UTILITY
`PA TENT APPL/CATION
`TRANSMITTAL
`
`Attorney Docket No.
`First Named Inventor or Application Identifier
`
`SJ0920020041US1
`
`Total Pages
`
`47::)
`
`James V. Carlson
`
`t-----------------------------------;e;::;;;I = .-.,,
`
`!:l..o::>
`
`APPLICATION ELEMENTS
`See MPEP chapter 600 concerning utility patent application contents.
`1. Q Fee Transmittal Form
`(Submit an original, and a duplicate for fee processing}
`2. ~ Specification
`(Total Pages} __ 35
`-
`referred arrangement set forth below)
`- Descriptive title of the Invention
`- Cross References to Related Application
`- Statement Regarding Fed sponsored R & D
`- Reference to Microfiche Appendix
`- Background of the Invention
`- Brief Summary of the Invention
`- Brief Description of the Drawings (if filed)
`- Detailed Description
`- Claim(s)
`
`Q -Abstract of the Disclosure
`
`Drawing(s) (35 USC 113}
`
`3.
`
`(Total Pages) _§__
`
`(Total Pages) ._4 __
`
`4_ Oath or Declaration
`
`b.
`
`5.
`
`a. Q Newly executed (original or copy)
`(cid:143) Copy from a prior application (37 CFR 1.63(d))
`(cid:143)
`(cid:143) Incorporation by Reference (useable if Box 4b is checked)
`
`i.
`
`(for continuation /divisional with Box 17 completed)
`[Note Box 5 below}
`DELETION OF INVENTOR(S/
`Signed statement attached deleting inventor(s) named
`in prior application, see 37 CFR 1.63{d)(2) and 1.33(b).
`
`The entire disclosure of the prior application, from which a copy
`of the oath or declaration is supplied under Box 4b is considered
`as being part of the disclosure of the accompanying application
`and is hereby incorporated by reference therein.
`
`6.
`
`7.
`
`8.
`
`9.
`
`10.
`
`11.
`
`12.
`
`13.
`
`14.
`
`15.
`
`16.
`
`Assistant Commissioner for Patents u
`ADDRESS TO: Box Patent Application
`Washington, DC 20231
`
`7
`
`Nucleotide and/or Amino Acid Sequence Submission (if
`applicable, all necessary)
`
`(cid:143) Microfiche Computer Program (Appendix)
`(cid:143) Computer Readable Copy
`(cid:143) Paper Copy {identical to computer copy)
`(cid:143) Statement verifying identify of above copies
`
`a.
`
`b.
`
`C.
`
`ACCOMPANY/NG APPL/CATION PARTS
`
`Assignment Papers (cover sheet & document(s})
`
`37 CFR 3. 73(b) Statement
`(when there is an assignee)
`
`Information Disclosure
`Statement (IDS)/PT0-1449
`
`Citations
`
`Return Receipt Postcard (MPEP 503)
`(Should be specifically itemized)
`
`Statement(s
`
`Status still proper and desired
`
`Q
`(cid:143)
`0 Power of Attorney
`(cid:143) English Translation Document (if applicable}
`Q Copies of IDS
`Q
`(cid:143) Preliminary Amendment
`Q
`Small Entity p Statement filed in prior application,
`(cid:143)
`(cid:143) Certified Copy of Priority Document(s)
`Q
`
`,I foreign priority is claimed)
`
`Other: Express Mail Certificate
`
`···································-··············
`
`17.
`
`If a CONTINUING APPL/CATION, check appropriate box and supply the requisite information:
`
`(cid:143)
`
`Continuation
`
`(cid:143)
`
`Divisional
`
`(cid:143)
`
`Continuation-in-part (CIP)
`
`of prior application No.:
`
`18. CORRESPONDENCE ADDRESS
`
`D Customer Number or Bar Code Label
`D Or Correspondence address below
`
`NAME
`
`ADDRESS
`
`Brian C. Kunzler
`
`10 West 100 South
`
`CITY
`
`I STATE !Utah
`I TELEPHONE lrao1; 994-4646
`United States
`COUNTRY
`Assignee Name: INTERNATIONAL BUSINESS MACHINES CORPORATION
`
`Salt Lake City
`
`I ZIP
`(84101
`I FAX 1(801) 322-1054
`
`Assignee Residence: Armonk, New York
`Burden Hour Statement: This form ,s estimated to take 0.2 hours to complete. Time will vary dependmg upon the needs of the md1v1dual case. Any comments
`on the amount of time you are required to complete this form should be sent to the Chief Information Officer, Patent and Trademark Office, Washington, D.C.
`20231. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Assistant Commissioner for Patents, Washington, D.C. 20231.
`
`Microsoft Ex. 1002, p. 1
`Microsoft v. Daedalus Blue
`IPR2021-00831
`
`

