Case 3:04-cv-03284-Jsw Document 27 Filed 1u1sl04 Page 1of 28
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`MARK A. LAUER (tsar No.163756)
`THOMAS W. LAIIHRAM (BarNo. 59639)
`T. LESTER WALLACE (BarNo. 159967)
`SILICON EDGE LAW GROILIP, LLF
`6501 Koll Center Parkway
`Suire 245
`Pleasanton, Califomia 94566
`Tefephone: 925-621-2n10
`Facsirnile: 925-621-2119
`
`Attomeys for Plaintiff
`Alacritech, Inc.
`
`T]N]TED STA-TES DISTRICT COURT
`
`NORTHERN DISTzuCT OF CALIFORNIA
`
`SAN FRANCISCO DIVISNON
`
`Case No.r C04 03284 JSW
`
`DECLARATION OF DR, KEV]IN
`ALMEROTH IN SUFPORT OF
`ALACRNTECH'S MOTION FOR
`PRELIMINARY NNJUNCTION O['
`MiICROSOI'T'S INFRINGEMENT OF
`CLAIM 1 0F U.S. PATENT 6,697,868
`
`The Honorable Jeffrey S. White
`
`) ) )) )) ) ) ) ))
`
`ALACRITECH, INC.,
`
`Pllaintifi
`
`MICROSOF'T CORPORATION,
`
`Defendant
`
`I, Dr. Kevin Almeroth, declare and state as follows:
`
`t
`hihit
`At,,/.,-Ldt\
`' -'-r i Ei- -iEfti-
`< :L{, rV
`Holr ' h'dmsd, csR 6334
`
`Qualifications
`1 . I arn ovex eighteen years old and arn fully competent to make this declaration l
`make this declaration in support of Alacritech's Motion For Prelirninary Injunction of
`
`Microsoft's Infringeme,nt Of Claim I Of U.S. PatentNo.6,697,868. Except as indicated
`
`DECLARATNON OF DR, KEVIN ,{LMEROTH I
`IN SUPPORT OF ALACRITECH'S MOTION FOR
`PRELIMINARY INJLTNCTION OF MICROSOFT'S NNFRINGEMENT
`OF CLAIM 1 OF U.S. PATENT 6,697,868
`
`Case No. C04-03284 JSW
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`INTEL EX. 1250.001
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`Case 3:04-cv-03284-JSW Document 27 Filed LU19/04 PaEe 2 of 28
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`hereirq the facts stated hereirn are stated of my own personal knowledge and I could and would
`
`cornpetently testif,r as to such facts if calledl upon to do so.
`
`2. n have a Ph.D. in Computer Science from the Ceorgia Institute of Technology.
`
`3. n arn currently the Vice Chair and an Associate Professor in the Department of
`
`Computer Scirence at the University of Califomia in Santa Barbara. My main professional
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`research interests include computer networks and protocols, including the TCP and IP
`
`protocols.
`
`4. My emplolment history and field of expertise are described in my curricullunr vitae
`
`attached as Exhibit ,4 to this declaration.
`
`5. A list of the publications authored by me is attachedl to my curriculum vitae.
`
`Publications
`
`6,. My fee for llegal consrLrltation in this case is $400.00/hour. My compensatilon is not
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`Consultation Fee
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`conditioned on the outcome of this case.
`
`Testimony And Depmition In Other Recent Legal Actions
`
`7. I lrave provirded assistance as an expent in the following cases: ACTV v. Disney
`
`(00-CY-9622 SDIY; Toddlerwatch.com v. Motorola (01-12187-R.EK Mass); Bond llolders
`
`of @Hone v'. AT&T (02-5142-CRB NDC.A);andTwo-Way Mediav. ,AOL (C-04-089 SDTD.
`IIACTV v. Disney,I prepared an expert report, lirad my testimony taken in a deposition, and
`
`testified at a Markman Hearing in October 2001. \n Toddlerwatch.corn v. A.{otorola,l
`prepared an expert report in February 2003. ln Bond Holders of @,Ilone v. AT&T,I
`commented on claim construction issues in September 2003.
`
`DECLARATION OF DR, KEVIN ALMER.OT}N 2
`II',I SL]PPORT OF ALACRITECH'S MOTION FOR.
`PRELIMINARY INJUNCTION OF MICROSOFT'S TIIFRINGEMENT
`OF CLAIM ] OF U.S. PATENT 6,697,86E
`
`Case No. C04-03284 iSW
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`Case 3:04-cv-03284-JSW Document 27 Filed l.LlLglAA Page 3 of 28
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`Patent Materials Reviewed
`
`8. I have reviewedl patent documents including the following:
`
`a. U.S. Patent No. 6,697,868, and its file wrapper (the file wrapper of U.S' patent
`
`application serial nurnber I 0/208,093).
