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`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`
`
`MICROSOFT CORPORATION,
`Petitioner,
`
`v.
`
`DAEDALUS BLUE, LLC,
`Patent Owner.
`
`
`
`
`Case IPR2021-00831
`Patent No. 8,671,132
`
`
`
`
`
`DECLARATION OF DAVID A. PEASE, PH.D. IN SUPPORT OF
`PATENT OWNER DAEDALUS BLUE, LLC’S
`PRELIMINARY RESPONSE
`
`
`
`
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`I.
`
`INTRODUCTION
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`1. My name is David A. Pease, and I am currently retired from IBM
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`Corporation with the honorary title of Distinguished Engineer Emeritus, and from
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`the University of California, Santa Cruz as an Assistant Adjunct Professor in the
`
`Computer Engineering Department. I hold a Master’s of Science and a PhD in
`
`Computer Engineering at the University of California, Santa Cruz.
`
`2.
`
`I have been asked by Patent Owner Daedalus Blue, LLC (“Daedalus”)
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`to provide this declaration about the conception and development of the inventions
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`claimed in U.S. Patent No. 8,671,132 (“the ’132 patent”), of which I am a named
`
`inventor. I am being compensated for my time spent at my normal consulting rate
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`of $375 per hour. The amount of my compensation is not dependent upon the
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`substance of my declaration or testimony, or upon the outcome of this matter.
`
`3.
`
`I have personal knowledge of the facts and opinions set forth in this
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`declaration, and, if called upon to do so, I would testify competently thereto.
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`II. BACKGROUND
`
`4.
`
`I started computer programming in 1971, and from 1971 to 1994
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`worked at a variety of companies as a programmer/analysis, systems programmer,
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`diagnostics manager, systems/operations manager, hardware/ software technical
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`advisor, manager, and consultant. Attached hereto as Appendix A is a true and
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`correct copy of my Curriculum Vitae describing my background and experience.
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`5.
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`I joined IBM in 1994 as a senior software engineer in the Storage
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`Systems Group at IBM’s Almaden Research Center in San Jose, California.
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`Organizationally, the group was part of the research organization within IBM,
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`charged with developing ideas for potential future storage systems/products. I
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`worked at IBM for 25 years, from 1994 to 2019, when I retired.
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`6.
`
`In or around 1995, I became a Manager in the Storage Systems Group.
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`In particular, I was the lead Manager for the Storage Tank project.
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`7. While at IBM, I “challenged” into graduate school based on my
`
`experience and grades from graduate-level classes I took through the Extension
`
`program. I obtained a Master’s of Science and a PhD in Computer Engineering at
`
`the University of California, Santa Cruz, in 2003 and 2008, respectively.
`
`III. THE ’132 PATENT
`
`8.
`
`The subject matter described and claimed in the application that led to
`
`the ’132 Patent was the outgrowth of work I and others at IBM did on a project
`
`called Storage Tank. The work on Storage Tank commenced as a research project
`
`in 1997, and gained momentum in early 2000, when a decision was made by IBM
`
`to develop Storage Tank into a commercial product. The inventions claimed in the
`
`’132 Patent were conceived and recorded in a specification no later than April 26,
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`2001. Work to develop those inventions into a commercial product continued
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`through, and after, March 14, 2003, when the patent application was filed.
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`9.
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`Storage Tank was the first distributed data management system that
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`could support and facilitate millions of live file operations across a Storage Area
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`Network (“SAN”), and accommodate clients operating on multiple platforms.
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`Tying this together was a novel and robust policy management architecture capable
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`of, among other things, delivering different levels of service.
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`10.
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`IBM commercialized Storage Tank under the brand name “IBM
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`TotalStorage SAN File System”, which was released in or around October 2003.
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`11. Storage Tank’s policy management architecture was later
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`incorporated into IBM’s General Parallel File System (or “GPFS”), now known as
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`IBM Spectrum Scale, used by many of the world’s largest companies and found on
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`many of the world’s top supercomputers.
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`12.
`
`I have reviewed U.S. Patent No. 7,269,612 (“Devarakonda”), which I
`
`understand Petitioner has identified as a disclosure that allegedly anticipates claims
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`15-21, 23-25 of the ’132 Patent. I further understand that Devarakonda was filed
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`on May 31, 2002 and does not claim priority to any other document. EX1008.
