`
`____________
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`____________
`
`
`Unified Patents Inc.,
`
`Petitioner
`
`v.
`
`Catonian IP Management LLC
`
`Patent Owner
`
`
`IPR2017-_____
`
`U.S. Patent No. 8,799,468
`
`____________
`
`
`DECLARATION OF NORMAN HUTCHINSON, PH.D.
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`
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`Unified Patents Ex. 1003, pg. 1
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`
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`TABLE OF CONTENTS
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`I.
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`Introduction.......................................................................................1
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`II. Qualifications.....................................................................................1
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`III. Basis of Opinions................................................................................6
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`IV. Understanding of Legal Standards ......................................................6
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`V. Description of the Relevant Field and Timeframe ................................9
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`VI. The Person of Ordinary Skill in the Art (“POSA”) in the Relevant
`Timeframe ................................................................................................ 10
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`VII. Overview of the ’468 Patent .............................................................. 11
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`A.
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`B.
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`The ’468 Patent’s Specification .................................................. 11
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`The ’468 Patent’s Prosecution History ........................................ 15
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`VIII. Technology Background for the ’468 Patent ...................................... 17
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`A. Discussion of the State of the Art as of 2003 ................................. 17
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`B.
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`Brief Overview of Relevant Prior Art ........................................... 33
`1. The Freund Patent .............................................................. 33
`2. The Spusta Patent Application .............................................. 35
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`IX. Claim Interpretation ........................................................................ 36
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`A.
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`B.
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`C.
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`“service provider network” ........................................................ 37
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`“controller instructions” ........................................................... 39
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`“gateway unit” ......................................................................... 44
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`X.
`Patentability Analysis for Claims 1-5, 9, 11-13, 19, 23-27, and 32-34 of
`the ’468 Patent .......................................................................................... 46
`
`Freund Renders Claims 1-5, 9, 12, 19, 23-27, and 33 Obvious, and
`A.
`Spusta Renders Claims 1-3, 11, 13, 23-25, 32, and 34 Obvious ................ 47
`
`B.
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`Element-by-element analysis of the challenged claims ................... 51
`
`XI. Secondary Considerations .............................................................. 141
`
`i
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`Unified Patents Ex. 1003, pg. 2
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`XII. Availability for Cross Examination ................................................. 142
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`XIII. Right to Supplement....................................................................... 142
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`XIV. Conclusion ..................................................................................... 143
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`
`
`ii
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`Unified Patents Ex. 1003, pg. 3
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`I, Dr. Norman Hutchinson, Ph.D., declare as follows:
`
`I. INTRODUCTION
`
`1.
`
`I have been retained by Unified Patents Inc. (“Unified” or
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`“Petitioner”) as an independent expert consultant in this proceeding before the
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`United States Patent and Trademark Office. Although I am being compensated at
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`my rate of $275 per hour for the time I spend on this matter, no part of my
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`compensation depends on the outcome of this proceeding, and I have no other
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`interest in this proceeding.
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`2.
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`I have been asked to consider whether claims 1-5, 9, 11-13, 19, 23-27,
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`and 32-34 of U.S. Patent Number 8,799,468 are patentable over various prior art.
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`As discussed below, I conclude that they are not.
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`II. QUALIFICATIONS
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`3.
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`I am currently a Professor of Computer Science at the University of
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`British Columbia in the Faculty of Science, where I have worked since 1991.
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`Previously I was a Professor of Computer Science at the University of Arizona.
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`4.
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`For more than 30 years, I have studied, designed, and worked in the
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`field of computer science. My experience includes more than 25 years of teaching
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`and research, with research interests including distributed systems, programming
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`languages and compilers for distributed systems, file systems, network protocols,
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`and operating systems.
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`1
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`Unified Patents Ex. 1003, pg. 4
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`5.
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`I received a Bachelor of Science (Honors) degree in Computer
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`Science from the University of Calgary in 1982, a Master of Science degree in
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`Computer Science from the University of Washington in 1985, and a Doctor of
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`Philosophy degree in Computer Science from the University of Washington in
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`1987.
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`6.
