UNITED STATES PATENT AND TRADEMARK OFFICE
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`LENOVO (UNITED STATES) INC. and EMC Corporation,
`
`Petitioners
`
`v.
`
`INTELLECTUAL VENTURES I, LLC
`
`Patent Owner
`
`IPR20 17-00477
`U.S. PATENT NO. 8,387,132
`
`SECOND DECLARATION OF DR. SCOTT C. KARLIN
`REGARDING U.S. PATENT NO. 8,387,132
`
`LENOVO ET AL. EXHIBIT 1030
`Lenovo et al. v. Intellectual Ventures I, LLC
`IPR2017-00477
`
`Page 1 of 10
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`LENOVO (UNITED STATES) INC. and EMC Corporation,
`
`Petitioners
`
`v.
`
`INTELLECTUAL VENTURES I, LLC
`
`Patent Owner
`
`IPR20 17-00477
`U.S. PATENT NO. 8,387,132
`
`SECOND DECLARATION OF DR. SCOTT C. KARLIN
`REGARDING U.S. PATENT NO. 8,387,132
`
`LENOVO ET AL. EXHIBIT 1030
`Lenovo et al. v. Intellectual Ventures I, LLC
`IPR2017-00477
`
`Page 1 of 10
`
`
`
`TABLE OF CONTENTS
`
`Page
`
`I.
`
`II.
`
`QUALIFICATIONS
`
`MY ENGAGEMENT BY LENOVO
`
`III. MATERIALS CONSIDERED
`
`IV.
`
`V.
`
`CRAMER TEACHES THAT IP VOLUMES WOULD BE
`IMPLEMENTED IN HARDWARE OR SOFTWARE,
`INCLUDING HARDWARE AND SOFTWARE RAID
`VOLUMES
`
`PATTERSON CONFIRMS THAT HARDWARE AND
`SOFTW ARE RAID VOLUMES WERE KNOWN TO PERSON
`OF SKILL IN THE ART
`
`VI.
`
`INTRODUCTION TO NETWORKING
`
`VII. AVAILABILITY FOR EXAMINATION
`
`VIII. RIGHT TO SUPPLEMENT
`
`IX.
`
`SWORN OATH
`
`1
`
`1
`
`2
`
`3
`
`5
`
`6
`
`7
`
`7
`
`7
`
`1
`
`Page 2 of 10
`
`
`
`I, Scott C. Karlin, declare as follows:
`
`I.
`
`1.
`
`QUALIFICATIONS
`
`This is the second declaration I have submitted in the IPR2017 -00477
`
`regarding U.S. Patent Number
`
`8,387,132.
`
`My first declaration
`
`is dated
`
`December 15, 2016.
`
`It is Petitioner Exhibit 1002.
`
`2.
`
`My qualifications are set forth in my first declaration.
`
`I continue to serve
`
`as the Senior Manager of Computing Facilities at the Department of Computer
`
`Science for Princeton University.
`
`3.
`
`A copy of my curriculum vitae was submitted as Exhibit 1003.
`
`II. MY ENGAGEMENT BY LENOVO
`
`4.
`
`I continue
`
`to be asked by Lenovo (United States)
`
`Inc.
`
`("Lenovo"
`
`or
`
`"Petitioner")
`
`to serve as an independent expert
`
`in this proceeding
`
`I understand
`
`my inquiry is limited at this point to claims 1 and 9 as those are the only claims
`
`presently asserted against Lenovo in a pending federal patent
`
`infringement
`
`lawsuit.
`
`5.
`
`I continue to be compensated by Petitioner at my normal consulting rate
`
`for my work on this matter.
`
`6.
`
`7.
`
`My compensation is based on my time spent on this matter.
`
`My compensation is not dependent upon the content of my statements set
`
`forth in this Declaration.
`
`1
`
`Page 3 of 10
`
`
`
`8.
`
`I am not employed by Petitioners.
`
`I have no financial
`
`interest
`
`in the
`
`Petitioners
`
`(other than what may be in my mutual
`
`fund portfolio) or the' 132
`
`patent.
`
`III. MATERIALS CONSIDERED
`
`9.
`
`I
`
`reviewed
`
`and address
`
`the
`
`following
`
`documents
`
`III
`
`this
`
`second
`
`declarati on:
`
`a. Ex. 1005; U.S. Patent No. 7,707,263 to Cramer et al. ("Cramer")
`
`b. Ex. 1027; D. Patterson, G. Gibson, and R. Katz, A Case for Redundant
`Array of Inexpensive Disks (RAID), Proceedings of ACM SIGMOD' 88,
`109-16, June 1988) ("Patterson"); and
`
`c. Ex. 1024;·CMPSCI 653: Introduction to Networking Slides
`("Introduction to Networking")
`http://lass.cs.umass.edu/~shenoy/courses/springOO/653/lectureslIntro.pdf
`
`10.