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`13.
`
`I declare that Devarakonda is not prior art to the inventions in the ’132
`
`Patent inasmuch as my co-inventors and I conceived the claimed inventions prior
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`to the filing date of Devarakonda, and thereafter continuously diligently worked to
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`subsequent reduction to practice, including both by working on the Storage Tank
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`project and as demonstrated by the filing of the application for the ‘132 Patent.
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`14.
`
` As evidence of that conception and diligence, I enclose Exhibits
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`2012-2017.
`
`A. Conception
`15. EX2012 attached hereto is a true and correct copy of
`
`
`
`
`
` This document was prepared in the ordinary course of IBM’s
`
`business, and reflected the state of development of Storage Tank as of the date of
`
`the document. I personally participated in the preparation of the document, and
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`reviewed the entire document at around the time it was created.
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`
`
` the date shown on the specification is the date it was completed and had
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`been reviewed by the list of reviewers shown on pages 3-5 of the specification.
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`16.
`
`I note that on page
`
` of
`
` Linda Duyanovich is identified
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`as the “owner” of the document. EX2012,
`
`
`
` that meant that
`
`Ms. Duyanovich was the person responsible for maintaining the document. Ms.
`
`Duyanovich was also a leading contributor to the document.
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`17.
`
`I note that EX2012 is not the earliest version of
`
`
`
`. Our team started work on the
`
` in early 2000.
`
`
`
`According to
`
` the first comprehensive
`
` would have been
`
` we went through several drafts.
`
`
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`18.
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`I declare that EX2012 fully describes at least the inventions disclosed
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`in claims 15-25 of the ’132 Patent. Exemplary support in EX2012 for the claimed
`
`features of claims 15-25 is provided below, in bold letters. There may be additional
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`disclosure of the claimed features in EX2012, which I have not identified below.
`
`Exemplary support for Claim 15
`
`15. A method for handling files within a policy-based
`data management system
`the method comprising:
`
`
`
`providing a policy set comprising at least one service class
`rule
`
`
`receiving one or more attributes of a file
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`
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` from one of a plurality of clients, the
`clients comprising at least two different computing
`platforms
`
`
`applying the service class rule to the file to assign a service
`class to the file
` and
`
`conducting operations on the file in a manner according to
`the service class
`
`
`Exemplary support for Claim 16
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`16. The method of claim 15, further comprising
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`assigning a storage pool to the file
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`
`Exemplary support for Claim 17
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`17. The method of claim 16, wherein assigning the
`storage pool to the file comprises assigning the storage
`pool to the file based on the at least one service class
`
`
`Exemplary support for Claim 18
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`18. The method of claim 16, wherein the policy set
`further comprises at least one storage pool rule, wherein
`assigning the storage pool to the file comprises applying
`the storage pool rule to the characteristics of the available
`
`storage pools to assign the storage pool to the file
`
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`Exemplary support for Claim 19
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`19. The method of claim 16, wherein assigning the
`storage pool to the file comprises selecting the storage
`pool from a group of storage pools of the open systems
`environment, the group of storage pools each comprising
`at least two different disaster recoverability levels
`
`
`Exemplary support for Claim 20
`
`20. The method of claim 15, wherein controlling
`handling of the file based on the service class comprises
`taking action on at least one of the group consisting of
`input/output speed, random access memory allocation,
`performance priority, and cache allocation scheme, in a
`
`manner in accordance with the service class
`
`
`Exemplary support for Claim 21
`
`21. The method of claim 15, wherein the service class
`rule is applied to the one or more file attributes to select
`the service class [
`
`
`Exemplary support for Claim 22
`
`22. The method of claim 15, wherein the computing
`platforms are selected from the group consisting of
`Windows, AIX, Linux, Solaris, Unix, Mac OS, OS/2,
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`DOS, HP, IRIX, and OS/390, wherein the method further
`comprises translating the one or more attributes [
`
`
`
`Exemplary support for Claim 23
`
`23. A storage device storing computer code executable
` to carry out
`by a processor
`a method comprising:
`
`providing a policy set comprising at least one service class
`rule
`
`
`
`receiving one or more attributes of a file
` from one of a plurality of clients, the
`clients comprising at least two different computing
`platforms
`
`
`applying the service class rule to the file to assign a service
`class to the file
` and
`
`conducting operations on the file in a manner according to
`the service class
`
`
`Exemplary support for Claim 24
`
`24. The storage device of claim 23, wherein the
`computer code is further configured to assign a storage
`pool to the file
`
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`Exemplary support for Claim 25
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`25. The storage device of claim 23, wherein the service
`class rule bases selection of the service class on the one or
`more file attributes
`
`
`B. Reduction to Practice
`19. Following the
`
` I describe
`
`above, we continued to diligently work to reduce to practice the inventions claimed
`
`in the ’132 Patent until it was ready to be included as part of a product released to
`
`the market, including but not limited to developing code, prototypes, and
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`documentation, and testing and review. We also prepared and filed the application
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`that led to the ’132 Patent during that time.
