`571-272-7822
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`
`
` Paper 19
`Entered: May 17, 2013
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________
`
`EMC CORPORATION AND VMWARE, INC.
`Petitioner
`
`v.
`
`PERSONALWEB TECHNOLOGIES LLC
`Patent Owner
`____________
`
`Case IPR2013-00083 (JYC)
`U.S. Patent No. 6,415,280
`____________
`
`Before KEVIN F. TURNER, JONI Y. CHANG, and
`MICHAEL R. ZECHER, Administrative Patent Judges.
`
`ZECHER, Administrative Patent Judge.
`
`DECISION
`Institution of Inter Partes Review
`37 C.F.R. § 42.108
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`I. INTRODUCTION
`EMC Corporation and VMware, Inc. (“EMC”) filed a petition (“Pet.”)
`requesting inter partes review of claims 36 and 38 of U.S. Patent No.
`6,415,280 (“the ’280 patent”). Paper No. 6. Patent owner, PersonalWeb
`Technologies LLC (“PersonalWeb”), filed a preliminary response (“Prelim.
`Resp.”). Paper No. 14. We have jurisdiction under 35 U.S.C. § 314.
`The standard for instituting an inter partes review is set forth in 35
`U.S.C. § 314(a), which provides:
`THRESHOLD --The Director may not authorize an inter partes
`review to be instituted unless the Director determines that the
`information presented in the petition filed under section 311
`and any response filed under section 313 shows that there is a
`reasonable likelihood that the petitioner would prevail with
`respect to at least 1 of the claims challenged in the petition.
`
`Taking into account PersonalWeb’s Preliminary Response, we
`conclude that the information presented in the Petition demonstrates that
`there is a reasonable likelihood that EMC will prevail in challenging claims
`36 and 38 as unpatentable under 35 U.S.C. §§ 102 and 103. Pursuant to 35
`U.S.C. § 314, we hereby authorize an inter partes review to be instituted as
`to claims 36 and 38 of the ’280 patent.
`
`A. Related Matters
`
`EMC indicates that the ’280 patent was asserted against it in
`PersonalWeb Technologies LLC v. EMC Corporation and VMware, Inc.,
`Case No. 6:11-cv-00660-LED, pending in the U.S. District Court for the
`Eastern District of Texas. Pet. 1. EMC also filed five other Petitions
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`seeking inter partes review of the following patents: U.S. Patent No.
`5,978,791 (IPR2013-00082), U.S. Patent No. 7,945,544 (IPR2013-00084),
`U.S. Patent No. 7,945,539 (IPR2013-00085), U.S. Patent No. 7,949,662
`(IPR2013-00086), and U.S. Patent No. 8,001,096 (IPR2013-00087). Id.
`According to EMC, those patents and the ’280 patent share a common
`disclosure. Id. (citing to Ex. 1008).
`
`B. The Invention of the ’280 Patent (Ex. 1001)
`
`The invention of the ’280 patent relates to a data processing system
`that identifies data items using substantially unique identifiers, otherwise
`referred to as True Names, which depend on all the data in the data item and
`only on the data in the data item. Ex. 1001, Spec. 1:12-16, 3:28-31, and 6:7-
`9. According to the ’280 patent, the identity of a data item depends only on
`the data and is independent of the data item’s name, origin, location,
`address, or other information not directly derivable from the data associated
`therewith. Ex. 1001, Spec. 3:32-34. The invention of the ’280 patent also
`examines the identities of a plurality of data items in order to determine
`whether a particular data item is present in the data processing system. Ex.
`1001, Spec. 3:35-38.
`
`Figures 1(a) and 1(b) illustrate the data processing system that
`implements the invention of the ’280 patent. Ex. 1001, Spec. 4:45-47.
`Figure 1(a) is reproduced below.
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`Figure 1(a) illustrates the data processing system 100.
`The Specification of the ’280 patent discloses that the data processing
`system 100 includes one or more processors 102 and various storage devices
`104 connected via bus 106. Ex. 1001, Spec 4:59-64.
`Figure 1(b) is reproduced below.
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`Figure 1(b) illustrates a typical data processor 102
`in the data processing system 100.
`
`The Specification of the ’280 patent discloses that each processor 102
`includes a central processing unit 108, memory 110, and one or more local
`storage devices 112 connected via an internal bus 114. Ex. 1001, Spec.
`4:65-5:1. The memory 110 in each processor 102 stores data structures that
`are either local to the processor itself or shared amongst multiple processors
`in the data processing system. Ex. 1001, Spec. 7:65-8:13.