`
`b. The CD Appendix of U.S. Patent No ' 6,69'7,868 (CD Appendix ^A, CD Appendix
`
`B and CD Appendix C).
`
`c. U.S. Patent N o. 6,427,171, and its file wrapper (the file *rapper of U.S. patent
`
`application serial nurnber 09 I 51 4,425).
`
`d. Ur.S. Patent No.6,189,479. and its file wrappen (the file wrapper of U.S. patent
`
`application serial nurnber 091141,713).
`
`e. Provisional Patent Application No. 60/098,296.
`f. U.S. Patenl No. 6,226;680, and its firle *rapper (the file wrapper of U.S. patent
`
`applicafion serial number 091067,544).
`
`g. Provisional Patent Application No. 60/061 ,809'
`
`h. ni.S. Patent N o.6,434,62A, and its file wrapper (the file wrapper of U.S. patent
`
`application seriall number 09/384,792).
`i. Ttre CD Appendix of U.S. Patent No . 6,434,620 (CD Appendix A, CD Appendix
`
`B, CD Appendix C, and CD Appendix D).
`j" U.S. Patent No,6,42'7,17f, and its file wrapper (the file wrapper of U.S. patent
`
`application serial number 09 I 464,283).
`
`k. U.S. Patent No.6,247,06A, and its file wrapper (the file wrapper of U.S. patent
`
`applicatiron senial number 09/439,603).
`
`Exhibits To This Declaration
`
`9. Below is a list ofthe Exhibits to this declaration:
`
`Exhibit A - Curriculurn vitae of Dr. Kevin C. Almeroth.
`
`DECLARATION OF DR. KEVIN ALMEROiIIH 3
`IN SUPPORT OF ALACRITECH'S MOTION FOR
`PRELIMNNARY INJUNCTI]ON OF MICROSOFT'S INFRINCEMENT
`OF CLAIM I O[' U.S. PATENT 6,697,868
`
`Case No. C04-03284 JSw
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`INTEL EX. 1250.003
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`Case 3:04-cv-03284-JSW Document 27 Filed L71\5104 Page 4 of 28
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`Exhibit B - Compact Disc labeled "Microsoft WinHEC 2004 Products & Tools D\D
`
`3 - Microsoft Windows Code Name Longhom ISO Images."
`Exhibit C - Photocopy ofthe front side ofthe Compact Disc of Exhibit ts.
`Exhibit D - Compact Diso labeled "Microsoft WinHEC 2004 Products & Tools DVD
`
`2 - Microsoft Windows Code Name Longhom ISO Images."
`Exlibit E - Fhotocopy of the front side of the Compact Disc of Exhibit D.
`Exhibit F - Copy of the "readrne" file, titled "Readme for the Freliminarl' Release of
`Mircrosoft Windows Code Name "Longhom" ," from the compact disc of Exhibit D.
`Exhibit C - Compact disc enti,tled "Mircrosoft WintIEC 2004 - Event In a BoN -
`DVD]".
`
`Exhibit H - Photocopy ofthe front side oftlre compact disc of Exhibit G.
`Exhibit t - Compact disc entitled "Microsoft WinHEC 2004 - Event In a Box -
`D\.D2".
`
`Exhibit J - Photocopy ofthe front side ofthe cornpact disc of Exhibit I.
`
`Exhibit K - Slides ,rf the WinHEC 20041 presentation entitled "Windows Architecture
`And Roadmap For Scallable Netw'orking" (submitted as Exhribits Kl and K2).
`
`Exhibit L - Slides of the WinHEC 2004 presentation entitled "Designing Quality
`Advanced Ethemet Adapters And Drivers."
`
`Exhibit M - Slides of the WinHEC 2004 presentation entitled "Writing NDIS Dnivers
`For llCP Offioad Engine NICs."
`
`Exhibit N - White paper entitled "Microsoft Windows Scalahle Networking Initiative
`- WinHEC 2004 Vension - Apriil 13, 2004."
`Exhibit 0 - Whirte paper entitled "Scalable Networking: Network Protocol Offload -
`Introducing TCP Chimney."
`
`Exlibit P - TCP specification (RFC793).
`
`DECLARATION OF DR, KEVIN ,{LMEROTI-I 4
`IN SUPPORT OF ALACRITECH'S MOTION FOR.
`PRELIMII-ARY INJUNCTION OF MnCROSOFT'S D'IFzuNGEMENT
`OF CLAIM I OF U.S. PATETT-T 6,697,86E
`
`Case No. C04-0328,1 JSw
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`Case 3:04-cv-03284-Jsw Docurnenl 27 Filed 11/19/04 Page 5 of 28
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`Exhibilt Q - Figure 24,15 of the book entitled "TCPiP Illuslrated," Volume 2 (7'r'
`
`edition, 1999), by Gary R. Wright and W. Richard Stevens, that is ilncorporated by refercnce
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`into the '868 palent.