`
`20. EX2013 attached hereto is a true and correct copy of the
`
`
`
`
`
` I recognize this document, and also note that this document is a type that
`
`was prepared in the ordinary course of business at IBM. This document reflects
`
`our continuous work on the Storage Tank project as of that date, including the ’132
`
`Patent inventions.
`
`21. EX2014 attached hereto is a true and correct copy of a presentation
`
`entitled
`
`
`
`. I recognize this document, and also note that this document is
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`a type that was prepared in the ordinary course of business at IBM. This document
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`reflects our continuous work on the Storage Tank project as of that date, including
`
`the ’132 Patent inventions.
`
`22. EX2015 attached hereto is a true and correct copy of a presentation
`
`entitled
`
` I
`
`recognize this document, and also note that this document is a type that was
`
`prepared in the ordinary course of business at IBM. This document reflects
`
`continuous work on the Storage Tank project as of that date, including the ’132
`
`Patent inventions.
`
`23. EX2016 attached hereto is a true and correct copy of a document
`
`entitled
`
`
`
` I recognize this document, and also note that this document is a
`
`type that was prepared in the ordinary course of business at IBM. This document
`
`reflects continuous work on the Storage Tank project as of that date, including the
`
`’132 Patent inventions.
`
`24. EX2017 attached hereto is a true and correct copy of a PDF of an
`
`excel workbook entitled
`
` This
`
`document shows the development schedule for the Storage Tank project from
`
` through
`
`. I recognize this document, and also note that
`
`this document is a type that was prepared in the ordinary course of business at
`
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`Appendix A
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`David A. Pease, Ph.D.
`515 Crister Ave., Chico, CA 95926
`
`EMPLOYMENT HISTORY
`
`2019-now: Distinguished Engineer Emeritus,
`IBM Almaden Research Center, San Jose, CA
`
`2009-2013: Assistant Adjunct Professor, Computer Engineering Department,
`University of California, Santa Cruz
`2004-2009: Lecturer in Computer Science, Computer Engineering, and Technology &
`Information Management Depts., University of California, Santa Cruz
`1994-2019 Distinguished Engineer, etc., Manager of Exploratory Storage Systems
`IBM Almaden Research Center, San Jose, CA
`1983-1994: Owner, Zytek Systems
`Computer Consulting and Instruction, San Francisco, CA
`1981-1983: Vice President, Customer Support
`The Software Authority, Sunnyvale, CA
`1980-1981: Western Region Support Manager
`Hardware/Software Technical Advisor
`Nanodata Computer Corporation, Buffalo, NY
`Instructor and Systems/Operations Manager
`Sysorex Institute, Cupertino, CA
`1977-1979: Diagnostics Manager, Hardware Quality Assurance Manager
`(Special Assignment with Hitachi Corporation in Japan)
`Itel Corporation, Systems Development Division, Palo Alto, CA
`1973-1977: Senior Systems Programmer
`Pacific Mutual Life Insurance Corporation, Newport Beach, CA
`
`1979-1980:
`
`
`1971-1973: Programmer/Analyst
`Occidental Life Insurance, Los Angeles, CA
`
`EDUCATION
`
`Ph.D. 2008 University of California, Santa Cruz, Computer Engineering
`M.S. 2003 University of California, Santa Cruz, Computer Engineering
`
`PATENTS
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`David A. Pease, Kenneth F. Day III, and Douglas W. Dewey. “PHYSICAL
`INFORMATION AND EXTENSIONS FILE AND FILE SYSTEM TRANSLATOR”,
`U.S. Patent no. 6,185,580, February 2001.