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`The Specification of the ’280 patent further discloses accessing data
`
`items by referencing their identities or True Names independent of their
`present location in the data processing system. Ex. 1001, Spec. 34:21-23.
`The actual data item or True file corresponding to a given data identifier or
`True Name is capable of residing anywhere on the data processing system,
`i.e., locally, remotely, offline, etc. Ex. 1001, Spec. 34:23-25. If a requested
`data item or True File is local with respect to the data processing system, a
`prospective user can access the data in the True File. Ex. 1001, Spec. 34:25-
`27. If a requested data item or True File is not local with respect to the data
`processing system, a prospective user may use the True File registry to
`determine the location of copies of the True File according to its given True
`Name. Ex. 1001, Spec. 34:27-31. However, if for some reason a
`prospective user cannot locate a copy of the requested data item or True File,
`the processor employed by the user may invoke the Request True File
`remote mechanism to submit a general request for the data item or True File
`to all the processors in the data processing system. Ex. 1001, Spec. 34:35-
`41.
`
`C. Challenged Claims
`
`Independent claims 36 and 38 are the only claims challenged by EMC
`
`in this inter partes review and are reproduced below:
`
`36. A method of delivering a data file in a network
`comprising a plurality of processors, some of the processors
`being servers and some of the processors being clients, the
`method comprising:
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`storing the data file is [sic] on a first server in the
`
`network and storing copies of the data file on a set of servers in
`the network distinct from the first server; and
`
`responsive to a client request for the data file, the request
`including a hash of the contents of the data file, causing the data
`file to be provided to the client.
`
`Ex. 1001, claims—Spec. 43:54-63.
`38. A method of delivering a data file in a network
`comprising a plurality of processors, some of the processors
`being servers and some of the processors being clients, the
`method comprising:
`
`storing the data file is [sic] on a first server and storing
`copies of the data file on a set of servers distinct from the first
`server; and
`
`responsive to a client request for the data file, the request
`including a value determined as a given function of the contents
`of the data file, providing the data file to the client.
`
`Ex. 1001, claims—Spec. 44:3-13.
`D. Prior Art Relied Upon
`EMC relies upon the following prior art references:
`Woodhill
`US 5,649,196
`July 15, 1997
`
`Ex. 1005
`
`Shirley Browne et al., “Location-Independent Naming for Virtual
`Distributed Software Repositories,” University of Tennessee Technical
`Report CS-95-278 (Feb. 1995)(Ex. 1002)(hereinafter “Browne”).
`
`Albert Langer, “Re: dl/describe (File descriptions),” post to the
`“alt.sources” newsgroup on Aug. 7, 1991 (Ex. 1003)(hereinafter
`“Langer”).
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`Frederick W. Kantor, “FWKCS(TM) Contents_Signature System
`Version 1.22,” Zipfile FWKCS122.ZIP (Aug. 10, 1993)(Ex.
`1004)(hereinafter “Kantor”).
`
`“ESM™ : Product Introduction,” Document No. ES-LAN22-1,
`Legent Corp. (April 1994)(Ex. 1026)(hereinafter “ESM Manual”).
`
`Mahadev Satyanarayanan, “Scalable, Secure, and Highly Available
`Distributed File Access,” 23 IEEE Computer 9-21 (May 1990)(Ex.
`1029)(hereinafter “Satyanarayanan”).
`
`E. Alleged Grounds of Unpatentability
`EMC seeks to cancel independent claims 36 and 38 of the ’280 patent
`based on the following alleged grounds of unpatentability:
`1.
`Claims 36 and 38 as anticipated under 35 U.S.C. § 102(a) by
`Browne. Pet. 28-38.
`2.
`Claims 36 and 38 as unpatentable under 35 U.S.C. § 103(a)
`over the combination of Browne and Langer. Id. at 38-39.
`3.
`Claims 36 and 38 as anticipated under 35 U.S.C. § 102(e) by
`Woodhill. Id. at 39-47.
`4.
`Claims 36 and 38 as unpatentable under 35 U.S.C. § 103(a)
`over Woodhill. Id. at 47-48.
`5.
`Claims 36 and 38 as anticipated under U.S.C. § 102(b) by ESM
`Manual. Id. at 48-51.
`6.
`Claims 36 and 38 as unpatentable under 35 U.S.C. § 103(a)
`over the combination of Satyanarayanan and Langer. Id. at 51-56.
`7.
`Claims 36 and 38 as unpatentable under 35 U.S.C. § 103(a)
`over the combination of Satyanarayanan and Kantor. Id. at 56-59.
