RPX Exhibit 1001
`RPX v. AIT
`
`

`
`US 7,356,482 B2
`Page 2
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`US. PATENT DOCUMENTS
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`5.l21.fi22 A
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`U.S. Patent
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`Apr. 3, 2008
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`U.S. Patent
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`Apr. 3, 2008
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`Sheet 2 of 13
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`US 7,356,482 B2
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`IA IDENTIFIES ONE OR MORE
`
`RELEVANT CHANGES ON A NETWORK.
`USING F’RE—DEFINED RULES
`
`CHANGE DATA,
`CONFIGURATION RECOMMENDATIONS
`
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`

`
`US. Patent
`
`Apr. 8, 2008
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`Sheet 3 of 13
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`US 7,356,482 B2
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`SIS WURKLIST
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`validates
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`Eausad as an item
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`SIS MODULE
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`54
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`Apr. 3, zoos
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`US. Patent
`
`Apr. 3, 2008
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`Sheet 8 of 13
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`US 7,356,482 B2
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`Change Agent Management Unit Main Menu
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`Apr. 3, 2008
`
`Sheet 9 of 13
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`US 7,356,482 B2
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`El Wnrlllist
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`Business Area;
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`Hazardous Materials and Waste
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`
`

`
`U.S. Patent
`
`Apr. a, zone
`
`Sheet 10 of 13
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`US 7,356,482 B2
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`CI Data Entry Form - Air Emission Amount DIE
`Manor-2
`Material Or Chemical Volatile Oranic Comounds
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`
`U.S. Patent
`
`Apr. 3, 2008
`
`Sheet 11 or 13
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`US 7,356,482 B2
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`13 Report printing
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`

`
`U.S. Patent
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`Apr. 3, 2008
`
`Sheet 12 of 13
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`US 7,356,482 B2
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`
`US. Patent
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`Apr. 3, 2003
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`Sheet 13 of 13
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`US 7,356,482 B2
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`
`US 7,356,432 B2
`
`1
`INTEGRATED (TIIANGE MANAGEMENT
`UNIT
`
`FIELD OF THE INVENTION
`
`This invention relates to the integrated management of
`information alfected by regulatory changes. such as changes
`in etivirontnental. health and safety laws. and non-regulatory
`changes.
`
`BACKGROUND OF THE INVENTION
`
`Control of industrial and commercial activities by means
`of federal, state and local laws. statutes. ordinances and
`regulations (“regulations“ herein) is endemic in the United
`States. Examples of activities that are regulated by such
`regulations
`include:
`environmental health and safety
`(“EH&S": Titles it’, 10. 29, 30, 40, 42 and 49 of the Code of
`Federal Regulations and related state and local codes):
`administrative procedures applicable to government person-
`nel (Title 5]: agricultural activities [Titles 7 and 9): creation.
`use. treatment and disposal of nuclear materials (Title 10}:
`conversion and distribution of usable fomts ofenergy. power
`and water (Titles II} and 18): banking, financial and secu-
`rities activities and foreign trade Titles 12, 15, 16. 19 and
`22]: space and aeronautical activities (Title 14}: commercial
`trade practices (Title 16]; food, drugs. cosmetics, medical
`treatments and devices (“l'-‘DCM'1‘D": Title 21}; transporta-
`tion of persons and cargo [Titles 23 and 49): housing and
`urban development (Title 24): firearms production and trade
`[Title 27}: workers compensation (Title 29):
`tnitting and
`related activities [Title 30); national defense activities (Titles
`15 and 32): navigation and navigable waters (Title 33):
`education (Title 34); activities in and on parks, forests,
`public lands and other public property (Titles 36 and 43);
`intellectual property activities (Title 37); veterans‘ pensions
`and relief (Title 33): postal service activities (Title 39);
`public contracts and public property management (Titles 41
`and 48): public health [Title 42); emergency management
`and assistance [Title (44); grant of public welfare and
`assistance (Title 45): telecommunications {Title 4?); and
`wildlife and fisheries activities (Title 50). Some of the most
`pervasive regulations concern EH&S and F DCMTD activi-
`I195.
`Generation and use of hazardous substances in the United
`
`.
