UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`
`
`
`____________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`___________________
`
`
`
`RPX CORPORATION,
`Petitioner,
`v.
`
`
`
`VIRNETX, INC. AND SCIENCE APPLICATION INTERNATIONAL
`CORPORATION,
`Patent Owner
`
`
`
`Patent No. 7,490,151
`Issued: Feb. 10, 2009
`Filed: Sep. 30, 2002
`Inventors: Edmund C. Munger, et al
`Title: Establishment of a Secure Communication Link Based Domain Name
`Service (DNS) Request
`____________________
`
`Inter Partes Review No. IPR2014-00173
`__________________________________________________________________
`
`DECLARATION OF MICHAEL FRATTO
`REGARDING U.S. PATENT NO. 7,490,151
`
`
`
`
`
`Petitioner RPX – Ex. 1003
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`

`
`Second Declaration ofMichael Fratto Regarding US. Patent No. 7,490,151
`
`1, Michael Fratto, do hereby declare and state, that all statements made
`
`herein of my own knowledge are true and that all statements made on information
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`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
`
`fine or imprisonment, or both, under Section 1001 of Title l8 of the United States
`
`Code.
`
`Dated: “[14 2'3 (-3
`
`Signed:
`
`Petitioner RPX Corp. — EX. 1003
`
`

`
`Declaration of Michael Fratto Regarding U.S. Patent No. 7,490,151
`
`I.
`
`II.
`
`TABLE OF CONTENTS
`INTRODUCTION .................................................................................................. 1
`A.
`Engagement .......................................................................................... 1
`B.
`Background and Qualifications ......................................................... 1
`C. Compensation and Prior Testimony .................................................. 4
`D.
`Information Considered ..................................................................... 5
`LEGAL STANDARDS FOR PATENTABILITY ................................................. 6
`A. Anticipation .......................................................................................... 7
`B. Obviousness .......................................................................................... 8
`III. THE ’151 PATENT ............................................................................................ 14
`A.
`Effective Filing Date of the ’151 Patent ...........................................14
`B.
`Prosecution History of The ’151 Patent ..........................................16
`C.
`The Person of Ordinary Skill in the Art .........................................18
`D. Overview of the Claims of the ’151 Patent .....................................18
`E.
`Description of the Background Technology Relevant to the ’151
`Patent ..................................................................................................19
`1.
`The Open Internet .....................................................................19
`2.
`Domain Names and the Domain Name System (DNS) ............21
`a) The DNS System ................................................................. 21
`b) Domain Names and URIs .................................................... 24
`c) Domain Name Resolution .................................................... 26
`Encryption, Tunnels, and Data Security ...................................32
`a) Encryption ............................................................................ 32
`b) Authentication ...................................................................... 34
`c) IPSec – RFC 2401 ................................................................ 38
`d) Tunneling ............................................................................. 39
`VPNs .........................................................................................43
`
`3.
`
`4.
`
`IV. General Issues Related to My Patentability Analysis .......................... 48
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`Declaration of Michael Fratto Regarding U.S. Patent No. 7,490,151
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`A.
`B.
`
`C.
`
`The Claims of the ’151 Patent I Am Addressing in this Report ...48
`Interpretation of Certain Claim Terms ..........................................54
`1.
`Domain Name ...........................................................................55
`2.
`Domain Name Server ................................................................55
`3.
`Domain Name Server (DNS) Proxy Module ............................58
`4.
`Secure Server ............................................................................61
`Prior Art References .........................................................................62
`1.
`Exhibit 1007 – Aventail Connect v3.01/2.51 Administrator’s
`Guide (“Aventail”) ....................................................................62
`Exhibit 1008 - BinGO! User’s Guide incorporating by reference
`BinGO! Extended Feature Reference (collectively, “BinGO”).