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`II. CLAIM CONSTRUCTION
`During an inter partes review, the Board construes claims by applying
`the broadest reasonable interpretation in light of the specification. 37 C.F.R.
`§ 42.100(b); see also Office Patent Trial Practice Guide, 77 Fed. Reg.
`48756, 48766 (Aug. 14, 2012). Absent a special definition for a claim term
`being set forth in the specification, the definition that governs is the ordinary
`and customary meaning of the claim term as would be understood by one
`with ordinary skill in the art. Phillips v. AWH Corp., 415 F.3d 1303, 1312
`(Fed. Cir. 2005) (en banc). In some cases, the ordinary and customary
`meaning of a claim term as would be understood by one with ordinary skill
`in the art may be apparent even to lay judges, and claim construction in such
`cases involves little more than the application of the widely accepted
`meaning of commonly understood words. Id. at 1314.
`A. Preambles
`In general, a preamble is construed as a limitation “if it recites
`
`essential structure or steps, or if it is ‘necessary to give life, meaning, and
`vitality’ to the claim.” Catalina Mktg. Int’l, Inc. v. Coolsavings.com, Inc.,
`289 F.3d 801, 808 (Fed. Cir. 2002) (quoting Pitney Bowes, Inc. v. Hewlett-
`Packard Co., 182 F.3d 1298, 1305 (Fed. Cir. 1999)). In this case, the
`preambles of independent claims 36 and 38 both recite “[a] method of
`delivering a data file in a network comprising a plurality of processors, some
`of the processors being servers and some of the processors being clients.”
`Further, the bodies of independent claims 36 and 38 both include similar
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`language—namely “a first server in the network,” “a set of servers in the
`network distinct from the first server,” and “a client.” We hold that the
`bodies of independent claims 36 and 38 depend on their preambles for
`completeness. Accordingly, we conclude that the preambles of these claims
`are entitled to patentable weight.
`B. Claims Terms
`EMC identifies six claim terms and its claim construction for each
`
`claim term. Pet. 6-7. Those claim terms are listed as follows: (1) “data”
`and “data item;” (2) “file system;” (3) “file;” (4) “location;” (5) “local;” and
`(6) “True Name, data identity, and data identifier.” Id. However, only the
`claim terms “data” and “file” are used together as “data file” in independent
`claims 36 and 38. We will address the claim term “data file” below.
`1. “Data file”
`EMC construes the claim term “file” as:
`a named data item which is either a data file (which may be
`simple or compound) or a directory file. A simple file consists
`of a [single] data segment. A compound file consists of a
`sequence of data segments. A data segment is a fixed sequence
`of bytes.
`
`
`
`Id. at 7 (citing to Ex. 1001, Spec. 5:47-54). In response, PersonalWeb
`construes the claim term “data file” as “a named data item that appears in a
`directory and which is a data file (which may be simple or compound).”
`Prelim. Resp. 3-4 (citing to Ex. 1001, Spec. 5:46-50). PersonalWeb further
`contends that EMC’s proposed claim construction is for the claim term “file”
`instead of the claim term “data file.” Id. at 4. PersonalWeb argues that the
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`Board should construe the claim term “data file” in accordance with
`PersonalWeb’s proposed claim construction because these two claim terms,
`i.e., “data” and “file,” are used together in independent claims 36 and 38. Id.
`
`The portion of the Specification of the ’280 patent cited by both EMC
`and PersonalWeb sets forth an explicit or special definition for the claim
`term “file.” Because that explicit or special definition indicates that “[a] file
`is . . . a data file,” we construe the claim term “data file” as a named data
`item, such as a simple file that includes a single, fixed sequence of data
`bytes or a compound file that includes multiple, fixed sequences of data
`bytes.
`
`2. Remaining Claim Terms
`All remaining claim terms recited in independent claim 36 and 38 are
`
`given their ordinary and customary meaning as would be understood by one
`with ordinary skill in the art, and need not be further construed at this time.
`
`III. ANALYSIS
`A. 35 U.S.C. § 102(e) Ground of Unpatentability—Woodhill
`Claims 36 and 38
`EMC contends that independent claims 36 and 38 are anticipated
`
`under 35 U.S.C. § 102(e) by Woodhill. Pet. 39-47. EMC relies upon the
`Declaration of Dr. Douglas W. Clark (Ex. 1009) to support its positions and
`an attached claim chart (Ex. 1032) to explain where Woodhill describes the
`claimed subject matter recited in independent claims 36 and 38. Id. at 44-
`46. PersonalWeb does not challenge EMC’s assertion that Woodhill
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`describes the claimed subject matter recited in independent claims 36 and
`38.