`

`Please type a plus sign(+) inside this box (cid:157) G
`PTO/SB/05 ( 12/97)
`Approved for use through 9/30/03. 0MB 0651-0032
`Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are reauired to respond to a collection of information unless it disolavs a valid 0MB control number.
`Complete If Known
`
`FEE TRANSMITTAL
`
`Note: Effective October 1, 2001.
`Patent fees are subject to annual revision.
`TOTAL AMOUNT OF PAYMENT I
`METHOD OF PAYMENT (check one)
`1. I[) The Commissioner is hereby authorized to charge
`indicated fees and credit any over payments to:
`
`$1168
`
`Deposit Account Number:
`
`09-0466
`
`Deposit Account Name:
`
`Charge Any Additional
`I[) Fee Required Under
`37 CFR 1.16 and 1.17
`
`IBM CORPORATION
`(cid:143)
`
`Charge the Issue Fee
`In 37 CFR at the Mailing
`of the Notice of Allowance
`
`2. D Payment Enclosed:
`(cid:143)
`
`(cid:143)
`Check D Money Order
`FEE CALCULATION
`1. FILING FEE
`
`Other
`
`large Entity Small Entity
`Fee
`Fee
`Fee
`Fee
`($)
`Code
`Code
`($)
`
`Fee Description
`
`Fee Paid
`
`1001
`1002
`1003
`1004
`1005
`
`375 Utility filing fee
`2001
`750
`165 Design filing fee
`2002
`330
`260 Plant filing fee
`2003
`520
`375 Reissue filing fee
`2004
`750
`80 Provisional filing fee
`2005
`160
`SUBTOTAL {1)
`2. CLAIMS
`
`Extra
`
`Fee from
`below
`
`750
`
`,--~~~--
`$ 750
`
`Fee Paid
`
`Application Number
`Filing Date
`First Named Inventor
`Group Art Unit
`Examiner Name
`Attorney Docket Number
`
`Not yet assigned
`March 14, 2003
`
`James V. Carlson
`
`SJO920020041 US 1
`
`FEE CALCULATION (continued)
`3. ADDITIONAL FEES
`Small Entity
`Large Entity
`
`Fee
`Code
`1051
`
`1052
`
`Fee
`Fee($) Code
`2051
`130
`
`50
`
`2052
`
`1053
`
`1812
`
`1804
`
`130
`
`2520
`
`920·
`
`2053
`
`1812
`
`1804
`
`1805
`
`1840·
`
`1805
`
`1251
`
`1252
`1253
`1254
`1255
`1401
`1402
`1403
`1451
`1452
`1453
`1501
`
`1502
`1503
`1460
`1807
`1806
`8021
`
`110
`
`2251
`
`410
`930
`1450
`1970
`320
`320
`280
`1510
`110
`1300
`1300
`
`470
`630
`130
`50
`180
`40
`
`2252
`2253
`2254
`2255
`2401
`2402
`2403
`1451
`2452
`2453
`2501
`
`2502
`2503
`1460
`1807
`1806
`8021
`
`Fee Description
`
`Fee Paid
`
`Fee($)
`65 Surcharge - late filing fee or oath
`25 Surcharge - late provisional filing fee or cover
`sheet
`130 Non-English specification
`2520 For filing a request for reexamination
`920* Requesting publication of SIR prior to Examiner
`action
`1840* Requesting publication of SIR after Examiner
`action
`55 Extension for reply within first month
`205 Extension for reply within second month
`465 Extension for reply within third month
`725 Extension for reply within fourth month
`985 Extension for reply within fifth month
`160 Notice of Appeal
`160 Filing a brief in support of an appeal
`140 Request for oral hearing
`1510 Petition to institute a public use proceeding
`55 Petition to revive - intentional
`650 Petition to revive - unintentional
`650 Utility issue fee
`
`235 Design issue fee
`315 Plant issue fee
`130 Petitions to the Commissioner
`50 Petitions related to provisional applications
`180 Submission of Information Disclosure Stmt
`40 Recording each patent assignment per property
`(times number of properties)
`375 Filing a submission after final rejection (37 CFR
`1.129(a))
`375 For each additional invention to be examined
`(37 CFR 1.129(b))
`
`40
`
`Total Claims rn -20= §~lrn· 126
`
`Ind. Claims
`Multiple Dep. Claims
`
`- 3 =
`
`X
`
`X
`
`84
`280
`
`=
`=
`
`252
`0
`
`large Entity Small Entity
`Fee
`Fee
`Fee
`Fee
`($)
`Code
`($)
`Code
`9 Claims in excess of 20
`2202
`18
`1202
`Independent claims in excess of 3
`42
`2201
`84
`1201
`140 Multiple dependent claim
`2203
`1203
`280
`
`Fee Description
`
`1809
`
`750
`
`1809
`
`1810
`
`750
`
`2810
`
`Other fee (specify)
`
`SUBTOTAL (2)
`
`I
`
`$ 378
`
`*Reduced by Basic Filing Fee
`
`SUBTOTAL {3)
`
`I
`
`$40
`
`SUBMITTED BY
`Typed or Printed Name
`
`Brian C. Kunzler
`
`n~
`
`1/. __ 9-r
`Deposit Account
`User ID
`C---
`Signature
`Burden Hour Statement: This form is estimated to take 0.2 hours'to c6m lete. Time will va de ending upon the needs of the individual case. An comments on the
`y
`~ p
`p
`amount of time you are required to complete this form should be sent to the Chief Information Officer. Patent and Trademark Office. Washington. DC 20231. DO NOT
`SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Assistant Commissioner for Patents, Washington, DC 20231 _
`
`Complete (if applicable)
`38,527
`Reg. Number
`
`I Date I Mar 14, 2003
`
`Microsoft Ex. 1002, p. 2
`Microsoft v. Daedalus Blue
`IPR2021-00831
`
`

