UN11 l:D S [A1138 PA 11;-N1 AND TRADl:MARI< OH«1C1;
`
`I.‘=\'I'I‘f-2]’) STATES DEPARTMENT OF COMMERCE
`United States Patent and '1‘rntIen1ark Ofiiee
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`951001.926
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`I [00 NEW YORK AVl:lNU|:}, N.W.
`WAS]-IINGTUN. DC 20005
`
`3992
`
`Please find below andlor attached an Office communication concerning this application or proceeding.
`
`The time period for reply, if any, is set in the attached communication.
`
`]]!27":'2U] 3
`
`D1”ER*’ MODE
`P1\l’|_'LR
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`PT0*=-W <Rvv-OW}
`
`DELL lNC., EMC CORP., HPE co., HPES, LLC
`lPR2017-00176- Ex. 1006, p. 1 of 10
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`DELL INC., EMC CORP., HPE CO., HPES, LLC
`IPR2017-00176- Ex. 1006, p. 1 of 10
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`

`
`Transmittal of Communication to
`Third Party Requester
`lnter Partes Reexamination
`
`95*’00‘»925
`Examiner
`Christina Y. Leung
`
`-ET AL-
`A" Unit
`3992
`
`Control No.
`
`Patent Under Reexamination
`
`-- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address. --
`
`Ij [THIRD PARTY F-'lEQUESTER'S CORRESPONDENCE ADDRESS) —|
`
`NOVAK DRUCE + QUIGG LLP 2ND REEXAM GROUP
`1000 LOUISIANA STREET
`F|FTY—TH|RD FLOOR
`HOUSTON. TX 77002
`
`Enclosed is a copy of the latest communication from the United States Patent and Trademark Office
`in the above-identified reexamination prceeding. 37 CFR 1.903.
`
`Prior to the filing of a Notice of Appeal, each time the patent owner responds to this communication,
`the third party requester of the interpartes reexamination may once file written comments within a
`period of 30 days from the date of service of the patent owner's response. This 30-day time period is
`statutory (35 U.S.C. 314(b)(2)), and, as such, it cannot be extended. See also 37 CFR 1.947.
`
`If an ex parte reexamination has been merged with the inter partes reexamination, no responsive
`submission by any ex parte third party requester is permitted.
`
`All correspondence relating to this inter partes reexamination proceeding should be directed to the
`Central Reexamination Unit at the mail, FAX, or hand—carry addresses given at the end of the
`communication enclosed with this transmittal.
`
`US. Patent and Trademark Oflice
`PTOL-2070 (Rev. 07-04)
`
`Paper No. 20131030
`
`DELL |NC., EMC CORP., HPE CO., HPES, LLC
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`|PR2017-00176- Ex. 1006, p. 2 of 10
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`DELL INC., EMC CORP., HPE CO., HPES, LLC
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`