`Exhibit R- Documentation enlitled "Full TCP Offload" found in the Longhorn
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`Development Kit"
`
`U.S. Patent No. 6,697,868
`
`10. U.S. Patent No. 6,697,868 (the '868 Plrtent) discloses and teaches in Figure I and
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`the corresponding text a host computer 20. Figure I is replicated below.
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`HOST
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`20- J
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`STOR.},GE
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`J 5
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`33
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`30
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`INIC/CPD
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`22
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`REMOTE
`HOST
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`25
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`CPU
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`28
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`As illustrated in Figure L, host computer 20 is couplledJto a remote host 22 by a network 25'
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`The host computer 20 includes a central prooessing unit (CPU) 28, storage 35, and an
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`irntelligant network intrerface card (IMC) 30.
`I t. In the networking and computer arts to which the '868 patent pertains, a network
`interlace card is often aalled a "NIC".
`
`12. As set forlh in the '868 patent in places such as collumn 6, lilnes 1l-2, the
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`INICiCPD 30 appea,ring in Figune I ofthe '868 patent has a,n ability to perfornr TCP protocol
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`processing functions. The IMC/CPD 30 appearing in Figure 1 of the'868 patent is lherefore
`
`DECLARATION OF DR, K.EVIN ALMEROTH 5
`]N SIJPPORT OF AILACRNECH'S MOTION FOR
`PREILIMINARY INJTJNCT1ON OF MICROSOFII'S INFRINGEME'I{I
`OF CLAIM 1 OF U.S. PATE}IT 6,697,868
`
`Ca-se No. C04l{3284 ISW
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`Case 3:04-cv-03284-JSW Document 27 Filed LIl19l04 Page 6 of 28
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`a tlpe of NIC, and becaurse it can perform TCP protocol processing it is called an
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`"intellligent" network interface oard, or "INIC."
`
`13. To install a NIC on a host computer, a pieoe of so'ftware commonly referred to as
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`a "driver" irs loaded onto the host cornput€r. CD Appendix C of the'868 patent contains a
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`copy of source code for such a "driver",
`14- The driver execlltes onthe CPU ofthe host computer. The host oomputer also
`typically runs operating system software. The operating system typically includes softwarc
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`called a "protocol processing stack." CD Appendix C ofthe '868 patent contains a copy of
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`source code for such a protocol proaessing stack.
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`15. The driver provides an interface between the NIC card andl the protocol
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`processing stack of the operating systern ofthe computer.
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`16. I'igure 4 ofthe '868 patent illustrates protocol processing staok software 44 as
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`well as driver software 70. Figure 4 is replicated, below.
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`PROTOCOL
`PROCESSINC
`SlIACK
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`t00
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`108
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`\
`l|0
`\
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`MNIPORT
`DRTVER
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`t02
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`105
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`\
`112
`\
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`iNIC/CPD
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`44
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`70
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`30
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`As illustrated in Figure 4, the driver software 70 provides an interface between the INIC 30
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`and the prolocol processing stack 44. tsoth th€ driver software ?0 and the protocol
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`processing stack 44 are programs, or sets of instructions, that are executed b,y the CPU 28 ol'
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`host cornputer 20. Column 3, lines 2l-22l ofthe'868 patent, for example, states that CPU 28
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`DECLARATI]ON OF DR. KE\IN ALMEROTH 6
`IN SUPPORT OF ALACRITECH'S MOTION FOR
`PRELIMINARY INJIUNCTION OF MICROSOFT'S IINFRINCEMENT
`oF CLAIM I OF U.S. PATENT 6!697"868
`
`Case No. C04-03284 JSW
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`Case 3:04-cv-03284-JSW Docunlent 27 Flled 1Ll1"SlA4 Page 7 of 28
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`runs the protocol processing stack 44 of instructions. Column 8, lilnes 61-62 ofdre '868
`
`patent, for example, states that driver 70 is installedl on host computer 20.
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`17. When a host computer comrnunicates in conventional fashion with a remote host
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`using rhe TCP and IP prorocols, the CPU ofthe host computer perlorrns a substantial amount
`ofprotocol processing on the information. As set forth in the background section ofthe 'E68
`patent, a large portion ofthe CPU's computing resources rnay be consurned hy such protocol
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`processing, and tlhis may interfere with the CPU's ability to perfnrm other tasks.
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`I 8. The '868 patent discloses and teaches the olfloading of time consuming protocol
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`processing tasks frorn the CPu of a host oomputer to an intelligent nemork interface card
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`(INIC).