`

`PATENT APPLICATION
`Docket No.: SJ 0920020041 US 1
`
`CERTIFICATE OF MAILING BY "EXPRESS MAIL"
`
`"Express Mail" Mailing Label No.: EU329839960US
`
`Date of Deposit: March 14, 2003
`
`I hereby certify that this patent application in the name of James V. Carlson, Linda M.
`
`Duyanovich, Toby L. Marek, David R. Nowlen, David A. Pease, and Michael L. Walker for
`
`SYSTEM, METHOD, AND APPARATUS FOR POLICY-BASED DATA MANAGEMENT,
`
`together with the drawings, a Declaration, Power of Attorney, and Petition, an Assignment and
`
`Recordation Form Cover Sheet, Information Disclosure Statement, PTO Form 1449, and Copies
`
`of Cited References are being deposited with the United States Postal Service "Express Mail Post
`
`Office to Addressee" service under 3 7 C.F .R. § 1.10 on the date indicated above in an envelope
`
`addressed to Box Patent Application, Assistant Commissioner for Patents, Washington, D.C.
`
`20231.
`
`Respectfully submitted,
`
`Brian C. Kunzler
`Reg. No. 38,527
`Attorney for Applicant
`
`"
`
`Date: March 14, 2003
`
`Brian C. Kunzler, P.C.
`10 West 100 South, Suite 425
`Salt Lake City, Utah 84101
`Telephone: 801/994-4646
`
`Microsoft Ex. 1002, p. 3
`Microsoft v. Daedalus Blue
`IPR2021-00831
`
`