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`Over the last three decades, I have architected, developed, and
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`evaluated a large number of operating systems and distributed systems: Eden and
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`Emerald at the University of Washington; the x-kernel at the University of
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`Arizona; Elephant, Kea, Tui, Mammoth, Remus, Parallax, Capo, DOHA and others
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`at the University of British Columbia. These systems have included object-
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`oriented systems and languages for distributed systems (Eden and Emerald),
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`operating systems (x-kernel and Kea), file systems (Elephant, Mammoth, Parallax,
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`Capo), process migration systems (Emerald and Tui), systems for high availability
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`(Remus) and browser based middleware for interactive applications (DOHA).
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`7.
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`In 2001, I co-founded Silicon Chalk, Inc., which developed
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`distributed software to enhance the utility of laptops in the classroom. This
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`software included the ability to share information from the instructor to the
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`students, from the students back to the instructor, and directly between students,
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`including replication of both control information and instructional content. I
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`2
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`Unified Patents Ex. 1003, pg. 5
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`
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`served as Silicon Chalk’s Chief Technical Officer until 2005 when it was
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`abandoned.
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`8.
`
`I have served on the Program Committees for over a dozen scientific
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`conferences and symposiums covering the fields of distributed computing,
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`operating systems, object-oriented programming and architecture. I have been a
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`reviewer for more than 40 journals and funding agencies in computer science.
`
`9.
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`I have supervised 12 Ph.D. students in Computer Science, and an
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`additional 45 M.Sc. students. I have taught undergraduate and graduate courses for
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`more than 25 years in programming, programming languages, compilers, operating
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`systems, distributed systems, and networking. Overall, I have contributed to the
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`education of more than 2,200 students.
`
`10.
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`I am the author or co-author of over 60 journal and conference
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`publications. Many of these publications describe distributed computing systems,
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`some of which are directed specifically to client-server interaction. Below is a list
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`of my publications that are particularly relevant to this topic:
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`
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`
`
`A. Black, N.C. Hutchinson, E. Jul, H. Levy and L. Carter,
`“Distribution and abstract types in Emerald”, IEEE Transactions on
`Software Engineering, 13(1):65-76, January 1987.
`
`E. Jul, H.M. Levy, N.C. Hutchinson and A.P. Black, “Fine-grained
`mobility in the Emerald system”, ACM Transactions on Computer
`Systems, 6(1):109-133, February 1988.
`
`A. Black, N.C. Hutchinson, E. Jul and H. Levy, “Object structure in
`the Emerald system”. In Proceedings of the ACM Conference on
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`3
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`Unified Patents Ex. 1003, pg. 6
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`Object-Oriented Programming Systems, Languages and Applications,
`pp. 78-86, ACM October 1986.
`
`L.L. Peterson, N.C. Hutchinson, S.W. O'Malley and H.C. Rao, “The
`x-kernel: A platform for accessing Internet resources'', IEEE
`Computer, 23(5), May 1990.
`
`Alistair Veitch and Norman C. Hutchinson, “Kea - A Dynamically
`Extensible and Configurable Operating System Kernel”, Proceedings
`of the Third International Conference on Configurable Distributed
`Systems, pp. 123-129, Annapolis Maryland, May 1996.
`
`Norman C. Hutchinson, Stephen Manley, Michael Federwisch, Guy
`Harris, Dave Hitz, Steven Kleiman and Sean O'Malley, “Logical vs.
`Physical File System Backup''. Proceedings of the Third Usenix
`Symposium on Operating System Design and Implementation, pp.
`239--249, February, 1999.
`
`Douglas J. Santry, Michael J. Feeley, Norman C. Hutchinson and
`Alistair C. Veitch, “Elephant: The File System That Never Forgets”.
`Proceedings of the Seventh Workshop on Hot Topics in Operating
`Systems, Rio Rico, Arizona, March 1999, pp. 2--7.
`
`Douglas J. Santry, Michael J. Feeley, Norman C. Hutchinson, Alistair
`C. Veitch, Ross W. Carton, and Jacob Ofir, “Deciding when to forget
`in the Elephant file system”. Proceedings of the Seventeenth ACM
`Symposium on Operating Systems Principles, Kiawah Island, SC,
`December 1999, pp. 110--123.
`
`Peter Smith and Norman C. Hutchinson, “Heterogeneous Process
`Migration: The Tui System”. Software – Practice and Experience,
`28(6), pp. 611--639, May, 1998.