` ...................................................................................................63
`Request for Comment (RFC) Publications ...............................65
`Exhibit 1014 – Reed et al., IEEE J. Sel. Areas Comm., 16(4):
`482-494 (May 1998) (“Reed I”) ...............................................68
`Exhibit 1015 - Reed et al., “Proxies for Anonymous Routing,”
`12th Annual Computer Security Applications Conference, San
`Diego, CA (December 9-13, 1996) (“Reed II”)........................69
`Exhibit 1022 – Aventail Connect v3.1/2.6 Administrator’s
`Guide (“Aventail Connect v3.1”) .............................................71
`Exhibit 1021 – Aventail AutoSOCKS v2.1 Administrator’s
`Guide (“Aventail AutoSOCKS”) ..............................................72
`Exhibit 1024 – Ferguson, P. and Huston, G., “What Is a VPN”,
`The Internet Protocol Journal, Vol 1., No. 2 (Sept. 1998)
`(“Ferguson”) ..............................................................................72
`
`2.
`
`3.
`4.
`
`5.
`
`6.
`
`7.
`
`8.
`
`V.
`
`
`
`Patentability Analysis of Claims 1-16 of the ’151 Patent ................... 73
`A. Aventail Connect v3.01/2.5 Administrator’s Guide .......................73
`1.
`Overview of Aventail ................................................................73
`2.
`Comparison of Claims 1-16 of the ’151 Patent to Aventail ...117
`a) Claim 1 ............................................................................... 117
`b) Claim 2 ............................................................................... 122
`c) Claim 3 ............................................................................... 124
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`Declaration of Michael Fratto Regarding U.S. Patent No. 7,490,151
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`B.
`
`d) Claim 4 ............................................................................... 128
`e) Claim 5 ............................................................................... 128
`f) Claim 6 ............................................................................... 139
`g) Claim 7 ............................................................................... 141
`h) Claim 8 ............................................................................... 147
`i) Claim 9 ............................................................................... 149
`j) Claim 10 ............................................................................. 151
`k) Claim 11 ............................................................................. 152
`l) Claim 12 ............................................................................. 155
`m) Claim 13 ............................................................................. 156
`n) Claim 14 ............................................................................. 161
`o) Claim 15 ............................................................................. 163
`p) Claim 16 ............................................................................. 167
`BinGO! User Guide Incorporating By Reference the BinGO! ...167
`1.
`Overview of BinGO ................................................................167
`2.
`BinGO Anticipates and/or Renders Obvious Claims 1-16 of the
`’151 Patent ..............................................................................205
`a) Claim 1 ............................................................................... 205
`b) Claim 2 ............................................................................... 208
`c) Claim 3 ............................................................................... 209
`d) Claim 4 ............................................................................... 209
`e) Claim 5 ............................................................................... 210
`f) Claim 6 ............................................................................... 212
`g) Claim 7 ............................................................................... 213
`h) Claim 8 ............................................................................... 216
`i) Claim 9 ............................................................................... 217
`j) Claim 10 ............................................................................. 217
`k) Claim 11 ............................................................................. 218
`l) Claim 12 ............................................................................. 220
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`Declaration of Michael Fratto Regarding U.S. Patent No. 7,490,151
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`m) Claim 13 ............................................................................. 221
`n) Claim 14 ............................................................................. 224
`o) Claim 15 ............................................................................. 225
`p) Claim 16 ............................................................................. 225
`C. U.S. Patent No. 6,496,867 to Beser .................................................226
`1.
`Overview of Beser ..................................................................226
`2.
`Overview of RFC 2401 ...........................................................253
`3.
`Overview of Hoke ...................................................................267
`4.
`Overview of Blum ...................................................................275
`5.
`Beser Anticipates and/or Renders Obvious Claims 1-16 of the
`’151 Patent ..............................................................................279
`a) Claim 1 ............................................................................... 279
`b) Claim 2 ............................................................................... 286
`c) Claim 3 ............................................................................... 287
`d) Claim 4 ............................................................................... 288
`e) Claim 5 ............................................................................... 289
`f) Claim 6 ............................................................................... 290
`g) Claim 7 ............................................................................... 291
`h) Claim 8 ............................................................................... 296
`i) Claim 9 ............................................................................... 297
`j) Claim 10 ............................................................................. 298
`k) Claim 11 ............................................................................. 299
`l) Claim 12 ............................................................................. 301
`m) Claim 13 ............................................................................. 302
`n) Claim 14 ............................................................................. 307
`o) Claim 15 ............................................................................. 308
`p) Claim 16 ............................................................................. 309
`D. Kiuchi et al., “C-HTTP - The Development of a Secure, Closed
`HTTP-based Network on the Internet” ........................................310
`1.