`
`2
`At the federal level. special purpose hazardous substance
`laws and regulations. focusing on a particular harardotis
`substance or narrow class of such materials. have been
`applied for more than a century. In 1866. a federal law
`regulating transportation and storage of explosive and flam-
`mable materials was promulgated. This was followed in
`1899. 1910, 1938. 1944 and l94T by passage of the Refuse
`Act. the first Insecticide Act, the Food. Drug and Cosmetic
`Act.
`the Safe Drinking Water Act. and the Insecticide.
`liungicide and Rodenticidc Act, respectively. ln 1955 and
`1966. the Clean Air Act and the Federal Hazardous Suh-
`stanees Act appeared. respectively. Since 1969, the pace of
`introduction of new laws regulating hazardous substances
`has increased. and approximately 15 new major federal laws
`and volutninous regulations have been introduced in this
`area. These laws often have overlapping jurisdiction and are
`not always consistent with one another. Several states, such
`as California, have passed their own hazardous substance
`laws before the corresponding federal hazardous substance
`laws were adopted. These laws still apply in those states and
`in many cases supersede their Federal counterparts. These
`laws statutes. ordinances. regulations and related constraints
`are constantly changing and require corresponding changes
`in data entry, data analysis and presentation of the results.
`The Safe Drinking Water Act
`(“SDWA“), originally
`passed in 1944 and amended several times since then. covers
`all drinking water supplies in all states. Primary standards.
`to prevent adverse effects on human health. and secondary
`standards and covering certain aesthetic effects such as odor
`and turbidity of processed drinking water. are set down in
`tenns of maximum pemtissible concentrations of specified
`contaminants in water delivered to any public drinking water
`system. Front a regulatory standpoint. SDWA falls tmder the
`broader mandate of the Clean Water Act (“CWA"), whose
`_' ultimate goal is maintenance of the “chemical. physical. and
`biological integrity of the nation‘s waters.”
`CWA. with its most recent amendment. llte Water Quality
`Act [“WQA“) of 1987, establishes mandatory effluent limi-
`tation guidelines for all facilities which discharge waste into
`. water bodies. or allow waste to enter and potentially con-
`taminate subsurfaee water sources. like aquifers. CWA cre-
`ated the National Pollutant Discharge liliniination System
`(“NPDES”)
`to regulate eflluents,
`influents
`(waterborne
`wastes received by a treatment facility) and sludge. The
`. primary enforcement mechanism of NPDES is the NPDES
`permit. CWA directs control authorities at the federal and
`state level
`to administer and enforce permit compliance.
`NPIJES permits inclttde terms and conditions ranging from
`required monitoring of point source discharges to the imple-
`mentation of control technologies to minimize outfall.
`The Clean Air Act (“CAA“). passed in 1955 and amended
`several times since that time (most recently, in 1990}, covers
`emission of pollutants into the ambient air and atmosphere.
`This may include hazardous wastes that are liquid or gas-
`eous when discharge occurs. National Ambient Air Quality
`Standards [“NAAQSs") are set forth for seven chemicals or
`chemical groups: S0,. C0. NO_,. 0,. Pb. hydrocarbons and
`total suspended particulates. Additionally. emission stan-
`dards are set forth for asbestos. beryllium. mercury and vinyl
`chloride. Primary Standards are set forth to protect human
`health. and Secondary Standards are set to protect or limit
`damage to other entities. such as flora. fauna and personal
`and real property. The federal government in effect delegates
`responsibility to achieve these standards to the individual
`_' states. which are required to present and implement State
`Implementation Plans to achieve the target air quality stan-
`dards in various identified air basins in the states.
`
`States has grown steadily in the last 53 years and is now
`estimated to be over 300 million metric tons per year.
`According to one definition, a “hazardous substance" is any
`substance or mixture of substances that may cause substan-
`tial personal
`injury or substantial
`illness during or as a _
`proximate result of any customary or reasonably foreseeable
`handling or use. including reasonably foreseeable ingestion
`by children. if the substance: (1) is a toxic agent or repro-
`ductive toxin: (2) is corrosive: (3) is an irritant: (4) is a
`strong sensiti7.er, (5) is tlanimable, combustible or explo-
`sive: [6] is pyrophoric; (7) is a carcinogen. hepatotoxin.