`
`D. Makaroff, Norman C. Hutchinson, “Development and Evolution of
`a Heterogeneous Continuous Media Server: a case study”. Journal
`of Software Maintenance and Evolution: Research and Practice,
`17(2), pp. 143--167, Apr 2005.
`
`Dmitry Brodsky, Michael J. Feeley and Hutchinson, Norman C.,
`“Topology Sensitive Replica Selection”, Proceedings of the 25th
`Symposium on Reliable Distributed Systems, Leeds, UK, October
`2006, pp. 18-28.
`
`4
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`Unified Patents Ex. 1003, pg. 7
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`
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`Dutch T. Meyer, Gitika Aggarwal, Brendan Cully, Geoffrey Lefebvre,
`Michael J. Feeley, Norman C. Hutchinson and Andrew Warfield,
`“Parallax: Virtual Disks for Virtual Machines”, Proceedings of the
`Third EuroSys Conference (EuroSys '08), Glasgow, Scotland, April
`2008, pp. 41-54.
`
`Brendan Cully, Geoffrey Lefebvre, Dutch Meyer, Mike Feeley,
`Norman C. Hutchinson, Andrew Warfield, “Remus: High Availability
`via Asynchronous Virtual Machine Replication”, Proceedings of the
`Fifth USENIX Symposium on Networked Systems Design and
`Implementation, San Francisco, CA, April 2008, pp. 161-174.
`
`11.
`
`I am a member of several professional organizations for Computer
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`Scientists, including the Association of Computing Machinery (ACM) and the
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`Institute of Electrical and Electronics Engineers (IEEE). I often teach classes on
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`distributed systems and Internet programming, and in these classes I regularly
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`assign undergraduate students the task of implementing web servers, web clients,
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`web proxies, and web content filters that deny access to web content based on
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`rules. This is a straightforward assignment that third or fourth year undergraduate
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`students can successfully complete.
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`12. A copy of my curriculum vitae, which describes in further detail my
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`qualifications, responsibilities, employment history, honors, awards, professional
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`associations, invited presentations, and publications is attached to this declaration
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`as Appendix A.
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`5
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`Unified Patents Ex. 1003, pg. 8
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`
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`III. BASIS OF OPINIONS
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`13.
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`In forming my opinions, I have reviewed United States Patent No.
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`8,799,468 (“the ’468 Patent”) to Robert M. Burke II and David Z. Carman and its
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`file history as well as the patents and applications referenced in the section of the
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`’468 Patent entitled “Related U.S. Application Data.” I have also reviewed the
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`publications cited in the footnotes of this declaration and referenced in the inter
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`partes review petition submitted herewith. Additionally, I have analyzed the ’468
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`Patent’s specification and claims and the prior art submitted in the inter partes
`
`review petition. It is my expert opinion that the prior art regarding network access
`
`controllers and infrastructure renders unpatentable the challenged claims of the
`
`’468 Patent as being obvious.
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`IV. UNDERSTANDING OF LEGAL STANDARDS
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`14.
`
` I understand that a patent claim is unpatentable if the differences
`
`between the patented subject matter and the prior art are such that the subject
`
`matter as a whole would have been obvious at the time the invention was made to a
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`person of ordinary skill in the art (“POSA”). I am informed that this standard is set
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`forth in 35 U.S.C. § 103(a).
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`15.
`
`I understand that the following factors must be evaluated to determine
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`whether the claimed subject matter is obvious: (1) the scope and content of the
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`prior art; (2) the difference or differences, if any, between the scope of the claim of
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`6
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`Unified Patents Ex. 1003, pg. 9
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`
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`the patent under consideration and the scope of the prior art; (3) the level of
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`ordinary skill in the art at the time the patent was filed; and (4) so-called objective
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`indicia of non-obviousness, also known as “secondary considerations,” like the
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`following, which are also to be considered when assessing obviousness: (A)
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`commercial success; (B) long-felt but unresolved needs; (C) copying of the
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`invention by others in the field; (D) initial expressions of disbelief by experts in the
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`field; (E) failure of others to solve the problem that the inventor solved; and (F)
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`unexpected results. I also understand that evidence of objective indicia of non-
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`obviousness must be commensurate in scope with the claimed subject matter. I am
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`not aware of any objective indicia of non-obviousness for the ’468 Patent.
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`16.