`

`UTILITY
`PA TENT APPL/CATION
`TRANSMITTAL
`
`Attorney Docket No.
`First Named Inventor or Application Identifier
`
`SJ0920020041US1
`
`Total Pages
`
`47::)
`
`James V. Carlson
`
`t-----------------------------------;e;::;;;I = .-.,,
`
`!:l..o::>
`
`APPLICATION ELEMENTS
`See MPEP chapter 600 concerning utility patent application contents.
`1. Q Fee Transmittal Form
`(Submit an original, and a duplicate for fee processing}
`2. ~ Specification
`(Total Pages} __ 35
`-
`referred arrangement set forth below)
`- Descriptive title of the Invention
`- Cross References to Related Application
`- Statement Regarding Fed sponsored R & D
`- Reference to Microfiche Appendix
`- Background of the Invention
`- Brief Summary of the Invention
`- Brief Description of the Drawings (if filed)
`- Detailed Description
`- Claim(s)
`
`Q -Abstract of the Disclosure
`
`Drawing(s) (35 USC 113}
`
`3.
`
`(Total Pages) _§__
`
`(Total Pages) ._4 __
`
`4_ Oath or Declaration
`
`b.
`
`5.
`
`a. Q Newly executed (original or copy)
`(cid:143) Copy from a prior application (37 CFR 1.63(d))
`(cid:143)
`(cid:143) Incorporation by Reference (useable if Box 4b is checked)
`
`i.
`
`(for continuation /divisional with Box 17 completed)
`[Note Box 5 below}
`DELETION OF INVENTOR(S/
`Signed statement attached deleting inventor(s) named
`in prior application, see 37 CFR 1.63{d)(2) and 1.33(b).
`
`The entire disclosure of the prior application, from which a copy
`of the oath or declaration is supplied under Box 4b is considered
`as being part of the disclosure of the accompanying application
`and is hereby incorporated by reference therein.
`
`6.
`
`7.
`
`8.
`
`9.
`
`10.
`
`11.
`
`12.
`
`13.
`
`14.
`
`15.
`
`16.
`
`Assistant Commissioner for Patents u
`ADDRESS TO: Box Patent Application
`Washington, DC 20231
`
`7
`
`Nucleotide and/or Amino Acid Sequence Submission (if
`applicable, all necessary)
`
`(cid:143) Microfiche Computer Program (Appendix)
`(cid:143) Computer Readable Copy
`(cid:143) Paper Copy {identical to computer copy)
`(cid:143) Statement verifying identify of above copies
`
`a.
`
`b.
`
`C.
`
`ACCOMPANY/NG APPL/CATION PARTS
`
`Assignment Papers (cover sheet & document(s})
`
`37 CFR 3. 73(b) Statement
`(when there is an assignee)
`
`Information Disclosure
`Statement (IDS)/PT0-1449
`
`Citations
`
`Return Receipt Postcard (MPEP 503)
`(Should be specifically itemized)
`
`Statement(s
`
`Status still proper and desired
`
`Q
`(cid:143)
`0 Power of Attorney
`(cid:143) English Translation Document (if applicable}
`Q Copies of IDS
`Q
`(cid:143) Preliminary Amendment
`Q
`Small Entity p Statement filed in prior application,
`(cid:143)
`(cid:143) Certified Copy of Priority Document(s)
`Q
`
`,I foreign priority is claimed)
`
`Other: Express Mail Certificate
`
`···································-··············
`
`17.
`
`If a CONTINUING APPL/CATION, check appropriate box and supply the requisite information:
`
`(cid:143)
`
`Continuation
`
`(cid:143)
`
`Divisional
`
`(cid:143)
`
`Continuation-in-part (CIP)
`
`of prior application No.:
`
`18. CORRESPONDENCE ADDRESS
`
`D Customer Number or Bar Code Label
`D Or Correspondence address below
`
`NAME
`
`ADDRESS
`
`Brian C. Kunzler
`
`10 West 100 South
`
`CITY
`
`I STATE !Utah
`I TELEPHONE lrao1; 994-4646
`United States
`COUNTRY
`Assignee Name: INTERNATIONAL BUSINESS MACHINES CORPORATION
`
`Salt Lake City
`
`I ZIP
`(84101
`I FAX 1(801) 322-1054
`
`Assignee Residence: Armonk, New York
`Burden Hour Statement: This form ,s estimated to take 0.2 hours to complete. Time will vary dependmg upon the needs of the md1v1dual case. Any comments
`on the amount of time you are required to complete this form should be sent to the Chief Information Officer, Patent and Trademark Office, Washington, D.C.
`20231. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Assistant Commissioner for Patents, Washington, D.C. 20231.
`
`Microsoft Ex. 1002, p. 4
`Microsoft v. Daedalus Blue
`IPR2021-00831
`
`

