Case IPR2015-01892
`U.S. Patent No. 8,677,494
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`SYMANTEC CORP.
`Petitioner
`
`v.
`
`FINJAN, INC.
`Patent Owner
`
`Case: IPR2015-01892
`U.S. Patent No. 8,677,494
`
`DECLARATION OF RICHARD FORD, D.PHIL
`
`Symantec 1038
`IPR2015-01892
`Symantec v. Finjan
`
`Palo Alto Networks, Inc. - Exhibit 1096 - Page 1
`Palo Alto Networks, Inc. v. Finjan, Inc., IPR2016-00159
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`
`U.S. Patent No. 8,677,494
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`SYMANTEC CORP.
`Petitioner
`
`v.
`
`FINJAN, INC.
`Patent Owner
`
`Case: IPR2015-01892
`U.S. Patent No. 8,677,494
`
`DECLARATION OF RICHARD FORD, D.PHIL
`
`Symantec 1038
`IPR2015-01892
`Symantec v. Finjan
`
`Palo Alto Networks, Inc. - Exhibit 1096 - Page 1
`Palo Alto Networks, Inc. v. Finjan, Inc., IPR2016-00159
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`
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`Case IPR2015-01892
`U.S. Patent No. 8,677,494
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`I, Dr. Richard Ford, declare as follows:
`
`1.
`
`I am more than twenty-one years of age, and I make this declaration
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`based on my own personal knowledge, experience, and belief. If called upon, I can
`
`testify competently to the facts stated in this declaration.
`
`2.
`
`Prior to submitting this declaration, I was retained as an expert
`
`witness in certain matters on behalf of Symantec Corporation (“Symantec”)
`
`including matters opposed to Finjan, Inc. However, I am not providing this
`
`declaration in the capacity of an expert witness and I am not being compensated
`
`for providing this declaration. Instead, this declaration is based upon my personal
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`knowledge of relevant facts pertaining to the public availability of a reference
`
`relied upon by Symantec in the above captioned proceeding, namely “Dynamic
`
`Detection and Classification of Computer Viruses Using General Behavior
`
`Patterns”, by Morton Swimmer (“Swimmer”), which appears in the Proceedings of
`
`the Fifth International Virus Bulletin Conference (“the 1995 Virus Bulletin
`
`Conference Proceedings”). As detailed more in the following paragraphs, a true
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`and correct full copy of the 1995 Virus Bulletin Conference Proceedings is
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`attached hereto as Exhibit A, which I understand was marked and submitted as
`
`Exhibit Symantec 1010 in the above captioned IPR2015-01892 proceeding.
`
`1
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`Case IPR2015-01892
`U.S. Patent No. 8,677,494
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`3.
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`I hold Bachelor’s and Master’s degrees in Physics from The Queen’s
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`College, University of Oxford, and a D.Phil. in Quantum Physics.
`
`I have been
`
`working in the field of computer security since 1992, when I joined Virus Bulletin.
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`Since that time, I have held positions at companies such as the National Computer
`
`Security Association, IBM Research, and Command Software Systems. I was also
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`a professor of Computer Science at the Florida Institute of Technology for over 11
`
`years, where I focused my research on information security, until the summer of
`
`2015. I am currently employed as Chief Scientist of Forcepoint, previously known
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`as Raytheon | Websense, a joint venture created to address constantly-evolving
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`cybersecurity challenges.
`
`4.
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`My very first job in the security industry was with Virus Bulletin, an
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`information security organization that provides leading edge information regarding
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`developments in computer security. Virus Bulletin has regularly held conferences
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`(e.g., the Virus Bulletin International Conference) and provided publications in the
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`field of computer security for over 25 years. These conferences and publications
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`provided substantial information on the prevention, recognition, and removal of
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`malware such as viruses, Trojans, etc. as well as security issues identified in
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`software such as operating systems.
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`2
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`Case IPR2015-01892
`U.S. Patent No. 8,677,494
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`5.