`
`I understand that a prior art reference can be used to invalidate a claim
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`as being obvious under 35 U.S.C. § 103 when there was an apparent reason for a
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`POSA, at the time of the invention, to modify the reference, which includes, but is
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`not limited to (A) finding that it would be an obvious matter of design choice to
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`modify the prior art reference in a particular way and that the design choice would
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`not give unexpected results; (B) modifying the prior art method according to
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`known methods to yield predictable results; (C) substituting one known element
`
`for another to obtain predictable results; (D) using a known technique to improve a
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`similar device in the same way; (E) applying a known technique to a known device
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`ready for improvement to yield predictable results; (F) trying a finite number of
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`7
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`Unified Patents Ex. 1003, pg. 10
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`
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`identified, predictable potential solutions, with a reasonable expectation of success;
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`or (G) identifying that known work in one field of endeavor may prompt variations
`
`of it for use in either the same field or a different one based on design incentives or
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`other market forces if the variations are predictable to one of ordinary skill in the
`
`art.
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`17.
`
`I also understand that to prove that prior art or a combination of prior
`
`art renders a patent obvious, it is necessary to (1) identify the particular references
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`that, singly or in combination, make the patent obvious; (2) specifically identify
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`which elements of the patent claim appear in each of the asserted references; and
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`(3) explain a motivation, teaching, need or market pressure that would have
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`inspired a POSA to combine prior art references to solve a problem. In this regard,
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`obviousness can be established by (for example): combining prior art elements
`
`according to known methods to yield predictable results; simple substitution of one
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`known element for another to obtain predictable results; use of known techniques
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`to improve similar devices in the same way; applying a known technique to a
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`known device ready for improvement to yield predictable results; choosing from a
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`limited number of identifiable, predictable solutions with a reasonable expectation
`
`of success; known work in one field of endeavor prompting variations of it for use
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`in either the same field or a different one based on design incentives or other
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`market forces if the variations are predictable to a POSA; or, some teaching,
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`8
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`Unified Patents Ex. 1003, pg. 11
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`suggestion or motivation in the prior art that would have led a POSA to modify the
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`prior art reference or to combine prior art reference teachings to arrive at the
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`claimed invention.
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`V. DESCRIPTION OF THE RELEVANT FIELD AND TIMEFRAME
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`18. The ’468 Patent was issued to Robert M. Burke, II et al. on August 5,
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`2014. I have been informed that the ’468 Patent is a continuation of Application
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`No. 10/989,023, now U.S. Patent No. 8,122,128, filed on November 16, 2004 and
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`also claims priority to Provisional Application Nos. 60/563,064, 60/538,370, and
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`60/523,057 filed on April 16, 2004, January 22, 2004, and November 18, 2003,
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`respectively. I have been informed that I should assume that November 18, 2003
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`is the earliest possible priority date on which the ’468 Patent can rely.
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`19.
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`I have carefully reviewed the ’468 Patent and its file history. Based
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`on my review of this material, I believe that the relevant field for the purposes of
`
`the ’468 Patent is networking and distributed systems. I have been informed that
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`the relevant timeframe is on or before November 18, 2003, which is the filing date
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`of U.S. Provisional Application No. 60/523,057.
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`20. As described and as shown in my CV, I have extensive experience in
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`the relevant field. Based on my experience, especially with the distributed object
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`based systems Eden and Emerald in the 1980s which supported, remotely invoked,
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`and moved active objects between computers within a local network, and the
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`9
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`Unified Patents Ex. 1003, pg. 12
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`
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`distributed process migration system Tui in the 1990s which moved active UNIX
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`processes across the network between computers with different processor
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`architectures, I have a good understanding of the relevant field in the relevant
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`timeframe.
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`VI. THE PERSON OF ORDINARY SKILL IN THE ART (“POSA”) IN
`THE RELEVANT TIMEFRAME
`
`21.
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`I have been informed that a POSA is a hypothetical person to whom
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`an expert in the relevant field could assign a routine task with reasonable
`
`confidence that the task would be successfully carried out. In my opinion, for the
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`’468 Patent, a POSA would have a bachelor’s degree in Computer Science, or
`
`related discipline, and two years of relevant experience. I have been informed that
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`the level of skill in the art is evidenced by the prior art references. The prior art
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`discussed herein demonstrates that a POSA, at the time the ’468 Patent was
`
`effectively filed, would be aware of regulating network access and how to design
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`such systems, TCP/IP-based networking as practiced in the Internet, of routers,
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`web proxies, web caches, and web servers, and of distributed systems and their
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`advantages and management. Based on my experience, I have an understanding of
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`the capabilities of a POSA. I have supervised and directed many such persons over
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`the course of my career. Further, I had those capabilities myself at the time of the
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`earliest priority date of the patent.