`nephrotoxin or nettrotoxin: (S) is an agent that acts on the
`hematopoietic system; (9) is an agent
`that damages the
`lungs, skin, eyes or mucous membranes; (10) is a coin-
`pressed gas: (1 1) is an organic peroxide; (12) is an oxidizer:
`(13) is unstable. reactive or water—reactive; (14) generates
`pressure through decornposition. heat or other means: (15) is
`sufficiently radioactive to require labeling as such. (16) is a
`toy or other article intended for use by cltildren and presents
`an electrical. mechanical or thermal
`ltazand: or (1?)
`is
`specially listed as a hazardous substance by a state or federal
`agency having jurisdiction over such substances.
`
`..'
`
`

`
`US ?,356,432 B2
`
`3
`The primary enforcement tnechanism ofCAA is the CAA
`permit. Permits covering emission source construction.
`modification. and operation follow the NPDES scheme,
`adopting strict measures for controiling and reducing emis-
`sions of airborne waste at the source. CAA permits include _
`terms and conditions ranging from the application oi'abate-
`tnent devices and other control technologies for emission
`reduction.
`to required monitoring at all source emission
`point sources and non-point sources (i.e.. fugitive emission
`locations). l-‘emtits based on economic incentive strategies.
`such as marketable emission allowances. were added to the
`federal regulatory program maze under the 1990 amend-
`ments. Although these additions were intended to stimulate
`compliance via market—based vehicles (like emission allow-
`ance futures trading). these permits have not. as yet, been
`broadly implemented.
`The Toxic Substances Control Act (“TSC'A"}. originally
`passed in 1965, together with the Federal Hazardous Sub-
`stances Act
`(“l'-‘I-ISA“) passed in [966 and the Resource
`Recovery .Act (“RRA“) passed in 1970. were the initial
`federal laws goveming generation and handling of toxic and
`other hazardous substances. Most provisions ofthe RRA and
`the FHSA have been incorporated in the Resource Conser-
`vation and Recovery Act. discussed below. Under TSCA. the
`Bnviromnental Protection Agency (“l3.P.A.“) reviews any
`chemical substance that is or will be produced in suliicient
`quantity that it may cause significant acute or chronic human
`exposure. Testing is performed with respect to human health
`arid the environment and focuses panicularly on possible
`risk of serious harm to humans from (1) cancer. (2) genetic
`mutations and (3) birth defects. If the EPA finds that the risk
`to human health or to tile environment is sulliciently great.
`the IEPA may: (1) limit the amount of the chemical to be
`manufactured or used; (2) prohibit a particular use:
`(3)
`require placement of warning labels on all containers of the
`chemical: (4) require placement of public notices of use: and
`(5) regulate commercial use andrnr disposal of the chemical.
`Any person. including a cotnpany. that manufactures or
`imports more l.l1an 10.000 potuids or more of a chemical
`named on an E.P.A. Chcmical Substances Inventory List is
`subject to the reporting requirements under 'l‘S(.".?\. Tltesc
`reporting requirements include: (1) updating ofa list of all
`chemicals present on a site, at four-year intervals or more
`frequently: (2) submission (to the ERA.) of a Pre-manu-
`facture Notice and relevant test data for any new chemical.
`at
`least 90 days before manufacturing or importing the
`chemical; (3) submission ofa Notice Oflntent To lntport or
`To Export a listed chemical. within seven days after entering
`into a contract
`to itnport or export
`the chemical. if the
`chemical is known to be ntutagenic. teratogenic or carcino-
`genic or is known to cause chronic health or environmental
`problems;
`(4) reporting of a significant new use for a
`chemical already on the F-..P.A. list: (5) reporting of known
`significant adverse reactions caused by handling or dis-
`charge of any chemical used by the reporting entity; (6)
`submission of arty unpublished health andfor safety studies
`on certain chemicals used by the reporting entity: (7) noti-
`fication of any substantial risk of injury to human health or
`the environment, due within 15 days after the reporting
`entity first receives information on the risk: (8) submission
`of information on production of. use of and exposure to
`certain chemicals to an lntcragency Testing Committee for
`analysis by the Cotrunittee:
`(9) submission of specified
`comprehensive information on a lixed fomtat
`reporting
`form: (10) submission of results of tests. if any. performed
`by
`the
`reporting entity on certain hcpta-ltalogenated
`dibenzo—p—dioxins and dibenzofurans. within 90 days after a
`
`_
`
`.5
`
`.