`
`NO TICE OF INTENT TO ISSUE INTER PARTES
`HEEXAMINA TION CEHTIFICA TE
`
`COl'|ll'OI NO.
`
`95.f001,926
`Examiner
`
`Christina Y. Leung
`
`Patent Under Reexamination
`
`. ET AL.
`Art Unit
`
`3992
`
`-- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address. --
`1. X Prosecution on the merits is (or remains) closed in this inter partes reexamination proceeding. This proceeding is
`subject to reopening at the initiative of the Office or upon petition. Ct‘. 37 CFR 1.313(a). A Certificate will be issued
`in view of:
`
`.
`by
`a. I] The communication filed on
`b.
`I:I Patent owner's failure to file an appropriate timely response to the Office action
`dated
`
`c. X The failure to timely file an Appeal with fee by all parties to the reexamination proceeding entitled to do
`so. 37 CFR 1.959 and 41.61.
`
`cl.
`
`I:I The failure to timely file an Appellant's Brief with fee by all parties to the reexamination
`entitled to do so. 37 CFR 41 .66(a).
`
`proceeding
`
`1.
`
`e. Ell The decision on appeal by the III Board of Patent Appeals and interferences I:I Court dated
`2. E The Reexamination Certificate will indicate the following:
`
`Other:
`
`|:I Yes E No
`a. Change in the Specification:
`b. Change in the Drawings:
`|:I Yes IE No
`c. Status of the Claims:
`
`.
`(1) Patent cIaim(s) confirmed:
`(2) Patent cIaim(s) amended (including dependent on amended cIaim(s)): 91,97 and 99
`(3) Patent cIaim(s) cancelled:
`.
`(4) Newly presented cIaim(s) patentable: 100-105.
`(5) Newly presented cancelled claims:
`
`(6) Patent cIaim(s)
`
`|:I previously |:l currently disclaimed:
`
`(7) Patent cIaim(s) not subject to reexamination: See Continuation Sheet.
`
`3.E Note the attached statement of reasons for patentability andfor confirmation. Any comments considered
`necessary by patent owner regarding reasons for patentability andfor confirmation must be submitted promptly to
`avoid processing delays. Such submission(s) should be labeled: “Comments On Statement of Reasons for
`Patentability andlor Confirmation.”
`
`News
`
`IZIIIIXIII
`
`Note attached NOTICE OF REFERENCE CITED, (PTO—892).
`
`Note attached LIST OF REFERENCES CITED (PTOi'SB!08 or PTOISBIOB substitute).
`
`The drawings filed on
`
`is:
`
`D approved
`
`I:I disapproved.
`
`Acknowledgment is made of the claim for priority under 35 use. § 119(a) - (d) or (f).
`a)I:I All
`b)I:I Some"
`c)I:| None
`of the certified copies have
`
`I:I been received.
`|:I not been received.
`.
`|:I been filed in Application No.
`.
`|:I been filed in reexamination Control No.
`|:I been received by the International Bureau in PCT Application No.
`
`* Certified copies not received:
`
`I:I Note Examiner's Amendment.
`
`|:I Other:
`
`8.
`
`9.
`
`All correspondence relating to this inter partes reexamination proceeding should be directed to the Central
`Reexamination Unit at the mail, FAX, or hand—carry addresses given at the end of this Office action.
`
`Part of Paper No. 20131030
`U.S. Patent and Trademark Office
`PTOL-2068 (07-10)
`NOTICE OF INTENT TO ISSUE INTER PARTES HEEXAMINAHON CEFl11FICATE
`
`tChristina Y. Leungi’
`Primary Examiner, Art Unit 3992
`
`DELL |NC., EMC CORP., HPE CO., HPES, LLC
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`|PR2017-00176- Ex. 1006, p. 3 of 10
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`DELL INC., EMC CORP., HPE CO., HPES, LLC
`IPR2017-00176- Ex. 1006, p. 3 of 10
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`

`
`Continuation Shee1(PTO-2068)
`
`Control No. 95f001,926
`
`Continuation of (7) New cia:'rn(s) patentable: 10,12-15,18,19,24-26,28-38,410,414-68,7-1':-78,80,813 and 92-95.
`
`DELL |NC., EMC CORP., HPE CO., HPES, LLC
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`|PR2017-00176- Ex. 1006, p. 4 of 10
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`DELL INC., EMC CORP., HPE CO., HPES, LLC
`IPR2017-00176- Ex. 1006, p. 4 of 10
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`

