Motorola Mobility, Inc. v. Apple, Inc.

Filing 17

ANSWER and Affirmative Defenses to Complaint with Jury Demand, COUNTERCLAIM against Motorola Mobility, Inc. by Apple, Inc.. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J)(Pace, Christopher) Modified on 11/19/2010 (ls).

Motorola Mobility, Inc. v. Apple, Inc.

Doc. 17 Att. 4

EXHIBIT D

Dockets.Justia.com

C o n t r o l No.

Patent Under Reexamination

Order G r a n t i n g / D e n y i n g R e q u e s t F o r Ex Parte R e e x a m i n a t i o n

90/010,889
Examiner

5958006
Art Unit

A N D R E W L. NALVEN

3992

-- The MAILING DA TE o f t h i s c o m m u n i c a t i o n a p p e a r s o n t h e c o v e r s h e e t w i t h t h e c o r r e s p o n d e n c e a d d r e s s - -

The request for ex parte reexamination filed 15 A p r i l 2010 has been considered and a determination has been made. An identification o f the claims, the references relied upon, and the rationale supporting the determination are attached. Attachments: a ) D P T O - 8 9 2 , 1. b)[2J P T O / S 8 / 0 8 , c)[2J O t h e r : Decision on R e q u e s t

l'ZI

The request for ex p a r t e reexamination is GRANTED. RESPONSE TIMES ARE SET AS FOLLOWS:

For Patent Owner's Statement (Optional): TWO MONTHS from the mailing date of this communication (37 CFR 1.530 (b)). EXTENSIONS OF TIME ARE GOVERNED B Y 37 CFR 1.550(c). For Requester's Reply (optional): TWO MONTHS from the d a t e o f s e r v i c e of any timely filed Patent Owner's Statement (37 CFR 1.535). NO EXTENSION OF THIS TIME PERIOD IS PERMITTED. If Patent Owner does not file a timely statement under 37 CFR 1.530(b), then no reply by requester is permitted. 2. D The request for ex parte reexamination is DENIED.

This decision is not appealable (35 U.S.C. 303(c)). Requester may seek review by petition to the Commissioner under 37 CFR 1.181 within ONE MONTH from the mailing date o f this communication (37 CFR 1.515(c)). EXTENSION OF TIME TO FILE SUCH A PETITION UNDER 37 CFR 1.181 ARE A V A I L A B L E O N L Y B Y PETITION TO SUSPEND O R WAIVE THE R E G U L A T I O N S UNDER 37 CFR 1.183. In due course, a refund under 37 CFR 1.26 ( c ) will be made to requester: a) b)

D

by Treasury check or,

D by credit to Deposit Account No. _ _ , or c) D by credit to a credit card account, unless otherwise notified (35 U.S.C.

303(c)).

I
cc:Reauester ( if third nartv reauester )
U.S. Palent and Trademark Off,ce

I
O f f i c e A c t i o n i n Ex Parte R e e x a m i n a t i o n

I
Part of Paper No. 20100517

I

PTOL-471 (Rev 08-06)

Application/Control Number: 90/010,889 Art Unit: 3992
DECISION GRANTING EX PARTE REEXAMINATION

Page 2

A substantial n e w question o f p a t e n t a b i l i t y a f f e c t i n g c l a i m s I , 12, and 2 4 - 2 7 o f U n i t e d
S~ates

P a t e n t N u m b e r 5 , 9 5 8 , 0 0 6 (herea fter " t h e ' 0 0 6 p a t e n t " ) is raised by the request for e x p a r l e

r e e x a m i n a t i o n s u b m i t t e d o n April 1 5 , 2 0 1 0 . E x t e n s i o n s o f t i m e u n d e r 37 C F R 1. 136(a) will not be permitted in these p r o c e e d i n g s because the p r o v i s i o n s o f 37 C F R 1.136 apply o n l y to "an applicant" and not to p a r t i e s in a r e e x a m i n a t i o n p r o c e e d i n g . A d d i t i o n a l l y , 35 U . S . C . 305 requires that ex p a r l e r e e x a m i n a t i o n p r o c e e d i n g s "will be c o n d u c t e d with special d i s p a t c h " (37 C F R 1.550(a)). E x t e n s i o n s o f t i m e in ex p a r l e r e e x a m i n a t i o n p r o c e e d i n g s are p r o v i d e d for in 37 C F R 1.550(c).

Notification of Concurrent Proceedings

T h e patent o w n e r is r e m i n d e d o f the c o n t i n u i n g responsibility u n d e r 37 C F R 1.985 to apprise the Office o f a n y litigation activity, o r o t h e r p r i o r o r c o n c u r r e n t p r o c e e d i n g , i n v o l v i n g the '006 p a t e n t t h r o u g h o u t t h e c o u r s e o f this r e e x a m i n a t i o n proceeding. T h e third party r e q u e s t e r is also r e m i n d e d o f t h e a b i l i t y to s i m i l a r l y a p p r i s e t h e O f f i c e o f a n y s u c h a c t i v i t y o r p r o c e e d i n g t h r o u g h o u t the c o u r s e o f this r e e x a m i n a t i o n p r o c e e d i n g . See M P E P § 2 6 8 6 a n d 2686.04.