`Overview of Kiuchi .................................................................310
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`Declaration of Michael Fratto Regarding U.S. Patent No. 7,490,151
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`2.
`
`3.
`
`Kiuchi Anticipates Claims 1-4, 7-10, and 13-16 of the ’151
`Patent .......................................................................................321
`a) Claim 1 ............................................................................... 321
`b) Claim 7 ............................................................................... 327
`c) Claim 13 ............................................................................. 329
`d) Claim 2 ............................................................................... 330
`e) Claim 3 ............................................................................... 331
`f) Claim 4 ............................................................................... 332
`g) Claim 8 ............................................................................... 332
`h) Claim 9 ............................................................................... 334
`i) Claim 10 ............................................................................. 334
`j) Claim 14 ............................................................................. 335
`k) Claim 15 ............................................................................. 336
`l) Claim 16 ............................................................................. 336
`Kiuchi Renders Obvious Claims 1-4, 7-10, and 13-16 of the
`’151 Patent ..............................................................................337
`
`VI.
`
`CONCLUSION ...................................................................................................340
`
`TABLE OF APPENDICES
`
`Appendix A:
`
`List of Materials Considered
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`
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`Declaration of Micheal Fratto Regarding U.S. Patent No. 7,490,151
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`I.
`
`INTRODUCTION
`A. Engagement
`I have been retained by counsel for RPX Corporation as an expert
`1.
`
`witness in the above-captioned proceeding. I have been asked to provide my
`
`opinion about the state of the art of the technology described in U.S. Patent No.
`
`7,490,151 (“the ’151 patent”) and on the patentability of claims 1-16 of the ’151
`
`patent, which I do in this report. I previously submitted a written report in an inter
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`partes review of the ’151 patent on behalf of Apple Inc. The case number of that
`
`proceeding is IPR2013-00354. Sections I.B through V below are substantively
`
`identical to the corresponding sections of my report in that proceeding. Section VI
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`below contains my opinions relating to an additional prior art reference as applied
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`to claims 1-4, 7-10, and 13-16 of the ’151 patent.
`
`Background and Qualifications
`
`B.
`2. My Curriculum Vitae is submitted herewith as Exhibit 1007.
`
`3.
`
`I received a Bachelor’s of Science Degree from Syracuse University
`
`in 2001 information Science and Technology.
`
`4.
`
`I began working in the field of computer science in 1987. Between
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`1987 and 1992, I was a consultant where I wrote software that would connect
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`remote offices and collect/process data for input into other programs.
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`5.
`
`Between 1994 and 1997, I was a freelance editor for Network
`
`Computing, where I covered remote access and telecommunications products and
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`
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`Declaration of Michael Fratto Regarding U.S. Patent No. 7,490,151
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`technologies. I held this position while earning my B.S. information Science and
`
`Technology from Syracuse University.
`
`6.
`
`Between June 1997 and June of 2004, I was a permanent employee of
`
`Network Computing, starting as an Associate Technology Editor and rising to
`
`Senior Technology Editor. In these capacities, I focused on network security
`
`solutions and products, which was a rapidly evolving field at that time. I have
`
`subsequently held a number of other positions with Network Computing, as well as
`
`affiliated publications. For example, from July 2004 to April 2006, I served as
`
`Editor of Secure Enterprise Magazine – which focused on security solutions
`
`specific to enterprise systems. After April 2006, I returned to Network Computing,
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`where I served in a progression of senior positions, ultimately serving as Editor of
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`Network Computing between August 2009 and October of 2012.
`
`7.
`
`I am presently a Senior Analyst with Current Analysis. In this respect
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`I manage the Enterprise Networking practice within the business and technology
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`and software group. I also provide competitive analysis on trends and changes in
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`the enterprise networking markets as well as consult with network equipment
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`vendors on product messaging, marketing, and outreach.
`
`8.
`
`I presently serve as an adjunct faculty member of School of
`
`Information Studies at Syracuse University.