`Woodhill generally relates to a system and method for distributed
`
`storage management on a networked computer system that includes a remote
`backup file server in communication with one or more local area networks.
`Ex. 1005, Spec. 1:11-17. Figure 1 of Woodhill illustrates the networked
`computer system. Ex. 1005, Spec. 2:56-58. Figure 1 of Woodhill is
`reproduced below.
`
`Figure 1 of Woodhill illustrates the networked computer system 10.
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`A remote backup file server 12 communicates with a wide area network 14
`via data path 13, the wide area network 14 communications with a plurality
`of local area networks 16 via data paths 15, and each local area network 16
`communications with multiple user workstations 18 and local computers 20
`via data paths 17. Ex. 1005, Spec. 3:12-30. The storage space on each disk
`drive 19 on each local computer 20 is allocated according the hierarchy
`illustrated in Figure 2. Ex. 1005, Spec. 3:31-44.
`
`Figure 2 of Woodhill illustrates a Distributed Storage Manager
`program that allocates storage space on each of the storage devices in the
`networked computer system. Ex. 1005, Spec. 2:59-62. Figure 2 of
`Woodhill is reproduced below.
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`Figure 2 of Woodhill illustrates the
`Distributed Storage Manager program 24.
`
`The Distributed Storage Manager program 24 builds and maintains the File
`Database 25 on the one or more disk drives 19 on each local computer 20 in
`the networked computer system 10. Ex. 1005, Spec. 3:45-49. The
`Distributed Storage Manager program 24 views a file as a collection of data
`streams. Ex. 1005, Spec. 4:13-15. Woodhill defines a data stream as a
`distinct collection of data within a file that may change independently from
`other distinct collections of data within the file. Ex. 1005, Spec. 4:15-18.
`Depending on the size of the data stream, the Distributed Storage Manager
`program 24 divides each data stream into one or more binary objects. Ex.
`1005, Spec. 4:21-30.
`
`Figure 3 of Woodhill illustrates the File Database used by the
`Distributed Storage Manager program. Ex. 1005, Spec. 2:63-64. Figure 3 of
`Woodhill is reproduced below.
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`Figure 3 of Woodhill illustrates the File Database 25.
`The File Database 25 includes three levels of records organized according to
`a predefined hierarchy: (1) the File Identification Record 34; (2) the Backup
`Instance Record 42; and (3) the Binary Object Identification Record 58. Ex.
`1005, Spec. 3:54-4:47. The Binary Object Identification Record 58
`includes, amongst other things, a Binary Object Identifier 74 that comprises
`a Binary Object Size 64, Binary Object CRC32 66, Binary Object LRC 68
`and Binary Object Hash 70. Ex. 1005, Spec. 4:45-47, 7:64-8:1. The Binary
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`Object Identifier 74 is a unique identifier for each binary object that is
`backed up. Ex. 1005, Spec. 4:45-47.
`
`While Woodhill discloses calculating the Binary Object Identifier 74
`in various ways, e.g., based on a Binary Hash algorithm (Ex.1005, Spec. 8:1-
`31), the key notion is that the Binary Object Identifier 74 is calculated from
`the content of the data instead of from an external or arbitrary source. Ex.
`1005, Spec. 8:38-42. In other words, Woodhill recognizes that the critical
`feature in creating a Binary Object Identifier 74 is that the identifier should
`be based on the contents of the binary object such that the Binary Object
`Identifier 74 can change when the contents of the binary object change. Ex.
`1005, Spec. 8:58-62.
`
`Woodhill further discloses that the Distributed Storage Manager
`program 24 performs two backup operations concurrently. Ex. 1005, Spec.
`9:30-31. First, the Distributed Storage Manager program 24 stores a
`compressed copy of each binary object it needs to restore the disk drives 19
`on each local computer 20 somewhere on the local area network 16 other
`than on the local computer 20 where the binary object originally resided.
`Ex. 1005, Spec. 9:31-36. Second, the Distributed Storage Manager program
`24 transmits new or changed binary objects to the remote backup file server
`12. Ex. 1005, Spec. 9:36-38. These concurrent backup operations enable
`the binary objects that are available in compressed form on the local area
`network 16 to be restored quickly. Ex. 1005, Spec. 9:39-40. These
`concurrent backup operations also ensure that at least one copy of every
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`binary object is stored on the remote backup file server 12. Ex. 1005, Spec.
`9:40-44.