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`10
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`Unified Patents Ex. 1003, pg. 13
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`VII. OVERVIEW OF THE ’468 PATENT
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`A. The ’468 Patent’s Specification
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`22. The ’468 Patent describes a system for regulating access in a network,
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`such as the Internet. The system includes communication gateways (installed at a
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`subscriber site), an Internet control point (installed remotely), and various network
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`elements installed throughout the network. The communication gateways and
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`network elements (e.g., network switches and routers) operate in conjunction with
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`the Internet control points to restrict or allow users at clients (or subscriber
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`terminals) to access to specified Internet sites or “servers” (see Abstract). Fig. 1
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`below, which I annotated for ease of reference, shows the structure of the system.
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`In all of the figures in my declaration, I have consistently used color to identify the
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`elements of the ’468 Patent as shown in the legend below:
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`11
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`Unified Patents Ex. 1003, pg. 14
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`
`
`Network
`
`Controller
`
`Gateway Unit
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`- - -
`
`- First Processor
`
`:] First Network Interface
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`User Interface
`
`Second Processor
`
`a l
`
`:J
`
`_ Second Network Intertace
`
`—
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`Storage
`
`
`
`Active
`Intervention
`
`
`
`System
`
`[—
`
`Internet
`Control Point
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`66
`
`Access Node
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`Terminal
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`58..
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`50..
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`Subscriber
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`
`
`12
`12
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`Unified Patents Ex. 1003, pg. 15
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`Unified Patents Ex. 1003, pg. 15
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`23. The Internet Control Point (also known as “the controller”) controls
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`which clients or users should have access to which Internet resources (e.g.,
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`websites). The system uses a plurality of gateway units to facilitate this control.
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`The gateway units receive instructions from the controller telling them how to
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`control access to Internet servers by the individual subscriber terminals. The
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`format for these instructions is not specifically described in the specification,
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`except by what they allow the communication gateways (also known as “gateway
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`units”) to do. (EX1001, 2:23-37; 5:19-23; 9:66-10:6; 13:23-26; 13:63-65). The
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`instructions are primarily used to instruct the gateway units to allow or disallow
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`user access to a particular network server. (EX1001, 9:55-10:6; 6:7-18 (explaining
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`that a human operator discovers URLs or IP addresses to “pirate sites” to which
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`users should be denied access and then the controller informs the gateway units so
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`that they may prevent users from accessing those sites)). These “instructions”
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`appear to be distinct from the “program instructions” executed by the processor
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`(EX1001, 6:40-50), but they are described as being “executed” (EX1001, 5:17-23)
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`and “implemented” (EX1001, 6:25-36). Other than that, there is no information
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`about the form of the instructions that are transmitted from the controller to the
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`gateway units in the specification. Nevertheless, the controller has a database and
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`so do the gateway units. The controller is described as delivering new database
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`entries to the gateway units (EX1001, 6:15-18), and the specification describes
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`13
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`Unified Patents Ex. 1003, pg. 16
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`both the controller database and gateway unit databases as containing either
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`blocked or permitted URLs or IP addresses (e.g., EX1001, 16:15-50). The term
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`“instruction,” therefore, is used in a manner to include such things as URLs or IP
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`addresses.
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`24. The system operates in a simple manner as shown in Fig. 5 below.
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`
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`14
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`Unified Patents Ex. 1003, pg. 17
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`25. After receiving instructions from the controller, each time a network
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`access request is received from a user, the gateway units allow or deny access to
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`the network in accordance with the instructions that have been received. In other
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`words, the instructions indicate whether the user’s request to access a particular
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`website should be granted or denied. This is the essence of the two independent
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`claims, claims 1 and 23. Dependent claims describe additional functionality of the
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`gateway units, primarily based on performing actions according to other
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`instructions received by the controller. Additionally, while the ’468 Patent’s
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`specification mentions regulating access to a network for specific purposes, such as
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`digital rights management and law enforcement, the challenged claims are not so
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`limited.
