhich is claimed and torwhlch a atent is eouhtonthe invention entitled:
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`DATA STORAGE AND ACCESS SYSTEMS
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`I hereby ‘state thatl have reviewed and understand the contents of the above identified specification, including the claims, as amended
`by any amendment specifically referred to abave.
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`I acknowledge the duty to dlsdoee information which is material to patentabiiity as defined In 37 CFR 1.56. including for oontinu'atton-in-
`part applications. material information whtett became avfliabte between the tiling date ofthe prior application and the national or PCT '
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`i hereby da_im foreign priority benetib under 35 U.S.C. t19(a)-(d) or (t). or 365(b) of any foreign applicatien(s) for patent. inventor‘: or
`plant breeders rights eertifieate(s), or 3650:) of any PCT lntemationai application which designated at least one country other than the
`United states of America. listed below and have also identified below, by checking the box. any foreign application for patent. inventor’:
`or plant breeders rights eerlificate(s). or of any PCT intemationai application having a tiling date before that of the application on Mitch
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`Washington. DC 20231. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Assistant Commissioner tor Patents.
`Washington. DC 20231.
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`Page 00013
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`Attorney Docket Number
`0803.79-OOOOOOUS
` HULST. Herman-ard‘
`PATENT APPLl_CATlON
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`‘DECLARATION FOR UTILITY OR
`DESIGN
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`Page 00013
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` l hereby declare that all statements made herein 0! my own knowledge are true and that all statements made on infotmation 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 such wtlifui false statements may
`leopaniize the validity of the application or any patent issued thereon.
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`Page 00014
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`Page 00014
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`Attorney Docket No.: 080379-000l40US
`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
`
`Herrnan-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, P.O. 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 l l-3 834
`Tel: 925-472-5000
`
`Page 00015
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`Page 00015
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`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 U.S. Patent Application No. 12/014,558, filed on
`
`January 15, 2008, which is a continuation of U.S. Patent Application No. 11/336,758, filed on
`
`January 19, 2006, now issued U.S. Patent Number 7,334,720; which is a continuation of U.S.
`
`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. GB00l04l 10, filed on October 25, 2000; which claims priority to UK Application No.
`
`9925227.2, 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
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`15
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`20
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`25
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`Page 00016
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`standard including a definition of compressed audio information such as speech or music. It
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`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 internet access; coupling
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`the portable data storage device to the terminal; reading payment information fiom the payment
`
`validation means using the terminal; validating the payment information; and downloading data
`
`into the portable storage device from a data supplier.
`
`[0006]
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`Another aspect of the invention provides a corresponding mobile data retrieval device
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`for retrieving and outputting data such as stored music and/or noise fiom 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 internet without fear of loss of
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`revenue, thus undermining the position of data pirates.
`
`[0008]
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`A further advantage of the system is that it allows users under the age of l8 to make
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`internet purchases. Currently internet users pay for goods and/or services by credit card. Since
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`credit cards cannot legitimately be used by persons under the age of 18 (at least in the UK), a
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`significant fraction of adventurous internet users are excluded fiom e-commerce, one of the most
`
`significant predicted uses of the internet. In one embodiment of the invention, however, the
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`payment validation means comprises e-cash; that is, the payment validation means stores
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`transaction value information on a cash value of transactions validatable by the data storage
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`means. In simple terms, the data storage means can be a card which is charged up to a desired
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`cash value (if necessary limited to a maximum value) at a suitable terminal. This might be an
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`intemet access terminal but could, more simply, be a device to accept the data storage card and
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`to receive and count money deposited by the user to charge the card, writing update cash value
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`information onto the card. More sophisticated ways of updating the cash value on the card are
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`also possible, such as direct bank transfer. Since, with this type of embodiment, the data storage
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`means is, essentially, precharged with cash rather than acting as a credit card, it can be used by
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`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
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`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
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`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 functions
`
`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 further tracks
`
`of an album.
`
`[0013]
`
`In embodiments where the access or use control means is responsive to the payment
`
`validation means, access or use control information may be stored with the downloaded data or
`
`in a separate storage area, for example in the payment validation means. The user’s access to the
`
`downloaded data could advantageously be responsive to the paym