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`Virus Bulletin is a well-known and highly respected body and has
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`been continually at the forefront of the computer security field. First held in 1991,
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`and continuing on an annual basis until this day, the Virus Bulletin International
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`Conference was a premier worldwide event open to and attended by persons
`
`interested in the computer security field. At the Virus Bulletin International
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`Conference, academics, researchers, developers, and company representatives,
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`regularly gathered, presented and exchanged developments in this field. For
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`example, the list of conference attendees and sponsors for the 1995 Virus Bulletin
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`International Conference included representatives from prominent entities in the
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`computer security field such as: Sophos, McAfee, Trend Micro, and IBM. See
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`Exhibit A, pp. 3-4 and 17-31.
`
`6.
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`In 1992, I began working for Virus Bulletin as executive editor. My
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`duties in this capacity included commissioning and editing articles, as well as
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`assisting at the Virus Bulletin International Conference. Later, in January 1993, I
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`became the editor of Virus Bulletin. As the editor for Virus Bulletin, I handled
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`day-to-day operations and all content decisions related to the Virus Bulletin,
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`including paper selection for the Virus Bulletin International Conference, and acted
`
`as host and emcee of the conference. During my tenure of employment with Virus
`
`Bulletin, I was responsible for helping to organize the Virus Bulletin International
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`3
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`Case IPR2015-01892
`U.S. Patent No. 8,677,494
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`Conference which, at the time, was held yearly at different locations around the
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`globe. My responsibilities in this regard included helping to select papers and
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`speakers, editing the conference proceedings, and assisting in marketing the event,
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`as well as being the public face of Virus Bulletin at the event itself.
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`7.
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`After my tenure as editor ended in March 1995, I remained involved
`
`with Virus Bulletin. For example, I was a consulting editor until June 2014, and
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`provided advice and assistance to the editors that succeeded me.
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`In addition, I
`
`continued to contribute articles and attend Virus Bulletin conferences. I remain on
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`the Virus Bulletin Advisory Board to this day.
`
`8.
`
`In the 1995 timeframe,
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`the yearly Virus Bulletin International
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`Conference included papers that were selected for presentation/publication. These
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`papers were distributed as conference proceedings to attendees and presenters at
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`the conference.
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`In the 1995 timeframe, the conference proceedings were in the
`
`form of a 4-hole loose leaf binder, which allowed flexibility with regard to the
`
`addition of late submissions.
`
`9.
`
`Generally, physical copies of
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`the Virus Bulletin International
`
`Conference proceedings were distributed to conference attendees at
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`the
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`registration/check-in desk for the conference, which is located in the venue hosting
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`the event as is typical with many conferences I have attended. Typically,
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`4
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`Case IPR2015-01892
`U.S. Patent No. 8,677,494
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`registration/check-in opened no later
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`than the first scheduled date of
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`the
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`conference, and continued until the close of the conference. As a result, the
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`conference proceedings were generally made available throughout the conference
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`to conference attendees. Similar practices were in place before and after my tenure
`
`ended with Virus Bulletin.
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`10.
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`In certain instances where extra copies of the conference proceedings
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`were produced but not distributed during the associated conference, these “extra”
`
`copies may have been distributed or made available to other entities (e.g., libraries
`
`or other computer security professionals not in attendance at the conference) in the
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`1995 timeframe.
`
`11.
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`Since 1992, I have regularly attended and was involved with the Virus
`
`Bulletin International Conference. I have attended this conference approximately
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`20 different times, and have even been awarded a lapel pin from Virus Bulletin for
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`this long history. Therefore, I am very familiar with processes surrounding the
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`Virus Bulletin International Conferences from both the perspective of a conference
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`attendee, presenter and organizer over the past 24 years. Specifically, I have
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`particular knowledge of how papers are submitted, selected, presented and
`
`disseminated with respect to the Virus Bulletin International Conference, as well as
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`5
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`Case IPR2015-01892
`U.S. Patent No. 8,677,494
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`the resulting proceedings that are compiled for the conference, including in the
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`1995 timeframe.