`

`Please type a plus sign(+) inside this box (cid:157) G
`PTO/SB/05 ( 12/97)
`Approved for use through 9/30/03. 0MB 0651-0032
`Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are reauired to respond to a collection of information unless it disolavs a valid 0MB control number.
`Complete If Known
`
`FEE TRANSMITTAL
`
`Note: Effective October 1, 2001.
`Patent fees are subject to annual revision.
`TOTAL AMOUNT OF PAYMENT I
`METHOD OF PAYMENT (check one)
`1. I[) The Commissioner is hereby authorized to charge
`indicated fees and credit any over payments to:
`
`$1168
`
`Deposit Account Number:
`
`09-0466
`
`Deposit Account Name:
`
`Charge Any Additional
`I[) Fee Required Under
`37 CFR 1.16 and 1.17
`
`IBM CORPORATION
`(cid:143)
`
`Charge the Issue Fee
`In 37 CFR at the Mailing
`of the Notice of Allowance
`
`2. D Payment Enclosed:
`(cid:143)
`
`(cid:143)
`Check D Money Order
`FEE CALCULATION
`1. FILING FEE
`
`Other
`
`large Entity Small Entity
`Fee
`Fee
`Fee
`Fee
`($)
`Code
`Code
`($)
`
`Fee Description
`
`Fee Paid
`
`1001
`1002
`1003
`1004
`1005
`
`375 Utility filing fee
`2001
`750
`165 Design filing fee
`2002
`330
`260 Plant filing fee
`2003
`520
`375 Reissue filing fee
`2004
`750
`80 Provisional filing fee
`2005
`160
`SUBTOTAL {1)
`2. CLAIMS
`
`Extra
`
`Fee from
`below
`
`750
`
`,--~~~--
`$ 750
`
`Fee Paid
`
`Application Number
`Filing Date
`First Named Inventor
`Group Art Unit
`Examiner Name
`Attorney Docket Number
`
`Not yet assigned
`March 14, 2003
`
`James V. Carlson
`
`SJO920020041 US 1
`
`FEE CALCULATION (continued)
`3. ADDITIONAL FEES
`Small Entity
`Large Entity
`
`Fee
`Code
`1051
`
`1052
`
`Fee
`Fee($) Code
`2051
`130
`
`50
`
`2052
`
`1053
`
`1812
`
`1804
`
`130
`
`2520
`
`920·
`
`2053
`
`1812
`
`1804
`
`1805
`
`1840·
`
`1805
`
`1251
`
`1252
`1253
`1254
`1255
`1401
`1402
`1403
`1451
`1452
`1453
`1501
`
`1502
`1503
`1460
`1807
`1806
`8021
`
`110
`
`2251
`
`410
`930
`1450
`1970
`320
`320
`280
`1510
`110
`1300
`1300
`
`470
`630
`130
`50
`180
`40
`
`2252
`2253
`2254
`2255
`2401
`2402
`2403
`1451
`2452
`2453
`2501
`
`2502
`2503
`1460
`1807
`1806
`8021
`
`Fee Description
`
`Fee Paid
`
`Fee($)
`65 Surcharge - late filing fee or oath
`25 Surcharge - late provisional filing fee or cover
`sheet
`130 Non-English specification
`2520 For filing a request for reexamination
`920* Requesting publication of SIR prior to Examiner
`action
`1840* Requesting publication of SIR after Examiner
`action
`55 Extension for reply within first month
`205 Extension for reply within second month
`465 Extension for reply within third month
`725 Extension for reply within fourth month
`985 Extension for reply within fifth month
`160 Notice of Appeal
`160 Filing a brief in support of an appeal
`140 Request for oral hearing
`1510 Petition to institute a public use proceeding
`55 Petition to revive - intentional
`650 Petition to revive - unintentional
`650 Utility issue fee
`
`235 Design issue fee
`315 Plant issue fee
`130 Petitions to the Commissioner
`50 Petitions related to provisional applications
`180 Submission of Information Disclosure Stmt
`40 Recording each patent assignment per property
`(times number of properties)
`375 Filing a submission after final rejection (37 CFR
`1.129(a))
`375 For each additional invention to be examined
`(37 CFR 1.129(b))
`
`40
`
`Total Claims rn -20= §~lrn· 126
`
`Ind. Claims
`Multiple Dep. Claims
`
`- 3 =
`
`X
`
`X
`
`84
`280
`
`=
`=
`
`252
`0
`
`large Entity Small Entity
`Fee
`Fee
`Fee
`Fee
`($)
`Code
`($)
`Code
`9 Claims in excess of 20
`2202
`18
`1202
`Independent claims in excess of 3
`42
`2201
`84
`1201
`140 Multiple dependent claim
`2203
`1203
`280
`
`Fee Description
`
`1809
`
`750
`
`1809
`
`1810
`
`750
`
`2810
`
`Other fee (specify)
`
`SUBTOTAL (2)
`
`I
`
`$ 378
`
`*Reduced by Basic Filing Fee
`
`SUBTOTAL {3)
`
`I
`
`$40
`
`SUBMITTED BY
`Typed or Printed Name
`
`Brian C. Kunzler
`
`n~
`
`1/. __ 9-r
`Deposit Account
`User ID
`C---
`Signature
`Burden Hour Statement: This form is estimated to take 0.2 hours'to c6m lete. Time will va de ending upon the needs of the individual case. An comments on the
`y
`~ p
`p
`amount of time you are required to complete this form should be sent to the Chief Information Officer. Patent and Trademark Office. Washington. DC 20231. DO NOT
`SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Assistant Commissioner for Patents, Washington, DC 20231 _
`
`Complete (if applicable)
`38,527
`Reg. Number
`
`I Date I Mar 14, 2003
`
`Microsoft Ex. 1002, p. 5
`Microsoft v. Daedalus Blue
`IPR2021-00831
`
`