`
`4
`test, if a positive result is obtained: and (1 I) submission of
`a Notification of PC B Activity form by any storer, traits-
`porter or disposer of polychlorinated biphcnyl
`(“P(IB“)
`waste. TSCAa|so sets forth certain requirements for labeling
`of_. disposal ofand recordkeeping for certain chemicals, such
`as PCBS.
`(“OSHA”),
`The Occupational Safety and Health Act
`passed in 1970, Covers the conditions under which employ-
`ees work. The regulations issued under OSHA make this Act
`among the most detailed of all workplace laws. The relevant
`pans of OSHA prescribe standards for tlte protection and
`welfare of employees exposed to workplace hazards. An
`employer must establish a written hazard communication
`plan to advise its employees of hazards associated with
`chemicals the ctuployees handle. and incorporate into this
`plan the use of container labels. warning signs. Material
`Safety Data Sheets (“MSl)Ss“) and training programs. The
`centerpiece of the OSHA Hazard Communication Standard
`is the MSDS. required for each hazardous substance manti-
`factured or used on the site. The MSDS includes all relevant
`information pertaining to a hazardous substance, front its
`ingredients to physical properties. health hazards. exposure
`limits. storage incompatibilities, safe handling and use pre-
`cautions and much more. An employer must report. within
`_‘ 48 hours. any incident
`that
`results in a
`fatality, or in
`hospitalization of five or more employees. The (JSIIA Log
`and Summary of Occupational lnjuries and Illnesses fonn is
`used to record all work-related injuries and illnesses for each
`calendar year. Many such records must be maintained by the
`employer for the duration of employment of an employee.
`plus 30 years. An employer must develop and implement a
`written emergency plan and make the plan available in the
`workplace, whenever an OSHA standard requires it. An
`employer must also develop and implement a written safety
`_' and health program and a medical surveillance program for
`employees involved in hazardous waste operations. includ-
`ing emergency response procedures.
`The Occupational Health and Safety Administration
`(“O.S.ll./\.") under the Department of Labor (l).0.l..)
`. develops and enforces all OSHA standards. The O.S.H.A.
`primary enforcement activity is the inspection. or audit
`prncedtue. Facilities covered by one or more OS]-IA stan-
`dard are subject to voluntary (routine) inspections. as well as
`non-voluntary inspections based on a warrant to search.
`The Hazardous Materials Transportation Act (“HMTA“).
`passed in 1974. is administered jointly by the Department of
`Transportation (“D.O.T.“). established in l966. and the
`Ii.I-’.A.. established in 1969. The IIMTA sets forth l5 ltamrd
`classes of materials (e.g.. flammable liquids. high explo-
`sives, poisons) plus five classes of “other regulated materi-
`als" and sets forth laws and corresponding regulations on:
`(1) identification,
`listing. labeling and piacarding of these
`hazardous substances: (2) recordkeeping requirements for
`handling these hazardous substances.
`including Unifomt
`Hazardous Material Manifests for shipment of hazardous
`wastes: (3) requirements for generators and transporters of
`hazardous substances and fiir owners and operators of
`specially defined treatment. storage and disposal facilities
`(“TSDFs“) for these hazardous substances; (4) permit and
`pretransport notification requirements and transportation
`routing for all facilities that generate or transport these
`hazardous substances;
`(5) requirements for tracking the
`movement of these hazardous substances: (6) containers to
`be used for transport: (7) incident notification and other
`_' procedures for handling and reporting accidental and inten-
`tional discharges of hazardous substances: and (8) testing
`and standards for operators of transport vehicles for hazard-
`
`

`
`US 7,356,432 B2
`
`5
`otrs substances. I-lazardous wastes and other hazardous sub-
`stances are not distinguished under the l--IMT.-‘-\. A “gene -
`tor" of a hazardous waste is defined simply as “any person
`whose act first causes a hazardous waste to become subject
`to regulation". Transportation modes covered include move— _
`Inent of the hazardous substance by air. rail, water and
`highway. The D.O.T. is authorized to inspect generator and
`transporter facilities. vehicles and records to insure compli-
`once.
`
`The Resource Conservation and Recovery Act ["RCRA”).