`
`James V. Carlson, Bernard J. Lopez, Ronald Mraz, and David A. Pease. “SYSTEM
`AND METHOD FOR EFFICIENT TRANSFER OF DATA BLOCKS FROM CLIENT
`TO SERVER”, U. S. Patent no. 6,526,434, February 2003.
`
`Dean L. Hanson, Kenneth F. Day III, Norm I. Hanami, Douglas W. Dewey, and David
`A. Pease. “METHOD AND APPARATUS FOR DISK CACHING FOR AN
`INTERMEDIARY CONTROLLER”, U. S. Patent no. 6,865,642, March 2005.
`
`Sandeep M. Uttamchandani, Sudarshan M. Srinivasan, Kaladhar Voruganti, and
`David A. Pease. “A SYSTEM AND METHOD FOR PROVIDING AUTONOMIC
`MANAGEMENT OF A NETWORKED SYSTEM USING AN ACTION-CENTRIC
`APPROACH”, pending.
`
`Linda M. Duyanovich, David A. Pease, James V. Carlson, David R. Nowlen, Michael
`L. Walker, and Toby L. Marek. “SYSTEM, METHOD AND APPARATUS FOR
`POLICY-BASED DATA MANAGEMENT”, pending.
`
`Edward Chron, David A. Pease, Elizabeth S. Richards, Sandeep M. Uttamchandani.
`“COMPLAINT-BASED SLOS (CSLO): PUTTING THE DATA ANALYST'S
`FRUSTRATION TO GOOD USE”, pending.
`
`Kenneth Boyd, Kenneth F. Day III, David A. Pease, John J. Wolfgang. “APPARATUS,
`SYSTEM, AND METHOD FOR DETERMINING PREFETCH DATA”, pending.
`
`Ying Chen, Kennth F. Day III, P. M. Doatmas, David A. Pease, John J. Wolfgang.
`“APPARATUS AND METHOD FOR FILE-LEVEL REPLICATION BETWEEN TWO
`OR MORE NON-SYMMETRIC STORAGE SITES”, pending.
`
`Nagapramod Mandagere, Sandeep Uttamchandani, Pin Zhou, David A. Pease. “ODD:
`METHOD AND APPARATUS FOR O-DEMAND DATA DEDUPLICATION”, pending
`
`Tohru Hasegawa, Anurage Sharma, David Pease, “METHODS TO ACCESS FILE
`SYSTEM EXTENDED ATTRIBUTES ON AN OPERATING SYSTEM THAT HAS A
`RESTRICTIVE EA NAMESPACE”, pending
`
`Cornel Constantinescu, Abdullah Gharaibeh, Maohua Lu, David Pease, “OPTIMIZED
`DATA PLACEMENT FOR INDIVIDUAL FILE ACCESSES ON DEDUPLICATION-
`ENABLED SEQUENTIAL STORAGE SYSTEMS”, pending
`
`Karen Brannon, Wenling Cai, Sangeeta Doraiswamy, Ryan Minniear, David Pease,
`Mark Smith, “PROCESSING ARCHIVE CONTENT BASED ON HIERARCHICAL
`CLASSIFICATION LEVELS”, pending
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`Arnon Amir, David Pease, Rainer Richter, “FILE INDEX, METADATA STORAGE
`AND FILE SYSTEM MANAGEMENT FOR MAGNETIC TAPE”, pending
`
`Arnon Amir, David Pease, Rainer Richter, “FILE INDEX , METADATA STORAGE,
`AND FILE SYSTEM MANAGEMENT OF MAGNETIC TAPE”, pending
`
`Arnon Amir, Wayne Imaino, David Pease, Rainer Richter, “PRIMARY STORAGE
`MEDIA WITH ASSOCIATED SECONDARY MEDIA FOR EFFICIENT DATA
`MANAGEMENT”, pending
`
`L. Villa Real, D. Pease, A. Abe, “DYNAMIC SYMBOLIC LINKS FOR REFERENCING
`IN A FILE SYSTEM”, pending
`
`M. Xia, P. Zhou, D. Pease, “VMPART: SEMANTIC-AWARE VM PARTITIONING
`FOR IMPROVING PERFORMANCE IN VIRTUALIZED ENVIRONMENTS”, pending
`
`PUBLICATIONS
`
`J. Menon, D. Pease, R. Rees, L. Duyanovich, B. Hillsberg, “IBM Storage Tank - A
`Heterogeneous Scalable SAN File System,” IBM Systems Journal, 42(2), 250-267, 2003
`M. Kaczmarski, T. Jiang, D. Pease, “Beyond Backup: Towards Storage Management,”
`IBM Systems Journal, 42(2), 322-338, 2003
`S. Uttamchandani, C. Talcott, D. Pease, “Eos: An Approach to Using Behavior