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`19. The '868 patent discloses and teaches a "set of instructions" that are executable
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`on the CPU 28 of host computer 20. This "set of instructions" includes protocol processing
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`stack 44.
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`20. The '868 patent discloses and teach€s
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`that the set of instructions are executed' by
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`CPU 28 such that a TCP connection is established between host computer 20 and rernote host
`22. Ancethe TCP connection has been estabtished, then messages can be communicated via
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`the TCP connection between host computer 20 and remote host 22.
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`2ll. The '868 palent discloses in column 9, lines 50-55, that "the protocol processing
`stack 44 on the host has responsibility for deciding when a connection is to be handedl out to
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`the INIC/CPD 30. ,4 connection can be handed out to the INIC/CPD 30 as soon as the
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`connection is fully es/c6lis/ied." (emphasis added).
`22. CD Appendix C ofthe'868 patent includes a set of instructions (in source code
`format) fbr a protocol processing staok that runs on a host cornputer. The set of instructions
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`includes instructions f'or putting a TCP connection into the esraDlislred state. (emphasis
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`added).
`
`23. The '868 patent disoloses and teaches that tl,e set of instructions, once xhe TCP
`connection is established, oan cause the TCP connection to be "offloaded" ftom the cPU 28.
`
`DECLARATION OF DR, KEVI},I ALMERO']IH 7
`IN SUPPORT OF ALACRITECH'S MOTION FOR
`PRELNMNNARY INJUNCTION OF MICROSOFT'S INFRINGEMENT
`OF CLAIM 1 OF U.S, PATENT 5,697.868
`
`Case No. C04-03284 JSW
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`Case 3:04-cv-03284-JSW Documenl 27 Filed 7U19tA4 Paoe I of 28
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`This offloading allows some of the most time consuming protoool processing associated with
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`the TCP connection to be performed by the INIC 22 rather than the CPU 28 ofthe host
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`oomputer 20.
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`24. "Offloading" a TCP connection is also referred to as "handing out" a TCP
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`oonnection or "connection handout". The '868 patent explains in column 5, lines 60-62 rhat
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`a Communication Control Block or "CCB" "oontains the set of variables usedl to represent
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`t.lre state ofa given TCP connection." The '868 patent in lines 47-48 explains that a CCts
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`defirnes a particular TCP connection. The '868 patent thren explains in column 5, lilnes 62-65
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`that "transfer of a CCB frorn the host to the I]-IIC/CPD is termed a oonnection handout..."
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`25. The '868 patent discloses in column 6, lines l-2, that "once a connection handout
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`occurs, the INIC/CPD handles all TCP processinrg...". The '868 patent discloses in column
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`5, lines 35-38, tlat "...the present invention improves system perf,ormar,rce by offloading
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`TCP/IP data processing from nhe host protocol stack to the INIC/CPD."
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`26" The set ofprotocol processing stack instructions (in source code format) on CD
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`Appendix C includes instructions for offloading a TCP connection from a host computer to
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`an INnC.
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`Miorosoft's "TCP Chimney" Software
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`Distributedl at lhe WinHEC 2004 Conference
`
`27. Attached as Exhibit ts is a first compact dlisc that contains "a set of instructions"
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`made by Microsoft.
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`28. Attached as Exhibit C is a photocopy of the face of the compact disc of Exhibit
`B. The disc is labeled "Microsoft WinHEC 2004 Products & Tools DVD 3 - Microsoft
`Windows Code Name Longhorn ISO Images."
`
`29. Attached as Exhibit D is a second compact disc that was distributed along with
`
`the first compact drisc of Exhibit B during WiinHEC 2004.
`
`DECLARA.TION OF DR. KEVIN ALMEROTH 8
`IN SUPPORT OF ALACRITECH'S MOTION FOR
`PRELIMINARY NNJUNCTION OF MICROSOFT'S INFRINGEMENT
`OF CLAIM I OF U.S. PATENT 6.69'7,868
`
`Case No. C04-03284 JSW
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`Case 3:04-cv-03284-JSW Docur.nent 27 Filed Ln/l-9/04 Page 9 of 28
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`30. Attached as Exhibit E is a photrrcopy of the face of tlire compact disc of Exhibit
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`D. The disc is labeled "Microsoft WinHEC 2004 Products & Tools DVD 2 - Microsoft
`Windows Code Name Longhom IS0 Images."
`3 1 . The compact discs of Exhibits B and D were reoeived from Microsoft during a
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`conference called "WinHEC 2004". WinHEC stands for "Windows Hardware Engineering
`
`Conferencd'. The WinHEC 2004 conference was lhosted by Microsoft and took place in
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`Redmond, WA in May, 2004-
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`32. I am informed that cornpact discs identical to the compact disos of Exhibits B and
`
`D were made by Microsoft and were then distributed by Microsoft during the WinHEC 2004
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`conference to nunnerous attendees of dre conference.