`
`12. On September 20-22 of 1995,
`
`I attended the Virus Bulletin
`
`International Conference held at the Boston Park Plaza Hotel and Towers in
`
`Boston, MA. During this conference, I presented on macro viruses, was involved
`
`in a related panel discussion, and attended other presentations. Upon check-in to
`
`the conference, I received a binder which constituted the proceedings for this
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`conference and contained accepted articles which were submitted by various
`
`authors for this conference. The binder cover has the title “Virus Bulletin
`
`International Conference Boston Park Plaza Hotel and Towers 20-22 September
`
`95.”
`
`These conference proceedings were given to me at
`
`the time of my
`
`registration/check-in.
`
`13.
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`It is my understanding that the other registered conference attendees
`
`received the same binder which, based upon my prior experience as editor of Virus
`
`Bulletin and as an attendee of past conferences, was typical of the practices of
`
`Virus Bulletin and the Virus Bulletin International Conference.
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`Indeed, I recall
`
`seeing many other conference attendees in possession of a binder with the same
`
`title and appearance as the one I received during the 1995 conference. These same
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`conference proceedings were made available at
`
`registration/check-in, which
`
`6
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`Case IPR2015-01892
`U.S. Patent No. 8,677,494
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`opened on September 20, 1995, and given to the other attendees at the time they
`
`checked-in for the conference, consistent with the practices described above.
`
`14.
`
`I am still in possession of the binder I received for the Virus Bulletin
`
`International Conference held at the Boston Park Plaza Hotel and Towers in
`
`September of 1995.
`
`Inside the binder is the Swimmer article, which appears on
`
`numbered pages 75-88 of the 1995 Virus Bulletin Conference Proceedings.
`
`15.
`
`In view of the foregoing, Swimmer was disseminated and made
`
`continuously available on September 20-22, 1995 to conference attendees (such as
`
`myself) of
`
`the Virus Bulletin International Conference.
`
`These attendees
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`constituted persons concerned with the subject matter of Swimmer, computer
`
`malware, and more generally computer security and computer science.
`
`16.
`
`I have also reviewed the Hawes Declaration (attached hereto as
`
`Exhibit D) and I agree to the best of my recollection that there were approximately
`
`150+ such conference attendees during the 1995 Virus Bulletin International
`
`Conference.
`
`17. Attached hereto as Exhibit A is a true and correct full copy of the
`
`1995 Virus Bulletin Conference Proceedings binder I received in September of
`
`1995 at the Boston Park Plaza Hotel and Towers in Boston, MA including: the
`
`7
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`Case IPR2015-01892
`U.S. Patent No. 8,677,494
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`front cover, Table of Contents, section dividers, and Swimmer.
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`I inspected each
`
`and every page of Exhibit A and verified that it matched and corresponded to the
`
`contents of the 1995 Virus Bulletin International Conference binder in my
`
`possession. Also attached hereto as Exhibit E is a true and correct copy of a
`
`photograph I took on or about May 2, 2016 of the 1995 Virus Bulletin Conference
`
`Proceedings binder that I received at the September 1995 conference. The binder
`
`cover which is shown in the photograph I took matches the first page of Exhibit A,
`
`which I understand was marked and submitted as Exhibit Symantec 1010 in the
`
`above captioned IPR2015-01892 proceeding.
`
`18. Additionally, I compared the copy of Swimmer in Exhibit A (pages
`
`112 - 125) to the copy of Swimmer as it appears in Exhibit B attached hereto,
`
`which I understand was marked and submitted as Exhibit Symantec 1005 in the
`
`above captioned IPR2015-01892 proceeding. Based upon my personal inspection,
`
`it is my belief that both of these documents are identical copies of the same
`
`Swimmer article. Based upon my inspection, the only discernible differences in
`
`the two copies appear to be those introduced as an artifact of the copying process
`
`used to create the copies and what I understand to be “Bates markings,” which are
`
`added for the purpose of identifying documents in legal proceedings such as the
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`above captioned IPR proceeding.