PROSECUTION HISTORY

Application/Control Number: 90/010,889 Art Unit: 3992

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The ' 0 0 6 patent w a s issued o n S e p t e m b e r 28, 1999 from an a p p l i c a t i o n filed D e c e m b e r 19, 1995. T h e ' 0 0 6 patent is a c o n t i n u a t i o n - i n - p a r t o f a p p l i c a t i o n n u m b e r 0 8 / 5 5 7 , 6 5 7 f i l e d , N o v e m b e r 13, 1995. D u r i n g the p r o s e c u t i o n o f the ' 0 0 6 patent, the E x a m i n e r initially r e j e c t e d all c l a i m s as being o b v i o u s o v e r Boaz. In r e s p o n s e to the rejection, A p p l i c a n t a m e n d e d t h e claims. F o l l o w i n g the a m e n d m e n t , the E x a m i n e r 'rejected all c l a i m s a s being o b v i o u s o v e r B o a z in v i e w o f A m r a m . A p p l i c a n t t h e n a m e n d e d c l a i m s 1 , 9 ( n o w 1 2 ) , 2 2 ( n o w 2 4 ) , a n d 2 4 ( n o w 2 6 ) . In a d d i t i o n t o t h e a m e n d m e n t s , A p p l i c a n t s u b m i t t e d r e m a r k s a r g u i n g that the c i t e d p r i o r a r t d i d not t e a c h o r s u g g e s t " t h e c o m m u n i c a t i o n o f a n y s u c h i d e n t i f y i n g i n f o r m a t i o n p a r t s to t h e c o m m u n i c a t i o n u n i t for data units that have n o t p a s s e d the filter p a r a m e t e r s " ( '006 p a t e n t , R e s p o n s e to Office A c t i o n

o f February 3, J998). A n o t i c e o f a l l o w a n c e w a s then issued w i t h o u t a d d i t i o n a l c o m m e n t by the
E x a m i n e r . A c c o r d i n g l y , t h e r e c o r d s u g g e s t s t h a t c l a i m s I, 1 2 , 2 4 , a n d 26 o f t h e ' 0 0 6 p a t e n t w e r e i s s u e d b e c a u s e t h e c i t e d p r i o r a r t f a i l e d to t e a c h o r s u g g e s t t h e c o m m u n i c a t i o n o f a n y s u c h i d e n t i f y i n g i n f o r m a t i o n p a r t s to t h e c o m m u n i c a t i o n u n i t f o r d a t a u n i t s t h a t h a v e n o t p a s s e d t h e filter p a r a m e t e r s . A f i r s t R e q u e s t f o r R e e x a m i n a t i o n w a s f i l e d o n S e p t e m b e r 16, 2 0 0 8 s e e k i n g reexamination o f c l a i m s 2 4 - 2 7 . O n M a y 1 5 , 2 0 0 9 c l a i m s 2 4 - 2 7 w e r e r e j e c t e d as u n p a t e n t a b l e o v e r US P a t e n t No. 5 , 7 4 2 , 9 0 5 to P e p e e t ai, c l a i m s 24-25 w e r e f u r t h e r r e j e c t e d 'as u n p a t e n t a b l e o v e r C h a n g ' s " A K n o w l e d g e - B a s e d M e s s a g e M a n a g e m e n t S y s t e m , " and c l a i m s 2 6 - 2 7 were further rejected as u n p a t e n t a b l e o v e r K a a s h o c k ' s " D y n a m i c D o c u m e n t s : E x t e n s i b i l i t y and Adaptability in the W W W . "

Application/Control Number: 90/010,889 Art Unit: 3992

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P a t e n t O'wner r e s p o n d e d b y a m e n d i n g a n d d i s c l a i m i n g f i l t e r i n g a t a n y l o c a t i o n o t h e r t h a n at the host. A N o t i c e o f Intent to I s s u e a R e e x a m i n a t i o n C e r t i f i c a t e ( " N I R C " ) w a s m a i l e d o n O c t o b e r 2 6 , 2 0 0 9 . T h e N I R C s t a t e d t h e reasons for p a t e n t a b i l i t y a n d / o r c o n f i r m a t i o n a s f o l l o w s : R e g a r d i n g c l a i m s 2 4 a n d 2 5 , t h e c i t e d prior art fails to t e a c h o r s u g g e s t " a c o m m u n i c a t i o n s s e r v e r a d a p t e d for c o m m u n i c a t i n g w i t h a h o s t s e r v e r a n d a c o m m u n i c a t i o n u n i t i n c l u d i n g a p r o c e s s o r , the c o m m u n i c a t i o n s 'server c o m p r i s i n g a d a t a t r a n s f e r m a n a g e r c o u p l e d with a u s e r p a r a m e t e r s t o r e a n d a d a p t e d t o c o n t r o l c o m m u n i c a t i o n o f d a t a u n i t s b e t w e e n t h e c o m m u n i c a t i o n u n i t a n d the h o s t s e r v e r i n c l u d i n g r e c e i v i n g i n d i v i d u a l l y f i l t e r e d d a t a u n i t s f r o m the host s e r v e r b a s e d Qn at least o n e u s e r - d e f i n a b l e filter p a r a m e t e r t o i d e n t i f y w h e t h e r a d a t a unit is a q u a l i f y i n g o r n o n - q u a l i f y i n g d a t a unit, in c o m b i n a t i o n w i t h t h e r e m a i n i n g e l e m e n t s o r features o f t h e c l a i m e d i n v e n t i o n : " NIRC, Pages 2-3. R e g a r d i n g c l a i m s 2 6 a n d 27, t h e c i t e d prior a r t fails t o t e a c h o r s u g g e s t " a c o n t r o l l e r o f a c o m m u n i c a t i o n u n i t a d a p t e d f o r r e q u e s t i n g 'data f r o m a w i r e l e s s c o m m u n i c a t i o n c h a n n e l f r o m a f u r t h e r d a t a p r o c e s s i n g h o s t v i a a c o m m u n i c a t i o n s s e r v e r c o m p r i s i n g a s u m m a r y s t o r e to s t o r e ' i d e n t i f y i n g i n f o r m a t i o n r e c e i v e d f r o m t h e h o s t via t h e c o m m u n i c a t i o n s s e r v e r a b o u t d a t a u n i t s not s e n t f r o m t h e h o s t t o t h e c o m m u n i c a t i o n unit a n d not r e c e i v e d a t t h e c o m m u n i c a t i o n unit, w h e r e i n s a i d d a t a u n i t s are i n d i v i d u a l l y filtered, p r i o r to r e c e p t i o n at t h e c o m m u n i c a t i o n unit, b a s e d u p o n u s e r d e f i n a b l e f i l t e r p a r a m e t e r s , in c o m b i n a t i o n w i t h t h e r e m a i n i n g e l e m e n t s o r features o f the c l a i m e d i n v e n t i o n . " NIRC, P a g e 3.