`
`Application.r"Control Number: 95:"00l,926
`
`Art Unit: 3992
`
`Page 2
`
`STATEMENT OF REASONS FOR PATENTABILITY ANDIOR CONFIRMATION
`
`Claims 91, 97, and 99-105 of Fallon (US 7,161,506 B2) are being reexamined. Claims
`
`1-5, 8, 9, l 1, 17, 20-23, 27, 39, 43, 69-73, 79, 8], 82, 84-90, 96, and 98 were canceled at the
`
`conclusion of previous reexamination 95;’000,479. Claims 10, 12-15, 18, 19, 24-26, 28-38, 40,
`
`44-68, 74-78, 30, 83, and 92-95 are not subject to reexamination.
`
`The Info1'mation Disclosure Statement (IDS) filed 05 September 2013 by Patent Owner is
`
`has been considered by the examiner. Examiner has considered the cited documents to the extent
`
`that the party filing the IDS has explained the content and relevance of the information
`
`provided. Information that complies with information disclosure requirements of 37 C.F.R. §l.98
`
`but is in a non-English language will be considered in view of the concise explanation submitted
`
`(see MPEP §609.04(a), subsection Ill) and insofar as it is understood on its face (e.g., drawings
`
`and chemical foimulas) in the same manner that non-English language information in Office
`
`search files is considered by examiners in conducting searches. The initials of the examiner
`
`placed adjacent to the citations on the form PTOISBIOSA and 08B or its equivalent, without any
`
`indication to the contraly in the record, means that the information has been considered by the
`
`examiner to the extent noted above. See MPEP §§609.05(b), 2256, and 2656. Information that
`
`does not appear to be “patents or printed publications” as identified in 35 U.S.C. 301 have been
`
`considered to the same extent (unless otherwise noted), but their citations have been lined
`
`through and will not be printed on any resulting examination certificate.
`
`No party has timely filed a notice of appeal in response to the Right of Appeal Notice
`
`(RAN) mailed I6 August 2013. As first noted in the RAN, claims 91, 97, and 99-105 are
`
`patentable.
`
`DELL |NC., EMC CORP., HPE CO., HPES, LLC
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`|PR2017-00176- Ex. 1006, p. 5 of 10
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`DELL INC., EMC CORP., HPE CO., HPES, LLC
`IPR2017-00176- Ex. 1006, p. 5 of 10
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`

`
`Application.r"Control NumbeI': 95:"001,926
`
`Art Unit: 3992
`
`Page 3
`
`The following is an examiner’s statement of reasons for patentability andfor confirmation
`
`of the claims found patentable in this reexamination proceeding:
`
`As first noted in the RAN, Patent Owner’s arguments filed 05 April 2013 ("in view of
`
`PO’s amendment to claims 91, 97, and 99-105 also filed 05 April 2013) are generally persuasive.
`
`The prior art of record, including Sebastian (US 6,253,264 B1), Franaszek (US 5,805,932 A),
`
`and Kawashima (US 5,870,036 A), does not specifically disclose or fairly teach a method
`
`including all of the limitations and steps recited in claims 91, 97, and 99-105, particularly
`
`including analyzing data within the data block to identify one 01' more data types of the data with
`
`the data block, wherein the analyzing of the data within the data block to identify one or more
`
`data types excludes analyzing based only on a descriptor that is indicative of the data type of the
`
`data within the data block.
`
`PO’s amendment has also overcome the previous 35 U.S.C. 112 rejections of claims 100-
`
`105 (see ACP), and Examiner finds support for amended claims 91, 97, and 99-105 in Fallon.
`
`These sections of Fallon specification describe analyzing data within the data block to identify
`
`one or more data types of the data with the data block, wherein the analyzing of the data within
`
`the data block to identify one or more data types excludes analyzing based only on a descriptor
`
`that is indicative of the data type of the data within the data block:
`
`“In another aspect, the step of analyzing the data block comprises analyzing the data
`block to recognize one of a data type, data structure, data block format, file substructure, and/or
`file types. A further step comprises maintaining an association between encoder types and data
`types, data structures, data block formats, file substructure, andfor file types.” (column 4, lines
`39-45)
`
`“A content dependent data recognition module 1300 analyzes the incoming data stream to
`recognize data types, data structures, data block formats, file substructures, file types, andfor any
`
`other parameters that may be indicative of either the data typefcontent of a given data block 01'
`the appropriate data compression algorithm or algorithms (in serial or in parallel) to be applied.
`
`DELL lNC., EMC CORP., HPE CO., HPES, LLC
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`lPR2017-00176- Ex. 1006, p. 6 of 10
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`DELL INC., EMC CORP., HPE CO., HPES, LLC
`IPR2017-00176- Ex. 1006, p. 6 of 10
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`