`
`33. A "readme" file on the compact disc of Exhibit D is titlled "Readme for the
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`Pfetiminary R.elease of,Microsoft Windows Code Name "Longhorn." A copy of this
`
`"readme" file is attached as Exhibit F. After t}e title, a caption reads "Distributed at the
`
`Windows Hardware Engineering Conference May 2004". The "readme" file explains how to
`
`install the Longlnorn operating system on "x86-based systems", "Itanium-based systems" and
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`"64-bit extended systems".
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`3,11. The "set of instructions" that irs foundl on the compact disc of Exhibit B infringes
`Claim l of the '868 patent. The "set o'f instructions" is a Microsoft operating system code
`
`named "Longhom".
`35. The "set of instructions" is found il ttre form of a file named
`"lh_usa_4074_x86jro-dvd.iso." This file is an iso image file usable to create an
`
`installation compact disc. When the resulting installation compact disc is loadod onto an
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`x85-based cornputer, a set-up program automatically executes. A sequence of popup
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`screens is then displayed on the computer. These pop-up screens lead the user through a
`
`sequence of steps to load the Longhorn operating systern onto the x86-based computer'
`
`When installed on an x86-based system, tle x86 processor ofthe x86-hased computer
`
`executes the Longhom "set of instructions".
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`DECI,ARATION OiF DR. KEVIN ALMEROTH 9
`IN SUPPORT OF ALACRII|ECH'S MOTION FOR.
`PRE]LIMINARY INJUNCTION OF MICROSOFT'S INFRINGEMENT
`OF CLAIM I OF U.S, PATENT 6.697.E68
`
`Case No. C04-03284 JSW
`
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`Case 3:04-cv-03284-JSW Document 27 Filed 11,11#04 Page 10 of 28
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`36. A Pentium microprocessor is an example ofan x86 processor. An instruction set
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`defines the various instructions that an xE6 processor can execute. The instructirons ofthe
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`Longhom "set of instructions" are instructions of, the x86 instruction set.
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`37. The version of tlhe Longhom "set of instructions" is identified by a build number.
`
`The build number ofthe Longhom operating system "set of irnstructions" derived frorn the
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`iso file is build 4074. I tlerefore refer to this version as the Longhom build 4074 "set of
`
`instruction s".
`
`38. The Longhom buiild 4074 "set of inskuctions" includes a subset of instructions
`
`that implements a TCP offload capability. Microsoft calls the TCP offload capability "TCP
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`Chimney". In this declaration, I refer to the instructions that irrplement TCP Chimney as
`
`'lhe TCP Chimney softw'are".
`
`39. .4t the WinHEC 2004 conference, several oral presentations were made that
`
`describe the "TCP Chimney softvvare" and how it operates. Those presentations include:
`
`a. A presentation entitlled "Windows Arohitecture And Roadmap For Scalable
`
`Networking".
`
`b. A presentation entitledl "Designing Quality Advanced Ethemet Adapters And
`
`f)rivers".
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`c. A presentation entitled "Writing NDIS Drivers For TCF OffloadJ Engine NICs".
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`40. I ordered from Microsoft and received in the mail cornpact discs including two
`
`disos entitled "Microsoft WilnHEC 2004 - Event In a Box - DVD1" and "Microsoft
`Winl.IEC 2004 - Event In a Box - DVD2", respectivelly. These compact discs contain video
`(in the form of files of digital information) ofthe three presentations mentioned above. The
`
`compact discs also contain electronic copies of overhead slides ttrat were presented at the
`
`conference conterrrporaneously with d\e pres€ntations. The electronic copies are in the form
`
`of PowerPoint files (.ppt filles). In adldition to the two compact dliscs, the "Event In a Box"
`
`inoludsd conference proceedings.
`
`DECL,A.RAIIION OF DR, KEVIN ALMEROTH 1]{)
`IN SUPPOR.T OF AL.ACRITECH'S MOTION FOR
`PRELNMNNARY INJUNCTION O[' MICROSOFT'S INFRINCEMENT
`OF CLAIM 1 OF U.S, PATENT 6,697.868
`
`Case No. C0,l{32841 JSW
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`INTEL EX. 1250.010
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`

`

`Case 3:04-cv-03284-JSW Document 27 Filed 11"lI9lO4 Page 11 o'f 28
`
`41. Attached as Exhibit G is the first compact disc entitled "Microsoft winFIEC 2004
`- Event In a Box - DVDl".
`42. Attached as Exlnibit H is a photocopy ofthe front side ofthe first compact disc
`entitlled "Miorosoft WinHEC 2004 - Event In a Box - DVD1".