`
`I continue to believe based on my education and work experience that I
`
`am qualified to opine about
`
`the state of the art of the technology recited and
`
`claimed in the' 132 patent as of its filing and the other materials listed above.
`
`11.
`
`It
`
`is not my intention
`
`to offer any conclusions
`
`as to the ultimate
`
`determinations
`
`that I understand the Patent Trial and Appeal Board may make
`
`regarding the' 132 patent. For example,
`
`I am not offering opinions on ultimate
`
`issues of validity or claim construction.
`
`I am simply providing my opinions on
`
`certain technical
`
`aspects of the documents discussed herein as compared to
`
`claims 1 and 9 of the' 132 patent.
`
`2
`
`Page 4 of 10
`
`
`
`IP VOLUMES
`IV. CRAMER TEACHES
`THAT
`IMPLEMENTED
`IN HARDWARE OR SOFTWARE,
`HARDWARE AND SOFTWARE RAID VOLUMES
`
`BE
`WOULD
`INCLUDING
`
`12.
`
`I was asked by counsel for Petitioner whether a person of skill in the art
`
`would understand Cramer's
`
`IP volumes,
`
`including volumes
`
`implemented
`
`as
`
`RAID volumes,
`
`to be implemented in hardware or software.
`
`13.
`
`A person
`
`of
`
`skill
`
`in. the art would understand Cramer's
`
`volumes,
`
`including RAID volumes, would be implemented
`
`in hardware or software,
`
`including as hardware RAID volumes and as software RAID volumes.
`
`14.
`
`For example, Cramer teaches:
`
`"It is expressly contemplated that the various processes,
`architectures
`and procedures
`described
`herein can be
`implemented
`in
`hardware,
`firmware
`or
`software,
`consisting
`of a computer-readable medium including
`program instructions
`that perform a series of
`steps.
`Moreover, while the invention
`is described
`herein in
`reference
`to file-based storage,
`it can be employed in
`other data storage schemas, such as block-based storage
`systems. Additionally,
`it should be noted that
`the term
`"volume"
`can also be defined to include a logical unit
`number (LUN) that designates one or more disks."
`
`Ex. 1005,6:17-27.
`
`a network storage appliance is a
`By way of background,
`special-purpose
`computer
`that
`provides
`file
`service
`relating to the organization
`of information
`on storage
`devices, such as disks. However,
`it will be understood by
`those
`skilled in the art
`that
`the inventive
`concepts
`described herein may apply to any type of filer whether
`implemented
`as a special-purpose
`or general-purpose
`computer,
`including a standalone computer. The filer 110
`comprises
`a processor 222, a memory 224, a network
`adapter 226 and a storage adapter 228 interconnected by
`a system bus 225. The filer 110 also includes a storage
`
`3
`
`Page 5 of 10
`
`
`
`a file system to
`implements
`operating system 230 that
`as a hierarchical
`logically
`organize
`the information
`structure of directories and files on the disks.
`
`Ex. 1005, 6:40-52.
`
`the storage operating system 230 includes a
`In addition,
`disk storage layer 324 that
`implements
`a disk storage
`protocol,
`such as a RAID protocol,
`and a disk driver
`layer 326 that implements a disk access protocol such as,
`e.g., a Small Computer Systems
`Interface
`to (SCSI)
`protocol.
`
`Ex. 1005,8:9-14.
`
`the software "path" 350 through
`It should be noted that
`system layers described
`above
`the storage operating
`needed to perform data storage
`access
`for
`the client
`request
`received
`at
`the
`filer may
`alternatively
`be
`implemented in hardware or a combination of hardware
`and software.
`
`Ex. 1005, 8:39-43.
`
`the
`of
`The foregoing has been a detailed description
`can be
`invention. Various modifications
`and additions
`made without departing from the spirit and scope of this
`invention.
`Furthermore,
`it expressly contemplated
`that
`the processes
`shown and described
`according
`to this
`invention can be implemented as software, consisting of
`a
`computer
`readable medium including
`program
`instructions
`executing on a computer,
`as hardware or
`firmware using state machines
`and the alike, or as a
`combination of hardware,
`software and firmware. While
`this description
`has been written in terms of Internet
`Protocol addresses,
`it is expressly contemplated that any
`form of network address can be utilized in accordance
`with the ~eachings of this invention. Accordingly,
`this
`description is meant
`to be taken only by way of example
`and not to otherwise limit the scope of this invention.
`
`Ex. 1005, 11:57-12:4.
`
`4
`
`Page 6 of 10
`
`
`
`15.
`
`A person of ordinary skill in the art would understand these passages in
`
`Cramer
`
`to teach the construction
`
`of IP volumes would be implemented
`
`in
`
`hardware,
`
`firmware or software or any combination.
`
`16.
`
`A person of skill
`
`in the art would further understand that Cramer's
`
`IP
`
`volumes would include hardware RAID volumes and software RAID volumes.