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`B. The ’468 Patent’s Prosecution History
`
`26. The ’468 Patent issued from U.S. Patent Application No. 13/369,174,
`
`filed February 8, 2012 and is a continuation of U.S. Patent Application No.
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`10/989,023, filed on November 16, 2004. The ’468 Patent also claims priority to
`
`three Provisional Applications – Nos. 60/563,064, 60/538,370, and 60/523,057 –
`
`filed April 16, 2004, January 22, 2004, and November 18, 2003, respectively.
`
`27.
`
`I have been informed that the ’468 Patent received only one set of
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`substantive prior art rejections. The Examiner rejected claims 1-2, 8-12, 20, 23,
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`26, 31-32, 34, 39-43, 116-117, 119-123, 125-126, and 129-135 as anticipated by
`
`15
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`Unified Patents Ex. 1003, pg. 18
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`
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`Gregg et al (US Patent No. 6,516,416, “Gregg”). The Examiner also rejected
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`claim 17 as unpatentable over Gregg in view of Harvey et al (US Patent App. Pub.
`
`No. 2005/0033990, “Harvey”), claims 21, 28, 124, and 127 over Gregg in view of
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`Cooper at al. (US Patent App Pub. No. 2001/0051966, “Cooper”), and claims 29
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`and 128 over Gregg in view of Tarnoff (US Patent App. Pub. No. 2002/0169865,
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`“Tarnoff”). (EX1008, pp. 166-80).
`
`28.
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`In response, Applicants focused on distinguishing the independent
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`claims over Gregg. The Applicants argued that “it is submitted that Gregg does
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`not teach the recited ‘controller node,’ ‘controller instructions,’ and ‘gateway
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`units,’ and the relationships between them, i.e., the ‘controller node’ generating the
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`‘controller instructions,’ and transmitting the ‘controller instructions’ to the
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`‘gateway units,’ for the ‘gateway units’ to use to ‘selectively transmit content
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`requests to the service provider network.’” (EX1008, p. 205). For the obviousness
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`rejections for the dependent claims, the Applicants argued that the additional prior
`
`art did not cure Gregg’s deficiencies. (EX1008, p. 206).
`
`29. A Notice of Allowance issued on June 3, 2014, and the Examiner
`
`explained that the prior art failed to disclose the limitations of the independent
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`claims.
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`30. Based on my analysis of the ’468 Patent’s prosecution history, it is my
`
`opinion that the claims were allowed because the prior art failed to specifically
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`16
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`Unified Patents Ex. 1003, pg. 19
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`disclose the interaction between the controller and the gateway units in that the
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`controller transmits controller instructions to the gateway units. However, as I
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`discuss below, this architecture was well known before the ’468 Patent.
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`VIII. TECHNOLOGY BACKGROUND FOR THE ’468 PATENT
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`A. Discussion of the State of the Art as of 2003
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`31.
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`In the period from the 1970s leading up to 2003, a substantial body of
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`research has reported on the advent and subsequent advancement in networked
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`computing systems. In its simplest form, a networked system is a collection of
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`stand-alone computing machines (servers, client-PCs, etc.) that are connected
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`through a network, such as the Internet or a corporate intranet. One area of
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`network system research–which is of particular relevance to the ’468 Patent–is
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`commonly referred to as access control for network communication.
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`32. The Internet provides a convenient medium for the delivery of
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`electronic data or content such as text, images, music, video, and games to
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`subscribers. This electronic content is hosted on network servers, often called web
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`servers, and is accessed by user client computers by sending requests to the
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`network servers that respond with the content. While it was wonderful to have
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`access to the world of information that was available on the Internet, there were
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`often concerns that some content may not be appropriate for some users. Thus was
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`born the desire to regulate or control access so that users don’t see content that is
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`Unified Patents Ex. 1003, pg. 20
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`not appropriate for them or that they are not allowed to see. For example, it was
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`very common for companies to restrict its employees’ Internet access to only those
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`websites that they need to perform their job. Regulating access has always been a
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`concern for the Internet, both after the Internet became public in 1991 and before.
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`33. Regulating network access and the many ways of achieving this goal
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`were both well-known and well-published before 2003. For example, in the
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`introduction to the Third Edition of his textbook “Computer Networks,” Andrew
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`Tanenbaum says, “[s]ome people take a live-and-let-live view, but others feel that
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`posting certain material . . . is simply unacceptable.”1 He argues that the network
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`itself should not be held responsible for the material that is communicated over it,
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`which implies that any control over what material is viewed by a client must be
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`performed by some other agent. When discussing network security, Dr.