`

`PATENT APPLICATION
`Docket No.: SJ 0920020041 US 1
`
`CERTIFICATE OF MAILING BY "EXPRESS MAIL"
`
`"Express Mail" Mailing Label No.: EU329839960US
`
`Date of Deposit: March 14, 2003
`
`I hereby certify that this patent application in the name of James V. Carlson, Linda M.
`
`Duyanovich, Toby L. Marek, David R. Nowlen, David A. Pease, and Michael L. Walker for
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`SYSTEM, METHOD, AND APPARATUS FOR POLICY-BASED DATA MANAGEMENT,
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`together with the drawings, a Declaration, Power of Attorney, and Petition, an Assignment and
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`Recordation Form Cover Sheet, Information Disclosure Statement, PTO Form 1449, and Copies
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`of Cited References are being deposited with the United States Postal Service "Express Mail Post
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`Office to Addressee" service under 3 7 C.F .R. § 1.10 on the date indicated above in an envelope
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`addressed to Box Patent Application, Assistant Commissioner for Patents, Washington, D.C.
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`20231.
`
`Respectfully submitted,
`
`Brian C. Kunzler
`Reg. No. 38,527
`Attorney for Applicant
`
`"
`
`Date: March 14, 2003
`
`Brian C. Kunzler, P.C.
`10 West 100 South, Suite 425
`Salt Lake City, Utah 84101
`Telephone: 801/994-4646
`
`Microsoft Ex. 1002, p. 6
`Microsoft v. Daedalus Blue
`IPR2021-00831
`
`

`

`Express Mailing Label No.: EU329839960US
`
`PATENT APPLICATION
`Docket No.: 1200.2.60
`IBM Docket No.: SJO92002004 l US 1
`
`UNITED STATES PATENT APPLICATION
`
`of
`
`James V. Carlson
`
`Linda M. Duyanovich
`
`Toby L. Marek
`
`David R. Nowlen
`
`David A. Pease
`
`and
`
`Michael L. Walker
`
`for
`
`SYSTEM, METHOD, AND APPARATUS FOR
`
`POLICY-BASED DATA MANAGEMENT
`
`Microsoft Ex. 1002, p. 7
`Microsoft v. Daedalus Blue
`IPR2021-00831
`
`

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`SYSTEM, METHOD, AND APPARATUS FOR
`
`POLICY-BASED DATA MANAGEMENT
`
`BACKGROUND OF THE INVENTION
`
`1.
`
`The Field of the Invention
`
`The invention relates to networking and data storage. More particularly, the
`
`invention relates to a system and method for policy-based data management on a distributed
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`storage system.
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`2.
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`The Relevant Art
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`Networks have become instrumental in situations in which data is transferred from
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`one computer to another, orfrom clients such as an independent workstation to a centralized
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`storage facility. It is common for storage applications to have very specialized needs. In
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`response to these needs, distributed storage systems have been developed. One type of
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`distributed storage system is a storage area network (SAN). A distributed storage system
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`typically has a plurality of clients connected to a plurality of storage pools. The clients of the
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`distributed storage system may, in some cases, be servers that transmit data between the
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`distributed storage system and individual computers.
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`Unfortunately, a number of storage related issues have not yet been successfully
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`addressed by known distributed storage system configurations. A distributed storage system
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`is often called upon to carry out several different operations simultaneously. Consequently,
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`the resources of the distributed storage system, or of a server connected to the distributed
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`storage system, can easily become saturated, particularly when many users wish to
`
`simultaneously store, retrieve, or move data on the distributed storage system.
`
`IBM docket no. SJO920020041 US!
`
`1
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`Microsoft Ex. 1002, p. 8
`Microsoft v. Daedalus Blue
`IPR2021-00831
`
`