`
`17.
`
`Cramer teaches that one of the advantages sought by the system disclosed
`
`therein is load balancing and improved uptime by moving a volume from one
`
`filer to another. Ex. 1005, 11:2-4; 11:49-56. A person of skill in the art would
`
`understand that
`
`to transfer ownership of a volume from one filer to another,
`
`where both filers share a common storage switching network, would involve the
`
`transfer of mapping information. The physical disks in the switching network
`
`would not move. This
`
`suggests
`
`that Cramer's volumes
`
`and Cramer's
`
`IP
`
`volumes are logical constructs as they provide a level of indirection between the
`
`clients on the LAN and the disks on the switching network.
`
`18.
`
`A person of skill in the art would understand that both hardware RAID
`
`volumes and software RAID volumes to be logical constructs because a user
`
`would have the ability to define one or more volumes of desired sizes on a
`
`given array of disks.
`
`V.
`
`PATTERSON CONFIRMS THAT HARDWARE AND SOFTWARE
`RAID VOLUMES WERE KNOWN TO PERSON OF SKILL IN
`THE ART
`
`19.
`
`Ex. 1027 is a well-known article by David Patterson, Garth Gibson, and
`
`Randy Katz of
`
`the Computer Science Division, Department
`
`of Electrical
`
`5
`
`Page 7 of 10
`
`
`
`Engineering
`
`and Computer
`
`Sciences, University
`
`of California, Berkeley,
`
`published in 1988.
`
`20.
`
`Patterson discloses basic RAID concepts, and teaches RAID volumes
`
`may be implemented in hardware or software. For example, Patterson teaches:
`
`12. Discussion·
`
`Before concluding the paper, we wish to note a few more
`interesting points about RAIDs. The first is that while the
`schemes
`for disk striping
`and parity
`support were
`presented as if they were done by hardware,
`there is no
`necessity to do so. We just give the method, and the
`decision between hardware
`and software
`solutions
`is
`strictly one of cost and benefit. For example,
`in cases
`where disk buffering is effective,
`there is no extra disks
`reads for level 5 small writes since the old data and old
`parity would be in main memory, so software would give
`the best performance as well as the least cost.
`
`VI.
`
`21.
`
`INTRODUCTION TO NETWORKING
`
`I was asked by counsel
`
`to investigate whether Exhibit 1024, printed on
`
`January 16, 2018, is identical
`
`to materials posted on Patent Owner's expert, Dr.
`
`Prashant Shenoy's public web sites at URL:
`
`http://lass.cs.umass.edu/~shenoy/courses/springOO/653/lectureslIntro.pdf
`
`22.
`
`I accessed this URL on about January 14, 2018 and again on February 2,
`
`2018.
`
`23.
`
`I compared the content posted at
`
`the URL in paragraph 20 above to
`
`Exhibit 1024 and I believe Exhibit 1024 is a true and accurate copy of the
`
`material posted at this URL as of February 2, 2018.
`
`6
`
`Page 8 of 10
`
`
`
`24.
`
`A person of ordinary skill would understand that a NIC is a network
`
`resource and is typically assigned one MAC address per physical port by its
`
`manufacturer.
`
`See e.g., Cramer at 9:46-49.
`
`25.
`
`In the 2002 time frame,
`
`a person
`
`of ordinary
`
`skill would further
`
`understand the cost of each NIC to range from about $50 to $500 depending
`
`upon manufacturer
`
`and capacity, and that
`
`there are financial costs associated
`
`with purchasing,
`
`installing and maintaining
`
`each additional NIC as network
`
`resources.
`
`VII. AVAILABILITY FOR EXAMINATION
`
`26.
`
`In signing this declaration,
`
`I recognize that the declaration will be filed as
`
`evidence in a contested proceeding before the Patent Trial and Appeal Board of
`
`the United States Patent and Trademark Office.
`
`27.
`
`I also recognize
`
`that
`
`I may be subject
`
`to cross-examination
`
`III the
`
`proceeding
`
`and I will appear
`
`for cross-examination,
`
`if required, within the
`
`United States and during the time allotted.
`
`VIII. RIGHT TO SUPPLEMENT
`
`28.
`
`I reserve the right
`
`to supplement my opinions in the future to respond to
`
`any arguments
`
`that
`
`the Patent Owner
`
`raises and to take into account new
`
`information as it becomes available to me.
`
`IX.
`
`29.
`
`SWORN OATH
`
`I declare that all statements made herein of my own knowledge are true
`
`and that all statements made on information and belief are believed to be true,
`
`7
`
`Page 9 of 10
`
`
`
`and further that these statements were made with the full knowledge that willflJI
`
`false statements and the like so made are punishable by fine or imprisonment, or
`
`both, under Section 1001 of Title 18 of the United States code.
`
`Date
`
`Scott C. Karlin
`
`8
`
`Page 10 of 10
`
`
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