`Implications for Policy-Based Self-Management,” Proceedings of the 14th IFIP/IEEE
`International Workshop on Distributed Systems: Operations and Management
`(DSOM 2003), 16-27, 2003
`S. Uttamchandani, K. Voruganti, S. Srinivasan, J. Palmer, D. Pease, “Polus: Growing
`Storage QoS Management beyond a ‘4-year Old Kid’,” 3rd USENIX Conference on File
`and Storage Technologies (FAST 2004), 31-44, 2004
`A. Verma, U. Sharma, J. Rubas, D. Pease, M. Kaplan, R. Jain, M. Devarakonda, M.
`Beigi, “An Architecture for Lifecycle Management in Very Large File Systems,”
`Proceedings of 13th NASA Goddard, 22nd IEEE Conference on Mass Storage Systems
`and Technologies (MSST 2005), 160-168, 2005
`A. Singh, K. Voruganti, S. Gopisetty, D. Pease, L. Liu, “A Hybrid Access Model for
`Storage Area Networks,” Proceedings of 13th NASA Goddard, 22nd IEEE Conference
`on Mass Storage Systems and Technologies (MSST 2005), 181-188, 2005
`A. Singh, K. Voruganti, S. Gopisetty, D. Pease, L. Duyanovich, L. Liu, “Security vs
`Performance: Tradeoffs using a Trust Framework,” Proceedings of 13th NASA
`Goddard, 22nd IEEE Conference on Mass Storage Systems and Technologies (MSST
`2005), 270-277, 2005
`M. Beigi, M. Devarakonda, R. Jain, M. Kaplan, D. Pease, J. Rubas, U. Sharma, A.
`Verma, "Policy-Based Information Lifecycle Management in a Large-Scale File
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`System", Proceedings of IEEE 6th International Workshop on Policies for Distributed
`Systems and Networks (Policy 2005), 139-148, 2005
`A. Di Blas, D. Dahle, M. Diekhans, L. Grate, J. Hirschberg, K. Karplus, H. Keller, M.
`Kendrick, F. Mesa-Martinez, D. Pease, E. Rice, A. Schultz, D. Speck, R. Hughey, “The
`UCSC Kestrel Parallel Processor,” IEEE Transactions on Parallel and Distributed
`Systems, 16(1), 80-92, 2005
`
`D. Pease, D. Long, "Future File Systems: A Position Paper", 1st Workshop on
`Computing with Massive and Persistent Data (CMPD'08), 2008
`
`D. Pease, "Storage Tank: A Storage Area Network File System", PhD thesis,
`Department of Computer Engineering, University of California, Santa Cruz,
`December 2008
`
`D. Pease, A. Amir, L. Villa Real, B. Biskeborn, M. Richmond, A. Abe, "LTFS: The
`Linear Tape File System", In Proceedings of the 26th IEEE Symposium on Massive
`Storage Systems and Technologies: Research Track (MSST 2010), 2010
`
`A. Amir, D. Pease, R. Richter, B. Biskeborn, M. Richmond, L. Villa Real, "File-Based
`Media Workflows using LTFS Tapes", Proceedings of the ACM MultiMedia
`International Conference (ACMMM 2010), 1519-1520, 2010
`
`A. Brinkmann, D. Pease, "Guest Editorial", ACM Transactions on Storage (TOS),
`7(3), October 2011
`
`E. Childers, D. Pease, A. Setos, "Developments in the Realization of Practical
`File Based Workflow Environments", To appear in Proceedings of 2012 SMPTE
`Annual Technical Conference & Exhibition, October 2012
`
`A. Gharaibeh, C. Constantinescu, M. Lu, A. Sharma, R. Routray, P. Sarkar, D. Pease,
`M. Ripeanu, “CloudDT: Efficient Tape Resource Management using Deduplication in
`Cloud Backup and Archival Services”, To appear in Proceedings of 8th International