P R O P O S E D S U B S T A N T I A L NEW Q U E S T I O N S O F P A T E N T A B I L I T Y

Application/Control Art Unit: 3992

N~mber:

90/010,889

Page 5

Third Party R e q u e s t e r ( " R e q u e s t e r " ) requested r e e x a m i n a t i o n o f c l a i m s I, 12, a n d 24-27 o f the '006 patent based upon the following p r i o r art p a t e n t s a n d p u b l i c a t i o n s : 1. Hoshi et aI., " A M o b i l e P e n - B a s e d C o m p u t i n g S y s t e m for C e l l u l a r T e l e p h o n e

N e t w o r k s , " I E E E ( 1 9 9 3 ) , Pub. N o . 0 - 7 8 0 3 - 0 9 1 7 - 0 / 9 3 ( " H o s h i " ) ; 2. Smith et aI., " T r i a l s o f Wireless, S e c u r e E l e c t r o n i c Mail," I E E E P e r s o n a l

C o m m u h i c a t i o n s ( A u g u s t 1 9 9 5 ) , Pub. N o . 1 0 7 0 - 9 9 1 6 / 9 5 ( " S m i t h " ) ; 3. 4. 5. U.S. Patent N o . 5 , 3 7 7 , 3 5 4 to Scannell e t aI., filed J u n e 8, 1993 ( " S c a n n e l l " ) ; U.S. P a t e n t N o . 5 , 5 1 3 , 1 2 6 t o H a r k i n s e t a I . , f i l e d O c t . 4 , 1 9 9 3 ( " H a r k i n s " ) ; S h i - K u o C h a n g a n d L. L e u n g , "A K n o w l e d g e - B a s e d M e s s a g e M a n a g e m e n t

System," A C M T r a n s a c t i o n s o n O f f i c e I n f o r m a t i o n S y s t e m s , Vol. 5, N o . 3 , July 1987, pp. 2 1 3 - 2 3 6 ( " C h a n g " ) ; 6. M. Frans K a a s h o e k e t aI, " D y n a m i c D o c u m e n t s : E x t e n s i b i l i t y a n d A d a p t a b i l i t y in

the WWW," M I T L a b o r a t o r y for C o m p u t e r S c i e n c e , S e p t e m b e r 15, 1994 ( " K a a s h o e k " ) .

R e q u e s t o r has a l l e g e d a s u b s t a n t i a l n e w q u e s t i o n o f p a t e n t a b i l i t y in light o f the p r o p o s e d rejections: I s s u e l - C l a i m s 26 a n d 27 are a n t i c i p a t e d by H o s h i u n d e r 35 U . S . c . § 1 0 2 ( b ) . I s s u e 2 - C l a i m s 26 a n d 2 7 are r e n d e r e d o b v i o u s by the c o m b i n a t i o n o f Hoshi in v i e w o f C h a n g under 35 U . S . c . 103(a). I s s u e 3 - C l a i m s 26 a n d 27 are a n t i c i p a t e d by S m i t h u n d e r 35 U . S . c . § 102(a). I s s u e 4 - C l a i m s 26 a n d 2 7 are r e n d e r e d o b v i o u s by t h e c o m b i n a t i o n o f S m i t h in v i e w o f C h a n g under 35 U . S . c . 103(a).

·.
Application/Control N u m b e r : 90/010,889 Art Unit: 3992 Page 6

Issue 5 - Claims I, 12, and 24-25 are rendered obvious by the combination o f Harkins in view o f Scann'ell under 35 U , S . c . 103(a), Issue 6 - Claims 1, 12, and 24-25 are rendered obvious by the combination o f Harkins in view o f Chang under 35 U.S.C. 103(a). Issue 7 - Claims 26-27 are rendered obvious by the combination o f Kaashoek in view o f Scannell under 35 U.S.C. 103(a).

ANALYSIS O F S U B S T A N T I A L N E W Q U E S T I O N S O F P A T E N T A B I L I T Y

Summary Requestor has shown a substantial new question o f patentability with regards to claims 1, 12, and 24-27 (all requested claims).

Analysis A substantial new question o f patentability is raised by a cited patent or printed publication when there is a substantial likelihood that a reasonable examiner would consider the prior art patent or printed publication important in deciding whether or not the claim is patentable. A substantial new question o f patentability is not raised by prior art presented in a reexamination request i f the Office has previously considered (in an earlier examination o f the patent) the same question o f patentability as to a patent claim favorable to the patent owner based on the same prior art patents o r printed publications. In re Recreative Technologies, 83 F.3d 1394,38 USPQ2d 1776 (Fed. Cir. 1996).