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`Additionally, many known distributed storage systems have no method of prioritizing
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`operations. Consequently, a low-importance, high resource operation, such as a bulk file
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`transfer, may preempt memory, caching space, input/output (I/O) bandwidth, processor
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`capacity, or other resources that are needed for more important operations. Thus,
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`performance of the more important operations is unnecessarily delayed.
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`Also, current distributed storage systems are not capable of storing data using
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`prioritized operations within multiple platforms. Typically, all of the computers on a
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`distributed storage system must have the same type of operating system. If data from
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`multiple platforms are to be stored, the data must be routed through multiple distributed
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`storage systems and stored in different locations.
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`Furthermore, known distributed storage systems generally do not permit a user to
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`automatically select between multiple storage options when generating files. Nor do these
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`systems account for the different requirements placed on these files. Specifically, different
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`files may have different requirements for accessibility, disaster recoverability, retrieval
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`speed, retrieval consistency, and storage format. Some files may need to be accessed by
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`many people simultaneously, while others are only used rarely, by a single user. Some files
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`are "mission critical," and therefore must not be lost if hardware damage occurs; others are
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`more expendable. Similarly, some files must be accessed rapidly and/or transferred at a
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`consistent, rapid data transfer rate, while others do not require rapid access. Certain file
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`types, such as database files, are advantageously stored in a "sparse" format that permits
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`subsequent expansion, while other files can be densely packed together.
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`By the same token, great variation exists in the equipment available to store data. In
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`general, greater capacity, greater access speed, higher throughput, and higher disaster
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`recoverability equate to higher cost. Without a variety of options for data storage, some files
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`are stored in a manner that provides insufficient performance, and others take up
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`comparatively expensive storage capacity that provides an unnecessarily expensive level of
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`performance.
`
`IBM docket no. SJO92002004 l US I
`
`2
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`(./)
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`Microsoft Ex. 1002, p. 9
`Microsoft v. Daedalus Blue
`IPR2021-00831
`
`

`

`Consequently, what is needed is a comparatively simple and versatile system,
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`method, and apparatus for managing data in a network according to predetermined policies.
`
`What is particularly needed is a data management system, method, and apparatus that
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`prioritize files within the network, with clients that operate based on a plurality of different
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`operating platforms. Further, what is particularly needed is a data management system,
`
`method, and apparatus that intelligently stores files in storage pools with a variety of
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`performance levels based policies and the nature of the storage pools. Such a system,
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`apparatus, and method would be particularly desirable if implemented for distributed storage
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`systems that service clients operating under heterogeneous platforms.
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`IBM docket no. SJO92002004 I US I
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`3
`
`Microsoft Ex. 1002, p. 10
`Microsoft v. Daedalus Blue
`IPR2021-00831
`
`

`

`BRIEF SUMMARY OF THE INVENTION
`
`The system, method, and apparatus of the present invention have been developed in
`
`response to the present state of the art, and in particular, in response to the problems and
`
`needs in the art that have not yet been fully solved by currently available storage area
`
`network systems. Accordingly, the present invention has been developed to provide a
`
`policy-based data management system that overcomes many or all of the above-discussed
`
`shortcomings in the art.
`
`In one embodiment, the data management system may be implemented in a network
`
`having a plurality of clients. The clients may be individual workstations or servers
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`connected to workstations. Due to the nature of the invention, the clients need not all operate
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`on the same platform. The clients may be connected to a local area network (LAN) and to a
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`distributed storage system, which may take the form of a storage area network (SAN). One
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`or more servers are also connected to the LAN and the SAN. The servers have, as one of
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`their functions, the duty of assigning and distributing metadata for files on the system and
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`will hereafter be referred to as "metadata servers." Additionally, a metadata disk or pool of
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`disks may be connected to the metadata servers through a LAN or the SAN. One or more
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`storage devices or pools of storage devices are preferably connected to the distributed storage
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`system.
`
`The data management system is, in one embodiment, policy-based. More precisely,
`
`the data management system preferably incorporates a policy set, which includes a service
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`class policy and a storage pool policy. Each of the policies preferably includes a number of
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`rules designed to select a service class and/or storage pool for a file based on attributes of the
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`file. Service classes may be hierarchical, for example, platinum, gold, silver, or bronze,
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`reflecting the relative importance of the data. Of course, the service classes may be assigned
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`any combination of rules, and need not be hierarchical.
`
`In one embodiment, each of the clients is provided with a file transmission module
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`that is configured to transmit attributes of a file to the metadata server. A file evaluation
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`IBM docket no_ S1O920020041 USI
`
`4
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`
`Microsoft Ex. 1002, p. 11
`Microsoft v. Daedalus Blue
`IPR2021-00831
`
`