`43. Attached as Ex}ibit I is the second compact disc entitled "N4icrosoft WinFIEC
`
`2004 - Event In a Box - D\rD2".
`44. Attached as Exhibit J is a photocopy ofthe front side of the secondl compact disc
`entitledl "Microsoft WinHEC 2004 - Event In a Box - DVD2I'.
`45. Video of the presentation sntitled "Windows Architecture And Roadmap For
`scalable Netrvorking,' is found on the first comrpact disc labeled "DVDl." llhe vidleo can be
`viewedl by clicking on the fille "TW04074.htm." The slides presented with the presentation
`are found in the {'rle ..TW04074.ppt." A paper copy of the slides is attached as Exhibit K.
`46. Video of the presentation entitled "Designing Quality Advancedl Ethernet
`Adapters And Driversl'is fotLrnd on the first oornpaot disc labeled *DVDI." The video can be
`viewed by clicking on the file "TW040l2.htrn." The slides presented witlh the presentation
`are for.|rrd, in the file 'TW040l2.ppt." A paper copy of the slides is attached as Exhibit L.
`47. Video of the presentation endtled "Writing NDIS Drivers For TCP Oflload
`Engine Nlcs" is found on the firrst compact disc Iabeled "DVDl." The video can be viewed
`by clicking on ttxe iile *Tw04086.htun." The slides presenLed with the presentation are found
`in the file "TW04086ppt." A paper copy of.the slides is attached as Exhibit M'
`,118. Slide 37 of the presentation "windows Architecture And Roadrnap For Scalable
`
`Networking,,of Exhibit K directs the viewer and attendees of the WinHEC 2004 conference
`
`to the following wttito papers:
`
`a. "Microsoft Windows Scalable Networking Initiative"; and
`b. "scalable Networking: Network Protocol Offlload - Introducing TCP Chimney"'
`49. A copy of the white paper entitled "Mic,rosoft Windbws Scalable Networking
`Initiative - winlIEC 2004 Version - April 13, 200.1" is attached as Exhibit N. The face of
`DECLARATION OF DR., KEVIN ALMEROTH I I
`IN SUPPORT OF ALACRITECH'S MO]IION FOR.
`PRELIMINARY INruNCTION OF MlCROSOFT'S INFRINCEMEN]I
`OF CLAIM I OF U.S. PA1IENT 6.697.868
`
`Case No. C04-03284 JSW
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`28
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`INTEL EX. 1250.011
`
`

`

`Case 3:04-cv-03284-JSW Document 27 Filed 7I179t04 Paoe 12 of 28
`
`ttre white paper states "The current version ofthis paper is rnaintained on the Web at:
`
`htrrr :ii nllrr,.nr i croso11.conlvi'hdc./".
`
`50. A copy ofthe whito paper entitled "Soalable Networking: Network Frotocol
`Offload - Introducing TCP Chimney" is attactred as Exhibit O. The face of the white paper
`states "The current version of this paper is maintained on the Web at:
`
`hhrr: //wwr,v.nr icro soft . conriwhdc/".
`
`51. I have reviewedl the video of the presentations of Exhibits G and I, t}e slides of
`
`Exhibits K, L and M, and the white papers of Exhihits N and O. The video, slides and white
`
`papers constitute evidence that the "TCP Chimney so,ftware" that is part ofLonghorn
`
`operating system build 4074 that was distributedlto attendees ofthe WinHEC 2004
`
`conference embodies each and every recirtation of Claim I ofthe '868 patent and therefore
`
`infringes Claim 1 ofthe'E6E patent. A detailed explanation ofwhere each recitation of
`Clairn I is found in the infringing software is set forth below in the section entitled
`
`"lnfringement of Clairn ll of the '868 Fatent."
`
`Ilemonstration of "IICP Chimney" Software
`
`at the WinIlEC 20041 Conference
`
`52. A live technical dernonstration of the operation of a version of the Longhorn
`
`operating system, Longhom build 4073, was made at the WinHEC 2004 conference. Virdeo
`
`of the demonstration is found between tirne 25:45 and time 41:25 when the TW04074.htm
`
`video file on the compact disc of Exhibit G is viewed. Slides presented along with the
`
`dernonstration are sllides 13- l9 of the presentation of Exhibit K.
`
`53. The demonstration was performedl on a systern illustrated on slide 15 of Exhibit
`
`K. Slide l5 is replicated below.