Application/Control Number: 9 0 / 0 1 0 , 8 8 9 Art Unit: 3992

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T h e instant r e q u e s t for r e e x a m i n a t i o n is the s e c o n d r e q u e s t for r e e x a m i n a t i o n on the ' 0 0 6 p a t e n t . A c c o r d i n g l y , M P E P p r o v i s i o n s o n s e c o n d o r s u b s e q u e n t r e q u e s t s f o r ex p a r t e r e e x a m i n a t i o n a p p l y . M P E P § 2 2 4 0 states:

" I f a s e c o n d o r s u b s e q u e n t r e q u e s t for ex parte r e e x a m i n a t i o n is filed (by a n y party) w h i l e a first e x p a r t e r e e x a m i n a \ i o n is pending, the presence o f a s u b s t a n t i a l n e w q u e s t i o n o f p a t e n t a b i l i t y d e p e n d s o n t h e p r i o r a r t ( p a t e n t s a n d p r i n t e d p u b l i c a t i o n s ) c i t e d by t h e s e c o n d o r s u b s e q u e n t requester. I f the r e q u e s t e r includes in the s e c o n d o r s u b s e q u e n t request p r i o r art w h i c h r a i s e d a substantial n e w q u e s t i o n in the p e n d i n g r e e x a m i n a t i o n , r e e x a m i n a t i o n s h o u l d be o r d e r e d o n l y i f the p r i o r art c i t e d r a i s e s a s u b s t a n t i a l n e w q u e s t i o n o f p a t e n t a b i l i t y w h i c h is d i f f e r e n t from that raised in the p e n d i n g r e e x a m i n a t i o n p r o c e e d i n g . I f the p r i o r art c i t e d r a i s e s the s a m e s u b s t a n t i a l n e w q u e s t i o n o f p a t e n t a b i l i t y as that r a i s e d in the p e n d i n g r e e x a m i n a t i o n p r o c e e d i n g s , the s e c o n d o r s u b s e q u e n t r e q u e s t s h o u l d be d e n i e d . "

Hoshi R e f e r e n c e Hoshi raises a s u b s t a n t i a l n e w q u e s t i o n o f p a t e n t a b i l i t y r e g a r d i n g c l a i m s 2 6 and 2 7 as p r e s e n t e d in Issues 1 a n d 2. Hoshi raises a substantial n e w q u e s t i o n by p r o v i d i n g n e w and nonc u m u l a t i v e t e a c h i n g s t h a t a r e a s o n a b l e e x a m i n e r w o u l d c o n s i d e r i m p o r t a n t in d e t e r m i n i n g patentabi Iity o f the c l a i m s .

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During the first r e e x a m i n a t i o n o f the ' 0 0 6 patent, it was indicated that c l a i m 2 6 w a s p a t e n t a b l e b e c a u s e the c i t e d p r i o r art d i d not t e a c h o r s u g g e s t the d i s t i n g u i s h i n g f e a t u r e o f " a s u m m a r y store to store i d e n t i f y i n g i n f o r m a t i o n r e c e i v e d from the host via the c o m m u n i c a t i o n s s e r v e r a b o u t d a t a u n i t s n o t s e n t f r o m t h e h o s t to t h e c o m m u n i c a t i o n u n i t a n d n o t r e c e i v e d at t h e c o m m u n i c a t i o n unit, w h e r e i n s a i d d a t a u n i t s a r e i n d i v i d u a l l y f i l t e r e d , p r i o r t o r e c e p t i o n a t the c o m m u n i c a t i o n unit, b a s e d u p o n u s e r d e f i n a b l e f i l t e r p a r a m e t e r s . " T h e a m e n d e d s u b j e c t m a t t e r w h i c h p r o m p t e d the c o n f i r m a t i o n o f p a t e n t a b i l i t y w a s the i n c l u s i o n o f t h e l i m i t a t i o n r e q u i r i n g that " s a i d d a t a units are i n d i v i d u a l l y filtered, p r i o r to reception at the c o m m u n i c a t i o n unit, b a s e d upon u s e r d e f i n a b l e f i l t e r p a r a m e t e r s . " H o s h i r a i s e s a s u b s t a n t i a l n e w q u e s t i o n b y p r o v i d i n g t e a c h i n g s t h a t a r e r e l e v a n t to t h e d i s t i n g u i s h i n g f e a t u r e o f c l a i m 26. F o r e x a m p l e , H o s h i d i s c l o s e s a m o b i l e s t a t i o n t h a t r e c e i v e s a n email list that identifies e a c h email t h a t is r e c e i v e d w h e r e the email list is c o n s t r u c t e d and filtered a c c o r d i n g to a rule c u s t o m i z e d by the u s e r (Hoshi, P a g e 382). T h i s email list is s t o r e d a t t h e m o b i l e s t a t i o n and a c t s a s a s u m m a r y o f the e m a i l s received. The m o b i l e s t a t i o n c a n t h e n r e q u e s t the full t e x t o f the e m a i l a s s o c i a t e d w i t h a p a r t i c u l a r e m a i l i d e n t i f i e r at the r e q u e s t o f the u s e r (Hoshi, p a g e s 3 8 1 - 3 8 2 ) . F u r t h e r , H o s h i ' s f i l t e r i n g and c o n s t r u c t i n g o f the e m a i l l i s t is p e r f o r m e d by a m o b i l e station s e r v e r and is t r a n s m i t t e d to t h e m o b i l e station by w a y o f a m o b i l e s t a t i o n g a t e w a y (Hoshi, p a g e 3 8 1 ; F i g u r e 1). T h e s e t e a c h i n g s w o u l d be i m p o r t a n t to a r e a s o n a b l e e x a m i n e r in d e c i d i n g p a t e n t a b i l i t y b e c a u s e the r e e x a m i n a t i o n h i s t o r y s u g g e s t s t h a t t h e s e f e a t u r e s w e r e t h e r e a s o n f o r a l l o w a n c e o f the c l a i m s . T h u s , there is a substantial l i k e l i h o o d that a r e a s o n a b l e e x a m i n e r w o u l d c o n s i d e r Hoshi i m p o r t a n t in d e c i d i n g w h e t h e r o r not the c l a i m s are patentable. A c c o r d i n g l y , Hoshi raises