`
`
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`9.
`
`I have been studying, evaluating, testing and describing networking,
`
`networking security and related technologies for more than 15 years. Since well
`
`before 1999, I have had an extensive background and experience in network
`
`systems, software and related technologies, with a particular focus on network
`
`security.
`
`10.
`
`I also have extensive hands-on experience with wide range of
`
`networking and networking security products developed and sold in the 1993 to
`
`2002 time frame. This came from my various positions with Network Computing,
`
`where I reviewed, tested and described these products in a technical publication
`
`devoted to this field. I also wrote articles about network infrastructure, data center,
`
`and network access control items that were published by Network Computing. I
`
`also am very familiar with Internet standards governing networking and security,
`
`which I discuss below.
`
`11. A substantial amount of my extensive experience with networking and
`
`security systems used in the late 1990s came from my work in reviewing these
`
`products for Network Computing. When I performed a typical review of a new
`
`product, I would first define a “problem set” the product was designed to address.
`
`I would interview IT administrators and executives and speak with the developers
`
`of the product. I also would study the standards relevant to the product or its
`
`implementation, and would evaluate the technical documentation accompanying
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`
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`Declaration of Michael Fratto Regarding U.S. Patent No. 7,490,151
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`the product. I would then create a set of comparative measures to assess the ability
`
`of the product to execute. I would then test the product under a variety of
`
`situations designed to evaluate these comparative measures. To do this, I would
`
`set up a test network, verify its operation, conduct the tests, and ensure the results
`
`were accurate. I would also often compare the product to other products in the
`
`same class or category.
`
`12.
`
`In the 1997 to 2000 time frame, I was particularly focused on remote
`
`access products including modems, ISDN, and virtual private networking products,
`
`technologies, and standards as well as network and host-based firewalls.
`
`13.
`
`I am the author of several books and publications devoted to secure
`
`networking technologies. I also have taught a number of courses on systems and
`
`technologies used in networking security, particularly focused on Internet security
`
`solutions. These books and courses are listed on my C.V. (Ex. 1004).
`
`C. Compensation and Prior Testimony
`I am being compensated at a rate of $250 per hour for my study and
`14.
`
`testimony in this matter. I am also being reimbursed for reasonable and customary
`
`expenses associated with my work and testimony in this investigation. My
`
`compensation is not contingent on the outcome of this matter or the specifics of my
`
`testimony.
`
`15.
`
`I have never testified in Federal District Court.
`
`
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`16.
`
`I have provided declarations that were submitted inter partes
`
`reexamination proceedings involving the ’151 patent and other patents owned by
`
`Patent Owner. These proceedings include Control No. 95/001,682, 95/001,679 and
`
`95/001,269, as well as Inter Partes Review Nos. IPR2013-00348, IPR2013-00349,
`
`IPR2013-00354, IPR2013-00393, IPR2013-00394, IPR2013-00397, and IPR2013-
`
`00398.
`
`Information Considered
`
`D.
`17. My opinions are based on my years of education, research and
`
`experience, as well as my investigation and study of relevant materials. In forming
`
`my opinions, I have considered the materials I identify in this report and those
`
`listed in Appendix A.
`
`18.
`
`I may rely upon these materials and/or additional materials to respond
`
`to arguments raised by the Patent Owner. I may also consider additional
`
`documents and information in forming any necessary opinions — including
`
`documents that may not yet have been provided to me.
`
`19. My analysis of the materials produced in this investigation is ongoing
`
`and I will continue to review any new material as it is provided. This report
`
`represents only those opinions I have formed to date. I reserve the right to revise,
`
`supplement, and/or amend my opinions stated herein based on new information
`
`and on my continuing analysis of the materials already provided.
`
`
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`Declaration of Michael Fratto Regarding U.S. Patent No. 7,490,151
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`II. LEGAL STANDARDS FOR PATENTABILITY
`In expressing my opinions and considering the subject matter of the
`20.
`
`claims of the ’151 patent, I am relying upon certain basic legal principles that
`
`counsel has explained to me.