`Conference on Network & Service Management (CNSM 2012), October 2012
`
`S. Rabinovici-Cohen, J. Marberg, K. Nagin, D. Pease, "PDS Cloud: Long Term
`Digital Preservation in the Cloud", Submitted to IEEE International Conference on
`Cloud Engineering (IC2E) 2013
`
`A. Gharaibeh, C. Constantinescu, M. Lu, R. Routray, A. Sharma, P. Sarkar, D. Pease,
`M. Ripeanu, "DedupT: Deduplication for Tape Systems", 30th International
`Conference on Massive Storage Systems and Technology (MSST) 2014
`
`M. Xia, P. Zhou, D. Pease, X. Liu, "Taming IO Spikes in Enterprise and Campus VM
`Deployment", 7th ACM International Systems and Storage Conference (Systor) 2014
`
`L. Haas, et al., "The IBM Research Accelerated Discovery Lab", SIGMOD Record,
`June 2014
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`D. Pease, "Storage in the Cloud: What You Need to Know and Why", Proceedings of
`the 5th International Conference on Applied Human Factors and Ergonomics (AHFE)
`2014, Krakow, Poland, July 2014
`
`I. Koltsidas, S. Sarafijanovic, M. Petermann, N. Haustein, H. Seipp, R. Haas, J.
`Jelitto, T. Weigold, E. Childers, D. Pease, E. Eleftheriou, "Seamlessly Integrating Disk
`and Tape in a Multi-tiered Distributed File System", IEEE Int'l Conference on Data
`Engineering (ICDE) 2015
`
`M. Xia, M. Saxena, M. Blaum, D. Pease, "A Tale of Two Erasure Codes in HDFS"
`13th USENIX Conference on File and Storage Technologies (FAST) 2015
`
`L. Villa Real, M. Richmond, B. Biskeborn, D. Pease, "An I/O Scheduler for Dual-
`Partitioned Tapes", 10th IEEE International Conference on Networking, Architecture,
`and Storage (NAS) 2015
`
`M. Saxena, P. Zhou, D. Pease, "vDrive: An Efficient and Consistent Virtual I/O
`System", To appear in Conference on Timely Results in Operating Systems (TRIOS)
`2015
`
`D. Pease, "The IBM Research Accelerated Discovery Lab: Objectives and Experience",
`Proceedings of the XVII International Conference on Data Analytics and Management
`in Data Intensive Domains (DAMDID/RCDL 2015), 105-106, October 2015
`
`K. Lillaney, V. Tarasov, D. Pease, R. Burns, "The Case for Dual-access File Systems
`over Object Storage", Proceedings of the 11th USENIX Workshop on Hot Topics in
`Storage and File Systems (HotStorage), July 2019
`
`K. Lillaney, V. Tarasov, D. Pease, R. Burns, "Agni: An Efficient Dual-access File
`System over Object Storage", Proceedings of the ACM Symposium on Cloud
`Computing (SOCC '19), November 2019
`
`TEACHING EXPERIENCE
`
`Spring, 2004: CMPS-111 (Introduction to Operating Systems) at U.C. Santa Cruz
`Fall 2005, 2006, 2009: CMPE-080H (History of Modern Computing) at U.C.Santa Cruz
`Winter 2009, ISM-058 (Systems Analysis and Design) at U.C. Santa Cruz
`Spring 2012, BUS-118W (Web Programming & Design) at San Jose State University
`2000-2006: Lectures in various graduate-level classes at UCSC, including CMPE-202
`(Computer Architecture) and CMPS-221 (Advanced Operating Systems)
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`IPR2021-00831
`PUBLIC VERSION
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`Daedalus EX2002
`Page 18 of 19
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