`
`8
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`Case IPR2015-01892
`U.S. Patent No. 8,677,494
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`19.
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`I also compared the copy of Swimmer in Exhibit A (pages 112 - 125)
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`to the copy of Swimmer as it appears in the Virus Bulletin excerpts (pages 6 – 19)
`
`(attached hereto as Exhibit C), which I understand to have been served on counsel
`
`for Finjan, Inc. as supplemental evidence via e-mail on April 15, 2016. As with
`
`the copies of Swimmer discussed above, it is my belief that these copies of
`
`Swimmer are identical except for some copying artifacts and differences related to
`
`Bates markings.
`
`20.
`
`I also compared the copy of Swimmer in Exhibit A (pages 112 - 125)
`
`to the copy of Swimmer as it appears in Exhibit A to the Hawes Declaration
`
`(attached hereto as Exhibit D), which I understand to have been served on counsel
`
`for Finjan, Inc. as supplemental evidence via e-mail on April 15, 2016. As with
`
`the copies of Swimmer discussed above, it is my belief that these copies of
`
`Swimmer are identical except for some copying artifacts and differences related to
`
`Bates markings.
`
`9
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`Palo Alto Networks, Inc. - Exhibit 1096 - Page 11
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`EXHIBIT C
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`000001
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`Symantec 1039
`IPR2015-01892
`Symantec v. Finjan
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`Palo Alto Networks, Inc. - Exhibit 1096 - Page 12
`Palo Alto Networks, Inc. v. Finjan, Inc., IPR2016-00159
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`000002
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`Palo Alto Networks, Inc. - Exhibit 1096 - Page 13
`Palo Alto Networks, Inc. v. Finjan, Inc., IPR2016-00159
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`000003
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`Palo Alto Networks, Inc. - Exhibit 1096 - Page 14
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`000004
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`Palo Alto Networks, Inc. - Exhibit 1096 - Page 15
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`000005
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`Palo Alto Networks, Inc. - Exhibit 1096 - Page 16
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`000006
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`Palo Alto Networks, Inc. - Exhibit 1096 - Page 17
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`Palo Alto Networks, Inc. - Exhibit 1096 - Page 18
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`Palo Alto Networks, Inc. - Exhibit 1096 - Page 19
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`Palo Alto Networks, Inc. - Exhibit 1096 - Page 20
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`Palo Alto Networks, Inc. - Exhibit 1096 - Page 21
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`000061
`
`Palo Alto Networks, Inc. - Exhibit 1096 - Page 72
`Palo Alto Networks, Inc. v. Finjan, Inc., IPR2016-00159
`
`
`
`000062
`
`Palo Alto Networks, Inc. - Exhibit 1096 - Page 73
`Palo Alto Networks, Inc. v. Finjan, Inc., IPR2016-00159
`
`
`
`000063
`
`Palo Alto Networks, Inc. - Exhibit 1096 - Page 74
`Palo Alto Networks, Inc. v. Finjan, Inc., IPR2016-00159
`
`
`
`000064
`
`Palo Alto Networks, Inc. - Exhibit 1096 - Page 75
`Palo Alto Networks, Inc. v. Finjan, Inc., IPR2016-00159
`
`
`
`000065
`
`Palo Alto Networks, Inc. - Exhibit 1096 - Page 76
`Palo Alto Networks, Inc. v. Finjan, Inc., IPR2016-00159
`
`
`
`EXHIBIT E
`
`000001
`
`Symantec 1040
`IPR2015-01892
`Symantec v. Finjan
`
`Palo Alto Networks, Inc. - Exhibit 1096 - Page 77
`Palo Alto Networks, Inc. v. Finjan, Inc., IPR2016-00159
`
`
`
`000002
`
`Palo Alto Networks, Inc. - Exhibit 1096 - Page 78
`Palo Alto Networks, Inc. v. Finjan, Inc., IPR2016-00159
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