`passed in the present form in 19%. was originally pan of the
`Clean Air Act, passed in 1966. The RCRA establishes
`“cradle-to-grave“ responsibility for hazardous solid waste
`handled by a generator. by a TSDF operator. or by a
`hazardous waste transporter or recycler. Under RC RA. a
`solid waste is a “hazardous waste“. if: (1) the waste arises
`from specified manufacturing practices; (2) the waste is one
`of a group of specified wastes: (3) the waste contains any of
`a group of specified chemicals: or (4) the waste has specified
`toxicity. chemical reactivity. ignitability or corrosive char-
`acteristics. l-lousehold wastes are generally exempted from
`RCRA coverage. Generators of more than 1.000 kilograms
`per month of ordinary hazardous wastes or of more than 1
`kgm per month of extremely hazardous waste must operate
`undera RCRA permit covering registratiorr. container label-
`ing. rtxordkceping and other requirements. “Small quantity
`generators". who generate I00-1,000 kgms per month of
`hazardous wastes and no more than 1
`l-tgm per month of
`extremely hazardous wastes. are covered by simpler require-
`ments. Generators of still smaller amounts of the hazardous
`
`wastes or the extremely hazardous wastes are often exempt
`from regulation under RCRA.
`The goals of RCRA include: (1) protecting the health.
`safety and environment of the public; (2) regulating the
`generation. treatment. disposal and storage of hazardous
`wastes: (3) reducing environmental pollution from waste
`disposal: (4) encouraging recycling auditor re-use of hazard-
`ous wastes: and (5) eliminating certain landfill and other
`solid waste disposal practices. A Notification of l lazardous
`Waste Activity must be submitted by a generator. transporter
`or operator of a hazardous waste 'l‘St)t" to apply for an
`li.l-’.A. identification number and for any applicable l'i.l-".A.
`pemtits for on-site treatment, storage or disposal. l-lazardous
`waste generators are required to conduct their own studies to
`determine if a specific hazardous waste can be treated to
`reduce its volume or toxicity. with records of such studies
`being submitted each year to the EPA. and being main-
`tained for three years.
`A Uniform Hazardous Waste Manifest. developed lay the
`l:‘.I’.A. under RCRA and under l-lM'fA_. must be used by _
`persons who transport hazardous waste for ofilsite treat-
`ment. storage or disposal. and a copy of each Manifest must
`be maintained as part ofa iacility's operating record. Own-
`ers or operators of a TSDF who receive hazardous waste
`without a proper Manifest must submit an Unauthorized ..‘
`Waste Report
`to the E.P.A. within 15 days after such an
`incident occurs. Upon closure of a hazardous waste facility.
`records of hazardous waste disposal and the amounts thereof
`must be submitted to the E.P.A. and to local land use control
`authorities.
`A hazardous waste generator must demonstrate that it has
`the financial ability to cover liability claims involving sud-
`den or non-sudden discharges from the facility. An owner or
`operator must monitor and inspect all on-site tanks that treat
`or accumtrlate hazardous waste. A spill or other discharge
`must
`be
`reported to the National Response Center
`(“N.R.C.") within 24 hours alter the incident occurs. and a
`
`6
`detailed report on such incident must be submitted to the
`F-..P.A. within 30 days after the incident. RC RA is enforced
`concurrently with applicable state statutes.
`The Comprehensive Environmental Response. Compen-
`sation and Liability Act (“CERCLA") was passed in l980 in
`response to the discovery of several hazardous waste dis-
`posal sites that would have to be cleaned up at goverrunent
`expense. CF.RCl.A was intended to: ( I) provide a system for
`identifying and cleaning up chemical and hazardous sub-
`stance releases: (2) establish a fund to pay for cleanup of
`release sites. where those responsible cannot or will not pay
`for the cleanup: and (3) enable the federal government to
`collect the costs of cleanup from the responsible parties. The
`federal government set aside $1.8 billion in the first Super-
`fund for hazardous waste site clean-up purposes. C ERC LA
`includes on its hazardous substance list all hazardous wastes
`
`under RCRA. all hazardous air pollutants regulated under
`the CAA. all water pollutants regulated under the CWA. and
`most substances regulated under TSCA.
`ln 1986. the Superfund Amendments and Reauthorization
`Act [“SARA") added another 56.2 billion to the Superfund
`for clean-up purposes SARA also enacted Community-
`Right—to-Know requirements into law. Title III of SARA
`contains the Community Right-to-Know requirements and
`_‘ provides for: (1) Emergency Response Planning; (2) Acci-
`dental Release Notification: (3) Facility Ilazardotrs Sub-
`stance lnventory Reporting; and [4] Facility Toxic Sub-
`stance Release Reporting.