`
`DECLARATION OF DR. KEVI\ ALMEB.OTH 12
`IN SUPPORT OF AILACRITECH'S MOTION FOR
`PRELIMINARY IN.IIUNCTI ON OF MI CROSOFT' S INFRINGEMEI.*T
`OF C]LAIM I OF U.S. PATENT 6,697,86E
`
`Case No. C04-03284 JSW
`
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`28
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`INTEL EX. 1250.012
`
`

`

`Case 3:04-cv-03284-JSW Document 27 Filed 1L119l$4 Page 13 of 28
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`Microsoft TCP Chimney with
`Broadcom TCP Offload Engine
`(NrrrcP)
`
`BnoaDcott
`
`NTTTCP ReceiMo {TOE, non-TOE)
`Server 4
`Server 3
`Broadcom 2x BCM5703 LOM
`Broadcom 2x C-NlC
`Microsoft Windows Sarv€r 2003
`Microsoft Longhorn 4073
`HP Servor DL360 G3
`HP Server DL380
`3.2 GlJz Pentium lV Xeon
`3.2 GHe Pentium lV Xson
`
`-*.h1 r-i
`,j
`
`N
`.d
`
`&ti':,,:
`
`A standard aerver configuration: 2 Nlcs per server
`13
`
`',ea
`
`As illustrated in slide 15, the system invollved a first computer (server 4) and a second
`
`computer (server 3). Sen'er 4 was an HP Server DL380. The processor ofserver 4 u'as a
`
`Pentium nV Xeon. Microsoft Longhorn operating system build 4073 was execufing on the
`
`processor of server 4. The "TCP Chimney software," which is part of the Longhorn
`
`operating system build 4073, was being executed by the Pentium processor ofserver 4 as part
`
`of the execution of the remainder of the Longhorn operating system. At time 28:39 of the
`
`video of Exhibit G, the statement is made "we're running TCP Chimney". Server 4 included
`
`a Broadlcorn C-NnC. The C-NIC is, as the title of stride l5 indicates, a'"TCP Of{load
`
`Engine".
`Server 3 was an HP Server DL360 G3. During the demonstration, a set of
`
`instructions executing on the Pentium processor of server 4 caused a TCP connection to be
`
`established. Ttre TCP connection was between server 4 and server 3. Once the TCP
`connection had been established, ttre TCP connection was "ofIloaded" such that the C-NIC of
`server 4 was performing protocol processing tasks. dt time 35:40 of the video, tile statement
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`is made that 'lhe connection we're using is actuallly offloaded". At tirne 36:00 ofthe video,
`
`DECLARATION OF DR. KEVIN ALMEROTH 13
`IN SUPPORI| OF ALACRITECH'S MOTION FOR
`PRELIMINARY INJUNCTION OF MICROSOFT'S TNFRINOEMENT
`OF CLAIM I OF U.S. PATENT 6,697,868
`
`Case No. C04-03284 JSW
`
`INTEL EX. 1250.013
`
`

`

`Case 3:04-cv-03284-JSW Document 27 Filed 11119104 Page 1-4 o{ 28
`
`the statement is macle that "the connection that is being used on the receivil'rg side, the side
`
`that is retrieving t}e files, is actually an offloaded co'nneaion" (emphasis added).
`
`54. Slide 16 entitled "TCF Offload Engine (TOE) Preliminary User Mode
`
`Performance" contains performance dlata for the demonstratiron. This performance data irs
`
`evidence that protocol processing tasks were offloaded ftorn the "CPU" of senver 4 to a C-
`
`NIC of server 4.
`
`55. The C-NIC of server 4 is part of an "inlelligent TCP offload meohanism".
`
`56. During the demonstration, Longhom build 4073 executed on a processor, caused
`
`a TCP connection to be established, and then offlcaded the TCP connection from the
`
`processor to an intelligent TCP offioad mechanirsm.
`
`Interpretation of Terms in Claim 1 Of The'868 Patent
`
`57. I interpret Claim I ofthe 'E68 patent andlterms that appear in Cllaim I ofthe '868
`
`flatent as one of ordinary skill in the art (at the time t}e invention was made) would have
`
`interpreted the claim and the terms after reviewing: the terrt andlFigures of the '868 patent
`
`(including the CD appendix ofthe '868 patent and the documents inoorporated by reference
`
`into the '868 patent), the other cllaims in the '858 patent, the prosecrLrtion history ofthe '868
`
`patent, and the patent docruments that are listed in the "Cross Reference To Related
`
`Applicalions" section of the' 868 partent.
`
`58. The phnase "set of instructions executable on a prooessor" in Claim I ofdre '868
`
`patent rneans "code such as software that can be run by a processor"- A Pentiunr
`
`rnicroprocessor is an example ofa "processor" as the teffn "processor" is used in Claim I of
`
`the '868 patent. An exanrple ofa "set of instructions" in the '868 patent is an operating
`
`system that includes a protocol processing stack.