`
`Application.r"Control Number: 95:"00l,926
`
`Art Unit: 3992
`
`Page 4
`
`Optionally, a data file recognition list(s) or algorithm(s) I310 module may be employed to hold
`andfor determine associations between recognized data parameters and appropriate algorithms.
`
`Each data block that is recognized by the content data compression module 1300 is 1'outed to a
`content dependent encoder module 1320, if not the data is routed to the content independent
`cncodcr module 30.” (column 16, lines 29-42)
`
`“More specifically, a content dependent data recognition and or estimation module 1700
`is utilized to analyze the incoming data stream for recognition of data types, data structures, data
`block formats._ file substructures, file types, or any other parameters that may be indicative of
`the appropriate data compression algorithm or algorithms ("in serial or in parallel) to be applied.
`
`Optionally, a data file recognition list(s) or algorithm(s) 1710 module may be employed to hold
`associations between recognized data parameters and appropriate algorithms. If the content data
`compression module recognizes a portion of the data, that portion is routed to the content
`dependent encoder module 1320, if not the data is 1'outed to the content independent encoder
`
`module 30. It is to be appreciated that process of recognition (modules 1700 and 1710) is not
`limited to a deterministic recognition, but may further comprise a probabilistic estimation of
`which encoders to select for compression from the set of encoders of the content dependent
`module 1320 or the content independent module 30. For example, a method may be employed to
`
`compute statistics of a data block whereby a determination that the locality of repetition of
`characters in a data stream is determined is high can suggest a text document, which may be
`beneficially compressed with a lossless dictionary type algorithm. Further the statistics of
`repeated characters and relative frequencies may suggest a specific type of dictionary algorithm.
`
`Long strings will require a wide dictionary file while a wide diversity of strings may suggest a
`deep dictionary. Statistics may also be utilized in algorithms such as Huffman where various
`character statistics will dictate the choice of different Huffman compression tables. This
`technique is not limited to lossless algorithms but may be widely employed with lossy
`algorithms. Header information in frames for video files can imply a specific data resolution. The
`estimator then may select the appropriate lossy compression algorithm and compression
`parameters (amount of resolution desired). As shown in previous embodiments of the present
`invention, desirability of various algorithms and now associated resolutions with lossy type
`algorithms may also be applied in the estimation selection process.” (column 23, lines 28-67)
`
`Sebastian does not specifically disclose or fairly teach analyzing data with the data block
`
`to identify one 01' more data types of data within the data block, wherein the analyzing of the data
`
`within the data block to identify one or more data types excludes analyzing based only on a
`
`descriptor that is indicative of the data type of data within the data block. Specifically, with
`
`respect to determining a data type of a data block, Sebastian discloses
`
`DELL |NC., EMC CORP., HPE CO., HPES, LLC
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`|PR2017-00176- Ex. 1006, p. 7 of 10
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`IPR2017-00176- Ex. 1006, p. 7 of 10
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`