`Sections 301-303 of Title III enacted the requirement for
`Emergency Response Planning. Emergency Response Plan
`ning as enacted by SARA required the creation of corruuit-
`tees at both State (State Emergency Response Corruitittee. or
`S.[i.R.C.) and Local {Local Emergency Planning Commit-
`tee, or L.E.P.C.] levels. Ownerloperators of facilities with
`_' specified hazardous substances on site in quantities in excess
`of specified thresholds are required to prepare and submit
`Emergency Response Plans to the l..F,.P.C. havingjurisdic-
`tion over the facility. Elements of the facility Emergency
`Response Plan include:
`(1)
`identification of l'.imergency
`. Response procedures to be used for action on the site and for
`areas surrounding the site; (2) identification of a facility
`coordinator for implementing the plan: (3) procedures to be
`used during emergencies for notifying authorities and poten-
`tially aliected parties: (4) methodology for detennination
`. when a release has occurred and the probable area and
`population at
`risk; and (5) description of Emergency
`Response assets that are in place as well as the contact point
`for t.l1e Emergency Response assets.
`Section 304 of Title III requires preparation and filing of
`an Accidental Release Notification report whenever an acci-
`dental release ofa specified hazardous substance occurs in
`which (1) the substance crosses the facility boundaries or is
`released in transport on public roads. and (2) the reiease
`amount exceeds specified thresholds. This report must
`address:
`(1) actions taken to contain or respond to the
`release: (2) any known or anticipated acute or chronic health
`risks associated with the release; and (3) advice regarding
`medical attention required for any exposed individuals.
`Section 311 and 312 of Title lll provide for facility
`hazardous substance inventory reporting. Facility hazardous
`substance inventory reporting is required if substances for
`which an MSDS is required under OSI-IA are present in
`quantities in excess of specified thresholds. Facilities subject
`to hazardous substances inventory reporting requirements
`_' must: (I) produce a listing of specified hazardous substances
`present at
`the facility or an MSDS for each specified
`hazardous substance; and (2) an emergency and hazardous
`
`

`
`US 7,356,432 B2
`
`.
`
`7
`One recun'ing problem with any database that frequently
`form. Both reports (listing/”
`chemicals inventory report
`changes is maintenance of the database as current. Where a
`MSDS and inventory report) must be submitted to the
`database depends upon the current regulatory state. as where
`following agencies: (1) L.l£.P.C._: (2) S.E.R.C.: and (3) local
`an EH&S database is being maintained by a conventional
`Fire department.
`Section 313 of Title Ill requires the [i.l-"..?\. to establish an 5 Sppmacll’ mammal repmgrmnnl-mg oflhe database Sofiware
`is required to reflect a constant stream of changes. This
`inventory oftoxic chemical emissions from certain facilities.
`approach is not cost effective and. in effect. mortgages the
`To do so.
`the E.P.A.
`requires owners and operators of
`database maintainefs future.
`facilities that manufacture. itnport. process, or use specified
`What
`is needed is an integrated change ntanagement
`toxic chemicals to report annually their releases of those
`system for a selected area of commercial or industrial
`chemicals to any environntental media. Releases to air.
`activity that: (1) provides one or more databases having all
`water, and land. and releases to off-site locations such as
`relevant available information.
`including knowledge of
`publicly owned treatment works or hazardous waste disposal
`regulatory and non-regulatory information and changes.
`sites. must be estimated and reported under Section 313.
`used in connection with the activity: (2) facilitates sharing of
`Both routine and accidental
`releases must be reported.
`this
`information between databases;
`(3) generates and
`Facilities must report even if their releases comply with all
`archives records of software systetn versions used for data
`enviromuental laws and permits.
`entry. reporting. processing. analysis and results presenta-
`The Pollution Prevention Act (“PPA“). passed in 1990.
`tion. and changes to these versions: (4) generates all do-cu-
`requires harardotts waste generators and other similar facili-
`ments and reports required for compliance under applicable
`ties that manufacture, import, process or otherwise use listed
`regulations. laws and statutes: (5) provides screen images.
`toxic chemicals to annually report releases of