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a s u b s t a n t i a l n e w q u e s t i o n o f p a t e n t a b i l i t y a s t o c l a i m s 2 6 a n d 2 7 t h a t h a s n o t b e e n d e c i d e d in a previous e x a m i n a t i o n .

Smith Reference

S m i t h raises a s u b s t a n t i a l n e w q u e s t i o n o f p a t e n t a b i l i t y r e g a r d i n g c l a i m s 2 6 a n d 27 as p r e s e n t e d in I s s u e s 3 a n d 4. S m i t h r a i s e s a s u b s t a n t i a l n e w q u e s t i o n by p r o v i d i n g n e w a n d n o n c u m u l a t i v e t e a c h i n g s t h a t a r e a s o n a b l e e x a m i n e r w o u l d c o n s i d e r i m p o r t a n t in d e t e r m i n i n g p a t e n t a b i l i t y o f the c l a i m s . D u r i n g the first r e e x a m i n a t i o n o f the ' 0 0 6 patent, it w a s i n d i c a t e d t h a t c l a i m 2 6 w a s patentable b e c a u s e t h e c i t e d p r i o r art did not teach o r s u g g e s t the d i s t i n g u i s h i n g f e a t u r e o f " a s u m m a r y s t o r e to s t o r e i d e n t i f y i n g i n f o r m a t i o n r e c e i v e d f r o m t h e h o s t v i a t h e c o m m u n i c a t i o n s server a b o u t d a t a units n o t s e n t f r o m t h e h o s t to the c o m m u n i c a t i o n u n i t a n d n o t r e c e i v e d a t t h e c o m m u n i c a t i o n unit, w h e r e i n s a i d d a t a u n i t s a r e i n d i v i d u a l l y f i l t e r e d , p r i o r to r e c e p t i o n a t t h e c o m m u n i c a t i o n unit, b a s e d u p o n u s e r d e f i n a b l e f i l t e r p a r a m e t e r s . " T h e a m e n d e d s u b j e c t m a t t e r w h i c h p r o m p t e d the c o n f i r m a t i o n o f p a t e n t a b i l i t y was the i n c l u s i o n o f t h e l i m i t a t i o n r e q u i r i n g that " s a i d d a t a units a r e i n d i v i d u a l l y filtered, p r i o r to r e c e p t i o n at t h e c o m m u n i c a t i o n unit, b a s e d upon u s e r d e f i n a b l e f i l t e r p a r a m e t e r s . " S m i t h r a i s e s a s u b s t a n t i a l n e w q u e s t i o n by p r o v i d i n g t e a c h i n g s t h a t a r e r e l e v a n t to t h e d i s t i n g u i s h i n g f e a t u r e o f c l a i m 26. F o r e x a m p l e , S m i t h d i s c l o s e s a r e m o t e c o m p u t e r t h a t d o w n l o a d s e m a i l s a n d lists o f e m a i l s f r o m a LAN Post O f f i c e b y w a y o f a mail s e r v e r (Smith,

Figure I; Page 30 - m e s s a g e s ... w o u l d s t i l l reside at the L A N Post O.tlice to be d o w n l o a d e d later). A user o f the r e m o t e c o m p u t e r c a n s e t up a fi Iter that w o u l d d e t e r m i n e w h i c h emai Is

Application/Control Number: 90/010,889 Art Unit: 3992

P a g e 10

w o u l d a u t o m a t i c a l l y be d o w n l o a d e d from t h e LAN Post O f f i c e to t h e r e m o t e c o m p u t e r (Smith,

P a g e 3 0 ) . S m i t h t e a c h e s t h e use o f a s u m m a r y s t o r e t h a t d i s p l a y s i d e n t i f y i n g i n f o r m a t i o n o f t h e
e m a i l s r e c e i v e d f r o m t h e h o s t t h a t d e t a i l s i n f o r m a t i o n a b o u t e m a i l s n o t r e c e i v e d b y t e a c h i n g a list o f e m a i l s i n c l u d i n g i d e n t i f y i n g i n f o r m a t i o n s u c h as t i t l e , a u t h o r , a n d l e n g t h w h e r e a u s e r m a y s e l e c t the e m a i l to d o w n l o a d it (Smilh, P a g e 30). M o s t i m p o r t a n t l y a n d m o s t r e l e v a n t to t h e d i s t i n g u i s h i n g f e a t u r e , S m i t h t e a c h e s t h a t t h e f i l t e r i n g o c c u r s at t h e L A N P o s t O f f i c e ( h o s t d e v i c e ) (Smith, Figure 1,' Page 30). T h e s e t e a c h i n g s w o u l d be i m p o r t a n t t o a r e a s o n a b l e e x a m i n e r in d e c i d i n g p a t e n t a b i l i t y because t h e reexamination history s u g g e s t s that these features w e r e the r e a s o n for a l l o w a n c e o f t h e c l a i m s . T h u s , t h e r e is a s u b s t a n t i a l l i k e l i h o o Q t h a t a r e a s o n a b l e e x a m i n e r w o u l d c o n s i d e r S m i t h i m p o r t a n t in d e c i d i n g w h e t h e r o r n o t t h e c l a i m s a r e p a t e n t a b l e . A c c o r d i n g l y , S m i t h r a i s e s a s u b s t a n t i a l n e w q u e s t i o n o f p a t e n t a b i l i t y a s to c l a i m s 2 6 a n d 2 7 t h a t h a s n o t b e e n d e c i d e d i n a previous examination.