`
`Application.r"Control Number: 95:"00l,926
`
`Art Unit: 3992
`
`Page 5
`
`“The selection criteria I2x, determined by the file format specification, includes
`information needed to 1'ecognize files served by the filter 10:; such as byte values at the
`beginning of the file or file title suffices [sic].” (column 4, lines 47-50).
`
`Although Sebastian discloses determining a data type ofa data block, Sebastian
`
`specifically discloses that the data types are recognized by included information such as “byte
`
`values at the beginning ofthc file or file title suffi[xes].” In other words, Sebastian discloses
`
`dete1'mining a data type based on examining a data type descriptor associated with the data block.
`
`Franaszek does not specifically disclose or fairly teach analyzing data with the data
`
`block to identify one or more data types of data within the data block, wherein the analyzing of
`
`the data within the data block to identify one or more data types excludes analyzing based only
`
`on a descriptor that is indicative of the data type of data within the data block. Specifically, with
`
`respect to determining a data type of a data block, Franaszek discloses
`
`“In this embodiment, the uncompressed data blocks 210 that can optionally contain type
`information 205. The type information can be, for examples, image data encoded in a given
`format, source code for a given programming language, etc.” (column 4, lines 30-34).
`
`“In step 414, it is determined if a data type is available (i.e., the block includes a ‘data
`type’ entry in the type field 205)” (column 6, lines I-2).
`
`Although F1'anaszek discloses determining a data type of a data block, Franaszek
`
`specifically discloses that the data blocks “contain type information” or that the block “includes a
`
`‘data type’ entry.” In other words, Franaszek discloses determining a data type based on
`
`examining a data type descriptor associated with the data block.
`
`Kawashima does not specifically disclose or fairly teach analyzing data with the data
`
`block to identify one or more data types of data within the data block, wherein the analyzing of
`
`the data within the data block to identify one 01' mo1'e data types excludes analyzing based only
`
`DELL |NC., EMC CORP., HPE CO., HPES, LLC
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`|PR2017-00176- Ex. 1006, p. 8 of 10
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`DELL INC., EMC CORP., HPE CO., HPES, LLC
`IPR2017-00176- Ex. 1006, p. 8 of 10
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`

`
`Application.r"Control NumbeI': 95:"00l,926
`
`Art Unit: 3992
`
`Page 6
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`on a descriptor that is indicative of the data type of data within the data block. Specifically, with
`
`respect to determining a data type of a data block, Kawashima discloses
`
`“For transmitting data, it is Customary to add a header Containing information which
`represents the type of the data, the data length, etc. to the beginning of the data” (column 28,
`lines 52-55)
`
`“The type of data Contained in the header of pre~compression data transferred from the
`data source 2 is referred to...” (column 36, lines 23-25)
`
`Although Kawashirna discloses determining a data type of a data block, Kawashima
`
`discloses determining a data type based on examining a data type descriptor associated with the
`
`data block.
`
`Any comments considered necessary by the PATENT OWNER regarding the above
`
`statement must be submitted promptly to avoid processing delays. Such submission by the
`
`patent owner should be labeled: “Comments on Statement of Reasons for Patentability and/or
`
`Confirmation” and will be placed in the reexamination file.
`
`All correspondence relating to this inter parres reexamination proceeding should be
`
`directed:
`
`By mail to:
`
`Mail Stop Inter Partes Reexam
`Attn: Central Reexamination Unit
`
`Commissioner of Patents
`
`United States Patent & Trademark Office
`P.O. Box 1450
`
`Alexandria, VA 22313-1450
`
`By fax to:
`
`(571) 273-9900
`Central Reexamination Unit
`
`By hand to:
`
`Customer Senrice Window
`Randolph Building
`401 Dulany St.
`Alexandria, VA 22314
`
`DELL |NC., EMC CORP., HPE CO., HPES, LLC
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`|PR2017-00176- Ex. 1006, p. 9 of 10
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`

`
`Application.r"Contro1 Number: 957001.926
`
`Art Unit: 3992
`
`Page 7
`
`Any inquiry concerning this communication or earIie1' communications from the
`
`examiner, or as to the status of this proceeding, should be directed to the Central Reexamination
`
`Unit at telephone number (571) 272-7705.
`
`{Christina Y. Leungf
`
`Primary Examiner, A11 Unit 3992
`
`Conferees:
`
`:’D.M.H.f._ PE AU3992
`
`fSudhanshu C Pathakf
`
`Supervisoly Patent Examiner, A11 Unit 3992
`
`DELL |NC., EMC CORP., HPE CO., HPES, LLC
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`|PR2017-00176- Ex. 1006, p. 10 of 10
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`DELL INC., EMC CORP., HPE CO., HPES, LLC
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