`59. The term "TCF connection" in Claim 1 ofthe 'E6E patent means "a combirnation of
`
`information that idlentifies a process on a local host and a process on a remote host t.hat wish
`
`to communicate using TCP, describes the status of TCP communication between those
`DECLARATION OF DR. KEVIN ALMEROTH 14
`IN SUPPORT OF ALACRITECH'S MOTION FOR
`PRELIMIN,{RY INJUNCTION OF MICROSOFT'S INFRINGEMENT
`OF CLAIM I] OF U.S. PATENT 6.697,868
`
`Case Nir, C04-03284 JSw
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`

`

`Case 3:04-cv-03284-JSW Document 27 Fiied LU1sl04 Page 15 of 28
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`processes, and oan be emptoyed to send data between those processes using TCP"' Support
`
`for this interpretation is found in nunrerous places including the TCP specification (R-FC793)
`
`itself. A copy of the TCP specification (R.FC793) entitled "TCP standard (rfc793),
`
`Transmission Conlrol Protocol" is attached as Exhibit P. Page 5 of t}e TCP specification,
`
`Iines 15-24, deflines "Connectiions: The reliability and flow control mectranisrns described
`
`above require that TCPs initialize and maintain certain status information for each data
`
`strearn. The cambinalion of this informatioz, inoluding sockets, soquence numbers, and
`
`windou'sizes, is called o cofinection - - -When two processes wish to comrnunicate, their
`
`TCP's must first establish a connection (initialize the status information on each side)"
`
`(emphasis added).
`60. The phrase "establishing a TCP connection" in Claim I ofthe'868 patent rneans
`
`"putting a TCP connection into the "ESTABLISHIED" state"' The ESTABLISHED state is a
`
`state of a TCP connection. The ESTABLXSHED state is definedl by the TCP specifioation
`
`(RFC793).
`
`61. The phrase "the TCP connection being at least in part iidentiified by a TCP source
`port, TCP dlestination port, IP source address. and IP destination address" in Claim I ofthe
`,868 patent irs part of the definition of a "TCF conmection." The wordls "being at least in part
`
`identified by'' are a definitional recitation for the preceding term "TCP connection" within
`the context of the cllaim. A particular "TCP connection" can be uniquely identified by its
`
`TCP source and destination ports, ard its IP source and destination addresses. This is being
`
`spelled out by the "being at least in part identified by" phrase in Claim Il.
`
`62. The phrase "offloading the TCP connection from the processor to an intelligent
`TCP offload mechanirsm" in Claim I of the '868 patent rneans "transferring the TCP
`
`connection from the processor to an intellilgent TCP offload, mechanisrn". An example in the
`
`'868 patent of "oflloading the TCP connection from the processor to an intelligent TCF
`
`offloadtmeohanism" is the passing ofa CCB ftom stack 44 to driver 70 during the conneotion
`
`DECLARATION OF DR. KEVIN ALMEROTH 15
`IN SIIPPORT OF ALACRITECTN'S MOTION FOR
`PR.ELIMINARY INJUNCTION OF MICROSOFT'S INFRINGEMENT
`OS' CLAIM 1 OF U.S. P,ATENII 6,697,868
`
`Case No. C04-03284 .lSW
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`
`

`

`Case 3:04-cv-03284-JSW Document 27 Filed 7Ll1,9lO4 Page 16 of 28
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`handout process as set forth in the '86E patent, aoll. 9, lines 23-26. The "CCB"
`
`(Cc'mrnunioation Control Block) includes at least in part the TCP source port, the TCF
`
`destination port, the IP source address, and the IP destination address as set forth in the '868
`
`patent, col. 6, lines 7-10. As set forth in col. 9. Iines 25-30, when the driver receives *re
`
`CCB from the stack 44, the driver 70 in turn forwards the CCB on to trhe INIC 30.
`
`63. The terrn "intellligent TCP offload nrechanisrn" in Claim 1 ofthe '868 patent
`
`means "a network interface for the processor, wtrich ils capable of processing the established
`
`TCP connectiionr". An examplle in the '868 Patent of an "intelligent TCP offload mechanism"
`
`is the combination of IMC 30 and driver software 70.
`64. Claim 2 depends from Claim l. Claim 2 recites that "the TCP offload
`mechanism" of Claim I "is a network interface card (NIC)i'. Claim t has a scope that is
`broader than, and also encompasses, the scope of Clairn 2. I interpret the term "intelligent
`
`llCP offload mechanism" in Clain: I consirstent with the specif'rcation of the '868 patent to
`
`encornpass a cornbination of an intelligent NIC and its driven software, whereas I interpret
`
`Clainr,2 as r:nore specifically defining that the intelligent TCP offload mechanism is a
`
`"network interface card (NIC)" without iG associated softwa,re driver. Because the scope of,
`
`Claim 11 encompa