Harkins Reference
H a r k i n s r a i s e s a s u b s t a n t i a l n e w q u e s t i o n o f p a t e n t a b i l i t y r e g a r d i n g c l a i m s 2 4 a n d 25 a s p r e s e n t e d in I s s u e s 5 a n d 6. H a r k i n s r a i s e s a s u b s t a n t i a l n e w q u e s t i o n b y p r o v i d i n g n e w a n d n o n - c u m u l a t i v e t e a c h i n g s t h a t a r e a s o n a b l e e x a m i n e r w o u l d c o n s i d e r i m p o r t a n t in d e t e r m i n i n g p a t e n t a b i I ity o f t h e c l a i m s . D u r i n g t h e first r e e x a m i n a t i o n o f t h e '006 p a t e n t , it w a s i n d i c a t e d t h a t c l a i m 2 4 w a s p a t e n t a b l e b e c a u s e t h e c i t e d p r i o r art d i d not t e a c h o r s u g g e s t t h e d i s t i n g u i s h i n g f e a t u r e o f " a d a t a t r a n s f e r m a n a g e r c o u p l e d w i t h a u s e r p a r a m e t e r s t o r e a n d a d a p t e d to c o n t r o l c o m m u n i c a t i o n o f

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P a g e 11

data units between the communication unit and the host server including receiving individually filtered data units from the host server based on at least one user-definable filter parameter to identify whether a data unit is a qualifying or non-qualifying data unit." Harkins raises a substantial new question by providing teachings that are relevant to the distinguishing feature o f claims 24 and 25. For example, Harkins suggests receiving individually filtered data units from the host server based on at least one user-definable filter parameter to identify whether a data unit is a qualifying or non-qualifying data unit by teaching a device server and Communication Channel Admin Server applying filtering parameters before passing the data to the communication unit (Harkins. column 12 lines 6-11: c o l u m n 7 lines 52-54;
column 8 lines 20-30).

These teachings would be important to a reasonable examiner in deciding patentability because the reexamination history suggests that these features were the reason for allowance o f the claims. Thus, there is a substantial likelihood that a reasonable examiner would consider Harkins important in deciding whether or not the claims are patentable. Accordingly, Harkins raises a substantial new question o f patentability as to claims 24-25 that has not been decided in a previous examination.

Harkins.does not independently raise a substantial new question o f patentability for claims 1, 12 as presented in issues 5 and 6 because Harkins does not disclose the distinguishing features o f those claims. Accordingly, Harkins would not be impol1ant to a reasonable examiner in determining the patentability o f the claims.

Application/Control Number: 90/010,889 Art Unit: 3992
C l a i m s 1 and 12 w e r e n o t p r e v i o u s l y the s u b j e c t o f r e e x a m i n a t i o n . D u r i n g t h e

Page 12

p r o s e c u t i o n o f the ' 0 0 6 patent, it was found that t h e d i s t i n g u i s h i n g feature o f c l a i m s 1 a n d 12 w a s the l i m i t a t i o n r e q u i r i n g t h e c o m m u n i c a t i o n o f i d e n t i f y i n g i n f o r m a t i o n p a r t s t o t h e c o m m u n i c a t i o n u n i t f o r d a t a u n i t s that h a v e n o t p a s s e d t h e f i l t e r p a r a m e t e r s . T h e R e q u e s t d o e s not rely on H a r k i n s to t e a c h t h i s feature. Instead, t h e R e q u e s t r e l i e s o n S c a n n e l l a n d C h a n g . A c c o r d i n g l y , the R e q u e s t d o e s n o t e s t a b l i s h that H a r k i n s t e a c h e s t h e d i s t i r l g u i s h i n g f e a t u r e o f c l a i m s 1 a n d 12.