`
`21. First, I understand that for an invention claimed in a patent to be
`
`found patentable, it must be, among other things, new and not obvious from what
`
`was known before the invention was made.
`
`22.
`
`I understand the information that is used to evaluate whether an
`
`invention is new and not obvious is generally referred to as “prior art” and
`
`generally includes patents and printed publications (e.g., books, journal
`
`publications, articles on websites, product manuals, etc.).
`
`23.
`
`I understand in this proceeding RPX has the burden of proving the
`
`’151 patent is anticipated by or obvious from the prior art by a preponderance of
`
`the evidence. I understand that “a preponderance of the evidence” is evidence
`
`sufficient to show that a fact is more likely true than it is not.
`
`24.
`
`I understand that in this proceeding, the claims must be given their
`
`broadest reasonable interpretation consistent with the specification. The claims
`
`after being construed in this manner are then to be compared to the information in
`
`the prior art.
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`25.
`
`I understand that in this proceeding, the information that may be
`
`evaluated is limited to patents and printed publications. My analysis below
`
`compares the claims to patents and printed publications that are prior art to the
`
`claims.
`
`26.
`
`I understand that there are two ways in which prior art may render a
`
`patent claim unpatentable. First, the prior art can be shown to “anticipate” the
`
`claim. Second, the prior art can be shown to have made the claim “obvious” to a
`
`person of ordinary skill in the art. My understanding of the two legal standards is
`
`set forth below.
`
`A. Anticipation
`I understand that the following standards govern the determination of
`27.
`
`whether a patent claim is “anticipated” by the prior art.
`
`28.
`
`I have applied these standards in my evaluation of whether claims 1-
`
`16 of the ’151 patent would have been anticipated by the prior art.
`
`29.
`
`I understand that the “prior art” includes patents and printed
`
`publications that existed before the earliest filing date (the “effective filing date”)
`
`of the claim in the patent. I also understand that a patent will be prior art if it was
`
`filed before the effective filing date of the claimed invention, while a printed
`
`publication will be prior art if it was publicly available before that date.
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`30.
`
`I understand that, for a patent claim to be “anticipated” by the prior
`
`art, each and every requirement of the claim must be found, expressly or
`
`inherently, in a single prior art reference as recited in the claim. I understand that
`
`claim limitations that are not expressly described in a prior art reference may still
`
`be there if they are “inherent” to the thing or process being described in the prior
`
`art. For example, an indication that a prior art reference that a particular process
`
`complies with a published standard would indicate that the process must inherently
`
`perform certain steps or use certain data structures that are necessary to comply
`
`with the published standard.
`
`31.
`
`I understand that it is acceptable to consider evidence other the
`
`information in a particular prior art document to determine if a feature is
`
`necessarily present in or inherently described by that reference.
`
`B. Obviousness
`I understand that a claimed invention is not patentable if it would have
`32.
`
`been obvious to a person of ordinary skill in the field of the invention at the time
`
`the invention was made.
`
`33.
`
`I understand that the obviousness standard is defined in the patent
`
`statute (35 U.S.C. § 103(a)) as follows:
`
`A patent may not be obtained though the invention is not identically
`disclosed or described as set forth in section 102 of this title, if the
`differences between the subject matter sought to be patented and the
`
`
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`prior art are such that the subject matter as a whole would have been
`obvious at the time the invention was made to a person having
`ordinary skill in the art to which said subject matter pertains.
`Patentability shall not be negatived by the manner in which the
`invention was made.
`
`34.
`
`I understand that the following standards govern the determination of
`
`whether a claim in a patent is obvious. I have applied these standards in my
`
`evaluation of whether claims 1-16 of the ’151 patent would have been considered
`
`obvious In February of 2000.
`
`35.
`
`I understand that to find a claim in a patent obvious, one must make
`
`certain findings regarding the claimed invention and the prior art. Specifically, I
`
`understand that the obviousness question requires consideration of four factors
`
`(although not necessarily in the following order):
`
`• The scope and content of the prior art;
`• The differences between the prior art and the claims at issue;
`• The knowledge of a person of ordinary skill in the pertinent art; and
`• Whatever objective factors indicating obviousness or non-obviousness
`may be present in any particular case.