`

`module is preferably configured to apply the rules of the service class policy and the storage
`
`pool policy to the file attributes and the storage pool characteristics to automatically select a
`
`service class and a storage pool for the file. These may be added to the file attributes to
`
`create metadata for the file. The metadata is in one embodiment stored in the metadata disk
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`pool, and the file is then stored in the selected storage pool.
`
`Each of the clients is provided in one embodiment with a file request transmission
`
`module that is configured to transmit file request to the metadata server. A metadata
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`retrieval module in one embodiment receives the translated metadata request and retrieves
`
`the metadata that corresponds to the file from the metadata disk pool. The file request
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`transmission module receives the storage pool designation from the metadata for the file, and
`
`then transmits a file request to retrieve the file from the corresponding storage pool.
`
`The file and the service class designation for the file are, in one embodiment,
`
`received by a file usage module in the client. The file usage module preferably uses the
`
`service class to determine the proper allocation of client assets, such as RAM allocation,
`
`performance priority, cache allocation scheme, and input/output (I/O) allocation.
`
`The metadata may be stored in the form of a lookup table in the metadata disk pool.
`
`For example, file names or object identities related to unique files may be stored in the
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`metadata disk pool, and each file name or object identity may be bound to the corresponding
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`file metadata. Thus, the metadata server may retrieve the metadata for a file by locating the
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`file name or object identity in the metadata disk pool, and reading the corresponding
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`metadata.
`
`According to one embodiment of a file storage and classification method operable in
`
`conjunction with the system described above, a policy set is provided and configured. A
`
`system administrator may configure the appropriate policy. Attributes of the file to be stored
`
`and classified are received by the metadata server, and the file attributes are translated from
`
`the native platform of the file to obtain translated attributes.
`
`Based on the attributes, a service class and a storage pool are automatically selected
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`IBM docket no. SJO92002004 I US I
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`5
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`
`Microsoft Ex. 1002, p. 12
`Microsoft v. Daedalus Blue
`IPR2021-00831
`
`

`

`for the fi]e. Designations of the service class and storage pool may be added to the attributes
`
`of the file to provide the file metadata. The file metadata may be stored in the metadata disk
`
`pool, in the format described previously. The file may be stored in the selected storage pool.
`
`The service class and the storage pool may be selected based on an application of the
`
`policy set. More precisely, the rules of the service class policy may be applied to determine
`
`the appropriate service class for the file. The rules may be analyzed in order until an
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`appropriate classification is found. For example, the first rule of the service class policy may
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`first be analyzed. If the file satisfies the conditions for the first rule, the file receives the
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`service class that corresponds with the firsf rule. If the file does not satisfy the conditions for
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`the first rule, the second rule is analyzed, and so on. If the file satisfies none of the rules, it
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`receives a default service class.
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`If desired, the storage pool may be determined partially or solely by the service class.
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`Thus, the rules of the storage pool policy may simply be based on the selected service class.
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`Alternatively, the storage pool policy may involve criteria independent of the service class.
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`The rules of the storage pool policy may be applied sequentially, in a manner similar to the
`
`rules of the service class policy. Because the storage pools typically vary in terms of speed,
`
`capacity, storage format, disaster recovery, and other factors, these characteristics are taken
`
`into account in selecting a storage pool. If the file satisfies none of the rules of the storage
`
`pool policy, the file is stored in a default storage pool.
`
`According to one embodiment of a file retrieval and usage method, a file request is
`
`first received by the metadata server. Metadata for the requested file is then retrieved from
`
`the metadata disk pool. The met