Scannell Reference
S c a n n e l l raises a s u b s t a n t i a l n e w q u e s t i o n o f p a t e n t a b i l i t y r e g a r d i n g c l a i m s 1, 12, a n d 2 4 27 as p r e s e n t e d in I s s u e s 5 a n d 7. Scannell r a i s e s a s u b s t a n t i a l n e w q u e s t i o n by p r o v i d i n g n e w a n d n o n - c u m u l a t i v e t e a c h i n g s t h a t a r e a s o n a b l e e x a m i n e r w o u l d c o n s i d e r i m p o r t a n t in d e t e r m i n i n g p a t e n t a b i l i t y o f the claims. C l a i m s 1 a n d 12 w e r e n o t p r e v i o u s l y the s u b j e c t o f r e e x a m i n a t i o n . D u r i n g t h e p r o s e c u t i o n o f t h e ' 0 0 6 p a t e n t , it w a s i n d i c a t e d t h a t c l a i m s 1 a n d 12 w e r e p a t e n t a b l e b e c a u s e t h e c i t e d p r i o r a r t d i d n o t t e a c h o r s u g g e s t the d i s t i n g u i s h i n g f e a t u r e o f c o m m u n i c a t i o n o f a n y s u c h i d e n t i f y i n g i n f o r m a t i o n p a r t s to t h e c o m m u n i c a t i o n u n i t f o r d a t a u n i t s t h a t h a v e n o t p a s s e d t h e filter p a r a m e t e r s . Further, d u r i n g the first r e e x a m i n a t i o n o f the ' 0 0 6 p a t e n t , it w a s i n d i c a t e d t h a t c l a i m 2 4 w a s p a t e n t a b l e b e c a u s e t h e c i t e d p r i o r art d i d n o t t e a c h o r s u g g e s t t h e d i s t i n g u i s h i n g f e a t u r e o f " a d a t a t r a n s f e r m a n a g e r c o u p l e d w i t h a u s e r p a r a m e t e r s t o r e a n d a d a p t e d to c o n t r o l c o m m u n i c a t i o n o f data units b e t w e e n the c o m m u n i c a t i o n unit and the h o s t s e r v e r i n c l u d i n g r e c e i v i n g

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i n d i v i d u a l l y f i l t e r e d d a t a u n i t s from t h e h o s t s e r v e r b a s e d o n a t l e a s t o n e u s e r - d e f i n a b l e f i l t e r p a r a m e t e r to i d e n t i f y w h e t h e r a d a t a unit is a q u a l i f y i n g o r n o n - q u a l i f y i n g d a t a u n i t . " F u r t h e r , d u r i n g the first r e e x a m i n a t i o n o f the ' 0 0 6 patent, it w a s i n d i c a t e d t h a t c l a i m 26 was p a t e n t a b l e b e c a u s e the c i t e d p r i o r art d i d not teach o r s u g g e s t the d i s t i n g u i s h i n g feature o f " a s u m m a r y s t o r e t o s t o r e identi fying i n f o r m a t i o n r e c e i v e d from t h e h o s t v i a t h e c o m m u n i c a t i o n s s e r v e r a b o u t d a t a u n i t s n o t s e n t from t h e h o s t t o t h e c o m m u n i c a t i o n u n i t a n d n o t r e c e i v e d a t t h e c o m m u n i c a t i o n u n i t , w h e r e i n s a i d d a t a u n i t s a r e i n d i v i d u a l l y f i l t e r e d , p r i o r to r e c e p t i o n at the c o m m u n i c a t i o n unit, b a s e d upon user d e f i n a b l e filter p a r a m e t e r s . " T h e a m e n d e d s u b j e c t m a t t e r w h i c h p r o m p t e d t h e c o n f i r m a t i o n o f p a t e n t a b i l i t y w a s t h e i n c l u s i o n o f the l i m i t a t i o n r e q u i r i n g t h a t " s a i d d a t a u n i t s a r e i n d i v i d u a l l y f i l t e r e d , p r i o r to r e c e p t i o n a t t h e c o m m u n i c a t i o n u n i t , b a s e d upon user d e f i n a b l e f i l t e r p a r a m e t e r s . " S c a n n e l l r a i s e s a s u b s t a n t i a l n e w q u e s t i o n b y p r o v i d i n g t e a c h i n g s t h a t a r e r e l e v a n t to t h e d i s t i n g u i s h i n g f e a t u r e o f c l a i m s I, 12 and 24. F o r e x a m p l e , S c a n n e l l d i s c l o s e s a s y s t e m for p r i o r i t i z i n g a p l u r a l i t y o f i n c o m i n g e m a i l m e s s a g e s for a u s e r a c c o r d i n g t o a u s e r d e f i n e d s e t o f rules (Scannell, Abstract). S c a n n e l l t e a c h e s a d e t e r m i n a t i o n a s to w h e t h e r a m e s s a g e is q u a l i f y i n g o r n o n - q u a l i f y i n g in v i e w o f the u s e r d e f i n e d rules (Scannell, Abstract). M o s t i m p o r t a n t l y , S c a n n e l l s u g g e s t s the c o m m u n i c a t i o n o f i d e n t i f y i n g i n f o r m a t i o n t o t h e c o m m u n i c a t i o n u n i t f o r d a t a u n i t s t h a t h a v e n o t p a s s e d the f i l t e r p a r a m e t e r s b y d i s c u s s i n g the t e a c h i n g s o f C h a n g w h e r e b y a s h o r t a l e r t m e s s a g e is sent i n s t e a d o f t h e full t e x t d e p e n d i n g on" filter rul~s (Scannell, column I lines 4 4 - 5 6 ) . T h u s , S c a n n e l l s u g g e s t s t h a t w h e n a m e s s a g e is filtered, i d e n t i f y i n g i n f o r m a t i o n m a y b e s e n t t o t h e u s e r i d e n t i f y i n g t h e f i l t e r e d m e s s a g e , b u t w i t h o u t s e n d i n g t h e full m e s s a g e .