`
`Woodhill further discloses that the Distributed Storage Manager
`program 24 performs auditing and reporting functions on a periodic basis in
`order to ensure that the binary objects, which already have been backed up,
`may be restored. Ex. 1005, Spec. 18:11-13. According to Woodhill, the
`Distributed Storage Manager program 24 initiates a restore of a randomly
`selected binary object identified by a Binary Object Identification Record 58
`stored in the File Database 25. Ex. 1005, Spec. 18:16-19. The control
`aspect of the Distributed Storage Manager program 24 restores the randomly
`selected binary object using a compressed storage file 32 residing on one or
`more disk drives 19 of one of the local computers 20 or the remote backup
`file server 12. Ex. 1005, Spec. 18:19-23.
`
`The explanations provided by EMC with respect to how Woodhill
`describes the claimed subject matter recited in independent claims 36 and 38
`have merit and are otherwise unrebutted. Therefore, based on the record
`before us, we conclude that there is a reasonable likelihood that EMC will
`prevail on its assertion that independent claims 36 and 38 of the ’280 patent
`are anticipated by Woodhill. We authorize an inter partes review on this
`ground of unpatentability.
`35 U.S.C. § 103(a) Grounds of Unpatentability—Woodhill
`Claims 36 and 39
`EMC contends that independent claims 36 and 38 are unpatentable
`
`under 35 U.S.C. § 103(a) over Woodhill. Pet. 47-48. In particular, EMC
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`argues that one with ordinary skill in the art would have found it obvious to
`add an additional remote backup file server or servers to Woodhill’s system
`for additional data security, e.g., in the event that the single remote backup
`file server was destroyed along with the local computer that backs up a
`binary object. Id. at 47 (citing to Ex. 1009, ¶ 29). EMC also provides an
`articulated reason with a rational underpinning to justify the legal conclusion
`of obviousness. Id. at 47-48. PersonalWeb does not challenge EMC’s
`assertion that Woodhill teaches the claimed subject matter recited in
`independent claims 36 and 38.
`
`The explanations provided by EMC with respect to how Woodhill
`teaches the claimed subject matter recited in independent claims 36 and 38
`have merit and are otherwise unrebutted. Therefore, based on the record
`before us, we conclude that there is a reasonable likelihood that EMC will
`prevail on its assertion that independent claims 36 and 38 of the ’280 patent
`are unpatentable over Woodhill. We authorize an inter partes review on this
`ground of unpatentability as well.
`B. Remaining Grounds of Unpatentability
`Claims 36 and 38
`EMC contends that independent claims 36 and 38 are unpatentable
`under 35 U.S.C. §§ 102 and 103 based in whole or in part on Browne,
`Langer, ESM Manual, Satyanarayanan, or Kantor. Pet. 28-39 and 48-59.
`Those grounds of unpatentability are redundant to the grounds of
`unpatentability on which we initiate an inter parties review. Accordingly,
`we do not authorize an inter partes review on the remaining grounds of
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`unpatentability asserted by EMC against independent claims 36 and 38 of
`the ’280 patent. See 37 C.F.R. § 42.108(a).
`
`IV. ORDER
`It is ORDERED that pursuant to 35 U.S.C. § 314(a), an inter partes
`
`review is hereby instituted as to claims 36 and 38 of the ’280 patent for the
`following grounds of unpatentability:
`A. Claims 36 and 38 as anticipated under U.S.C. § 102(e) by
`Woodhill.
`B. Claims 36 and 38 as unpatentable under 35 U.S.C.
`§ 103(a) over Woodhill.
`It is FURTHERED ORDERED that pursuant to 35 U.S.C. § 314(c)
`
`and 37 C.F.R. § 42.4, notice is hereby given of the institution of a trial. The
`trial will commence on the entry date of this decision.
`It is FURTHER ORDERED that an initial conference call with the
`
`Board is scheduled for 2 PM Eastern Time on June 3, 2013. The parties are
`directed to the Office Trial Practice Guide, 77 Fed. Reg. 48756, 48765-66
`(Aug. 14, 2012) for guidance in preparing for the initial conference call, and
`should come prepared to discuss any proposed changes to the Scheduling
`Order entered herewith and any motions the parties anticipate filing during
`the trial.
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`For PETITIONER:
`Peter Dichiara
`David L. Cavanaugh
`WILMER CUTLER PICKERING HALE AND DORR LLP
`Peter.Dichiara@wilmerhale.com
`David.Cavanaugh@wilmerhale.com
`
`For PATENT OWNER
`Joseph A. Rhoa
`Updeep S. Gill
`NIXON & VANDERHYE P.C.
`jar@nixonvan.com
`usg@nixonvan.com
`
`
`
`
`
`alw
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