` In addition, I understand that the obviousness inquiry should not be
`
`36.
`
`done in hindsight, but must be done using the perspective of a person of ordinary
`
`skill in the relevant art as of the effective filing date of the patent claim.
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`37.
`
`I understand the objective factors indicating obviousness or non-
`
`obviousness may include: commercial success of products covered by the patent
`
`claims; a long-felt need for the invention; failed attempts by others to make the
`
`invention; copying of the invention by others in the field; unexpected results
`
`achieved by the invention; praise of the invention by the infringer or others in the
`
`field; the taking of licenses under the patent by others; expressions of surprise by
`
`experts and those skilled in the art at the making of the invention; and the patentee
`
`proceeded contrary to the accepted wisdom of the prior art.
`
`38.
`
`I understand the combination of familiar elements according to known
`
`methods is likely to be obvious when it does no more than yield predictable results.
`
`I also understand that an example of a solution in one field of endeavor may make
`
`that solution obvious in another related field. I also understand that market
`
`demands or design considerations may prompt variations of a prior art system or
`
`process, either in the same field or a different one, and that these variations will
`
`ordinarily be considered obvious variations of what has been described in the prior
`
`art.
`
`39.
`
`I also understand that if a person of ordinary skill can implement a
`
`predictable variation, that variation would have been considered obvious. I
`
`understand that for similar reasons, if a technique has been used to improve one
`
`device, and a person of ordinary skill in the art would recognize that it would
`
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`improve similar devices in the same way, using that technique to improve the other
`
`device would have been obvious unless its actual application yields unexpected
`
`results or challenges in implementation.
`
`40.
`
`I understand that the obviousness analysis need not seek out precise
`
`teachings directed to the specific subject matter of the challenged claim, but
`
`instead can take account of the “ordinary innovation” and experimentation that
`
`does no more than yield predictable results, which are inferences and creative steps
`
`that a person of ordinary skill in the art would employ.
`
`41.
`
`I understand that sometimes it will be necessary to look to interrelated
`
`teachings of multiple patents; the effects of demands known to the design
`
`community or present in the marketplace; and the background knowledge
`
`possessed by a person having ordinary skill in the art. I understand that all these
`
`issues may be considered to determine whether there was an apparent reason to
`
`combine the known elements in the fashion claimed by the patent at issue.
`
`42.
`
`I understand that the obviousness analysis cannot be confined by a
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`formalistic conception of the words “teaching, suggestion, and motivation.” I
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`understand that in 2007, the Supreme Court issued its decision in KSR Int'l Co. v.
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`Teleflex, Inc. where the Court rejected the previous requirement of a “teaching,
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`suggestion, or motivation to combine” known elements of prior art for purposes of
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`an obviousness analysis as a precondition for finding obviousness. It is my
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`Declaration of Michael Fratto Regarding U.S. Patent No. 7,490,151
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`understanding that KSR confirms that any motivation that would have been known
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`to a person of skill in the art, including common sense, or derived from the nature
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`of the problem to be solved, is sufficient to explain why references would have
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`been combined.
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`43.
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`I understand that a person of ordinary skill attempting to solve a
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`problem will not be led only to those elements of prior art designed to solve the
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`same problem. I understand that under the KSR standard, steps suggested by
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`common sense are important and should be considered. Common sense teaches
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`that familiar items may have obvious uses beyond the particular application being
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`described in a reference, that if something can be done once it is obvious to do it
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`multiple times, and in many cases a person of ordinary skill will be able to fit the
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`teachings of multiple patents together like pieces of a puzzle. As such, the prior art
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`considered can be directed to any need or problem known in the field of endeavor
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`In February of 2000 and can provide a reason for combining the elements of the
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`prior art in the manner claimed. In other words, the prior art does not need to be
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`directed towards solving the same problem that is addressed in the patent. Further,
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`the individual prior art references themselves need not all be directed towards
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`solving the same problem.
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`44.
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`I understand that an invention that might be considered an obvious
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`variation or modification of the prior art may be considered non-obvious if one or
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`Declaration of Michael Fratto Regarding U.S. Patent No. 7,490,151
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`more prior art r