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T h e s e t e a c h i n g s w o u l d be i m p o r t a n t to a r e a s o n a b l e e x a m i n e r in d e c i d i n g p a t e n t a b i l i t y because the r e e x a m i n a t i o n history s u g g e s t s that these features were the r e a s o n f o r a l l o w a n c e o f
,

the c l a i m s . T h u s , t h e r e is a s u b s t a n t i a l l i k e l i h o o d that a r e a s o n a b l e e x a m i n e r w o u l d c o n s i d e r S c a n n e l l i m p o r t a n t in d e c i d i n g w h e t h e r o r not the c l a i m s are p a t e n t a b l e . A c c o r d i n g l y , S c a n n e l l raises a s u b s t a n t i a l n e w q u e s t i o n o f p a t e n t a b i l i t y as to c l a i m s I , 12, a n d 2 4 - 2 5 t h a t h a s not been d e c i d e d in a p r e v i o u s e x a m i n a t i o n . H o w e v e r , Scannell d o e s n o t raise a substantial n e w q u e s t i o n for c l a i m s 2 6 - 2 7 b e c a u s e Scannell d o e s not teach the d i s t i n g u i s h i n g feature o f " s a i d d a t a units are i n d i v i d u a l l y filtered, p r i o r to r e c e p t i o n at t h e c o m m u n i c a t i o n u n i t , b a s e d u p o n u s e r
defil~able

filter p a r a m e t e r s . "

S c a n n e l l d o e s not s p e c i f i c a l l y t e a c h a h o s t c o m p u t e r p e r f o r m i n g the s c a n n i n g . A t m o s t , S c a n n e l l t e a c h e s the f u n c t i o n s b e i n g p e r f o r m e d b y a w o r k s t a t i o n that c o u l d be i m p l e m e n t e d as a host c o m p u t e r s h a r e d by a n u m b e r o f users. S c a n n e l l ' s d i s c l o s u r e is not c l e a r as t o w h e t h e r the host c o m p u t e r w o u l d filter m e s s a g e s f o r a w o r k s t a t i o n o r w h e t h e r m u l t i p l e u s e r s m e r e l y use the s a i n e work s t a t i o n . In a d d i t i o n , t h e c l a i m s s e t f o r t h t h a t the h o s t s e r v e r is t h e s e r v e r w h o p e r f o r m s the filtering a n d f o r w a r d s t h e d a t a to a c o m m u n i c a t i o n s e r v e r w h o f o r w a r d s t h e d a t a t o a c o m m u n i c a t i o n u n i t . S c a n n e l l d o e s n o t t e a c h a h o s t s e r v e r in s u c h a c o n f i g u r a t i o n .

Chang and Kaashoek References
As n o t e d above, Hoshi, S c a n n e l l , H a r k i n s , and S m i t h i n d e p e n d e n t l y r a i s e a s u b s t a n t i a l n e w q u e s t i o n s u f f i c i e n t to g r a n t r e e x a m i n a t i o n o f c l a i m s I, 12, a n d 2 4 - 2 7 . T h u s , I s s u e s 1-7 raise a s u b s t a n t i a l n e w q u e s t i o n in light o f t h e d i s c u s s i o n above.

Application/Control Number: 90/010,889 Art Unit: 3992
CORRESPONDENCE

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All c o r r e s p o n d e n c e r e l a t i n g to this e x p a r t e r e e x a m i n a t i o n p r o c e e d i n g s h o u l d be d i r e c t e d :

By EFS:

Registered u s e r s m a y s u b m i t v i a the e l e c t r o n i c filing s y s t e m E F S - W e b , a t https://spoI1al.uspto.gov / a u t h e n t i c a t e / a u t h e n t i c a t e u s e r l o c a l e p f. htm I. Mail S t o p E x P a r t e R e e x a m Central R e e x a m i n a t i o n U n i t Commissioner for Patents , United S t a t e s P a t e n t & T r a d e m a r k O f f i c e P.O. B o x 1 4 5 0 Alexandria, V A 2 2 3 1 3 - 1 4 5 0 ( 5 7 1 ) 273~9900 Central R e e x a m i n a t i o n Unit Customer Service Window Randolph B u i l d i n g 4 0 I Dulany S t r e e t Alexandria, V A 2 2 3 1 4

By Mail to:

By F A X to:

B y hand:

For E F S - W e b t r a n s m i s s i o n s , 3 7 C F R 1 . 8 ( a ) ( 1 ) ( i ) ( C ) a n d (ii) s t a t e s t h a t c o r r e s p o n d e n c e ( e x c e p t for a r e q u e s t f o r r e e x a m i n a t i o n a n d a c o r r e c t e d o r r e p l a c e m e n t r e q u e s t f o r r e e x a m i n a t i o n ) w i l l b e c o n s i d e r e d t i m e l y filed i f (a) it is t r a n s m i t t e d v i a the O f f i c e ' s e l e c t r o n i c f i l i n g s y s t e m in a c c o r d a n c e w i t h 37 C F R 1 . 6 ( a ) ( 4 ) , a n d ( b ) i n c l u d e s a c e r t i f i c a t e o f t r a n s m i s s i o n for e a c h p i e c e o f c o r r e s p o n d e n c e s t a t i n g the d a t e o f t r a n s m i s s i o n , w h i c h is p r i o r to the e x p i r a t i o n o f the set p e r i o d o f time in the O f f i c e action.

.. ,
Application/Control Number: 9 0 / 0 1 0 , 8 8 9 Art Unit: 3992 Page 16

Any inquiry concerning this communication or earlier communications from the Examiner, or as to the status o f this proceeding, should be directed to the Central Reexamination Unit at telephone number [phone].

Signed: / Andrew Nalven/ Andrew Nalven CRU Examiner GAU 3992 (571) 2 7 2 - 3 8 3 9

Conferee:

~J

Ie

Conferee:~