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`Tanenbaum discusses the well-known needs for regulating network access:
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`The ability to connect any computer, anywhere, to any other
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`computer, anywhere is a mixed blessing. For individuals at home,
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`wandering around the Internet is lots of fun. For corporate security
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`managers, it is a nightmare. … In addition to the danger of
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`1 Tanenbaum, Andrew S., Computer Networks Third Edition, 1996, p. 6.
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`(“Tanenbaum”) (EX1002; EX1010, attachment 2a). See also EX1010, ¶¶39-47,
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`regarding the public accessibility of Tanenbaum.
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`Unified Patents Ex. 1003, pg. 21
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`information leaking out, there is also a danger of information leaking
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`in. In particular, viruses, worms, and other digital pests … can breach
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`security, destroy valuable data, and waste large amount of
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`administrators’ time trying to clean up the mess they leave. 2
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`He then goes on to discuss how network access regulation can be enforced at
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`different levels, using, for example, firewalls (comprising packet filters) and
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`application gateways. Packet filters work at the granularity of individual packets,
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`examining each incoming and outgoing packet and discarding any that appear
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`suspicious. Application gateways, on the other hand, work at the application layer
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`and are customized for different applications:
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`A mail gateway, for example, can be set up to examine each message
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`going in or coming out. For each one it makes a decision to transmit
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`or discard it based on header fields, message size, or even the content
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`(e.g., at a military installation, the presence of words like “nuclear” or
`“bomb” might cause some special action to be taken). 3
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`Dr. Tanenbaum goes on to discuss organizations setting up application gateways
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`for a number of specific applications, perhaps permitting email and www traffic,
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`but banning everything else as potentially dangerous.4
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`2 Id. at p. 410.
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`3 Id. at p. 411.
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`4 Id. at pp. 411-412.
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`Unified Patents Ex. 1003, pg. 22
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`34. The technology for regulating access to information on the Internet
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`was well known by 2003; and, a POSA recognized that it can take a number of
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`different forms based on the particular needs of the engineer designing the system.
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`Cirasole, for example, describes a number of the possible variants for regulating
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`access to the Internet, otherwise known as content filtering.5 These include
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`exclusive filtering, or black-listing, which prevents access to all sites on a
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`predetermined list of Internet sites and inclusive filtering, or white-listing, which
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`allows access only to a predetermined list of Internet sites.6 Other options include
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`word or phrase screening where the text to be displayed is examined and access to
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`any sites that contain any word or phrase that is on a predetermined list is
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`prevented.7 Another filtering method is to expect that content providers will
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`5 Cirasole, Peter, DeRosa, Robert, and Fox, Robert, “Method and System for
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`Content Filtering Information Material Retrieved from an Internet Computer
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`Network”, US Patent 5,987,606, filed Mar 19, 1997 and issued Nov 16, 1999
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`(EX1009, “Cirasole”).
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`6 Id. at col. 1:44-48.
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`7 Id. at col. 1:48-50.
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`Unified Patents Ex. 1003, pg. 23
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`voluntarily label their content according to standard criteria; this allows filters to
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`be based on these criteria.8
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`35. Cirasole also describes that there are a number of locations in the
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`network where the filtering can be performed. One example is to perform the filter
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`function at the local (client) machine. This requires that the lists of allowed and
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`prohibited sites are updated to deal with changes in the content of various Internet
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`sites.9 Cirasole also describes performing the filtering on a local server through
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`which every access by any client computer is directed, just like the ’468 Patent.
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`This local server serves as a proxy or gateway to the Internet and is a single point
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`of control for the installation and updating of the lists of allowed and prohibited
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`sites.10 A third option Cirasole describes is to perform the filtering at the server
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`site that stores the content.11 Cirasole makes it clear that these various options for
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`regulating network access were all well within the skill set of a POSA before 2003,
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`and that such a person would readily pursue any one of those architectures
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`8 Id. at col. 1:53-57.
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`9 Id. at col. 1:58-2:12.
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`10 Id. at col. 2:13-35.
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`11 Id. at col. 2:36-45.
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`21
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`Unified