Practitioner's Docket No. SP1P009
`
`PATENT
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`In re application of:
`
`Brett M. Oliphant
`
`Group No.: 2434
`Application No.: 14/138,014
`Examiner: SHAIFER HARRIMAN, DANT B.
`Filed: 12-21-2013
`For: REAL-TIME VULNERABILITY MONITORING
`
`Mail Stop Petition - 313(c)
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`PETITION UNDER (37 C.F.R. § 1.313(c))
`WITHDRAW AL FROM ISSUE-ISSUE FEE PAID
`
`1.
`
`2.
`
`Applicant petitions that the above identified application be withdrawn from issue. The issue fee
`was paid on May 26, 2015.
`
`Reason for withdrawal from issue:
`
`The reason applicant seeks withdrawal from issue of this application is:
`
`37 CFR 1.313(c)(2) - Consideration of a request for continued examination (RCE) in compliance
`with § 1.114.
`
`The accompanying IDS includes additional references cited in connection with related co(cid:173)
`pending patent application(s ), and the present petition is being submitted, out of an abundance of
`caution, so that the Office has the opportunity to consider such references prior to issuing the
`above patent application.
`
`3.
`
`Petition fee (37 CFR § 1.17(i)):
`
`Paid via Credit Card.
`
`Date:
`
`June 26, 2015
`
`Reg. No.: 55,517
`
`Signature of Practitioner
`Brian Owens, Esq.
`
`Petition under 37 C.F.R. § l.313(c) Withdrawal From Issue-Issue Fee Paid--page I of I
`
`Ex.1008
`CISCO SYSTEMS, INC. / Page 1 of 130
`
`

`

`PATENT
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`In re application of:
`
`Brett M. Oliphant
`
`Application No.: 14/138,014
`
`Filed: 12-21-2013
`
`Examiner: SHAIFERHARRIMAN, DANT B
`
`Art Unit: 2434
`
`Atty. Docket No.: SP1P009
`
`For: REAL-TIME VULNERABILITY Date: 6/26/2015
`MONITORING
`
`INFORMATION DISCLOSURE STATEMENT
`UNDER 37 CFR §1.97 and §1.98
`- - - - - - - - - - - - - - -~
`
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, VA 22313-14 5 0
`
`Dear Sir:
`
`The reference(s) listed in the attached PTO Form SB/08a, cop(ies) of which is attached
`
`(when necessary), may be material to examination of the above-identified patent application.
`
`Applicants submit the reference(s) in compliance with their duty of disclosure pursuant to 37
`
`CFR §§ 1.56 and 1.97. The Examiner is requested to make the reference(s) of official record in
`
`this application.
`
`1
`
`Ex.1008
`CISCO SYSTEMS, INC. / Page 2 of 130
`
`

`

`Per MPEP 609.02, applicant has not re-submitted all of the disclosures, references, etc.
`
`cited in any parent application(s)/patent(s). It is assumed that, per such MPEP section, the
`
`Examiner has considered the same in connection with the instant application. If applicant's
`
`assumption is in error or the Examiner requires re-submission of any such references, etc.,
`
`applicant requests that the Examiner contact the undersigned so that applicant can address the
`
`same. Further, applicant respectfully rescinds the IDS filed on May 23, 2015 in favor of the
`
`present IDS, which includes additional references (e.g. see U.S. Patents Citations #24-27, U.S.
`
`Patent Application Publications #16-23, Non-Patent Literature Documents #10-11, etc.) cited in
`
`connection with related co-pending patent application(s ), and which is being submitted, out of an
`
`abundance of caution, so that the Office has the opportunity to consider such references prior to
`
`issuing the above patent application. This Information Disclosure Statement is not to be
`
`construed as a representation that a search has been made, that additional information material to
`
`the examination of this application does not exist, or that the reference(s) indeed constitutes prior
`
`art.
`
`This Information Disclosure Statement is believed to be filed within three months of the
`
`filing date of a national application other than a continued prosecution application, within three
`
`months of the date of entry of the national stage in an international application, before the
`
`mailing of a first Office action on the merits, or before the mailing of a first Office action after
`
`the filing of a request for continued examination. Accordingly, it is believed that no fees are due
`
`in connection with the filing of this Information Disclosure Statement.
`
`Respectfully submitted,
`
`/Brian Owens/
`
`Brian Owens
`Reg.# 55,517
`
`2
`
`Ex.1008
`CISCO SYSTEMS, INC. / Page 3 of 130
`
`

`

`Doc code: RCEX
`Doc description: Request for Continued Examination (RCE)
`
`PTO/SB/30EFS (07-09)
`Approved for use through 07/3112012. 0MB 0651-0031
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid 0MB control number.
`
`REQUEST FOR CONTINUED EXAMINATION(RCE)TRANSMITTAL
`(Submitted Only via EFS-Web)
`I 2013-12-21
`
`Application
`Number
`First Named
`Inventor
`
`14/138,014
`
`I
`Brett M. Oliphant
`
`Filing
`Date
`
`Docket Number
`(if applicable)
`Examiner
`Name
`
`SP1P009
`
`I Art
`Unit
`
`12434
`
`SHAIFER HARRIMAN, DANT B
`
`This is a Request for Continued Examination (RCE) under 37 CFR 1.114 of the above-identified application.
`Request for Continued Examination (RCE) practice under 37 CFR 1.114 does not apply to any utility or plant application filed prior to June 8,
`1995, or to any design application. The Instruction Sheet for this form is localed at WWW.USPTO.GOV
`
`SUBMISSION REQUIRED UNDER 37 CFR 1.114
`
`Note: If the RCE is proper, any previously filed unentered amendments and amendments enclosed with the RCE will be entered in the order
`in which they were filed unless applicant instructs otherwise. If applicant does not wish to have any previously filed unentered amendment(s)
`entered, applicant must request non-entry of such amendment(s).
`
`submission even if this box is not checked.
`
`(cid:143) Previously submitted. If a final Office action is outstanding, any amendments filed after the final Office action may be considered as a
`D Consider the arguments in the Appeal Brief or Reply Brief previously filed on
`
`D Other
`
`lg] Enclosed
`
`(cid:143)
`
`Amendment/Reply
`
`lg] Information Disclosure Statement (IDS)
`
`(cid:143) Affidavil(s)/ Declaration(s)
`(cid:143)
`
`Other
`
`(cid:143)
`(cid:143)
`
`(cid:143)
`
`Suspension of action on the above-identified application is requested under 37 CFR 1.103( c) for a period of months
`(Period of suspension shall not exceed 3 months; Fee under 37 CFR 1.17(i) required)
`
`MISCELLANEOUS
`
`Other
`
`The RCE fee under 37 CFR 1.17(e) is required by 37 CFR 1.114 when the RCE is filed.
`The Director is hereby authorized to charge any underpayment of fees, or credit any overpayments, to
`Deposit Account No
`
`SIGNATURE OF APPLICANT, ATTORNEY, OR AGENT REQUIRED
`
`FEES
`
`lg] Patent Practitioner Signature
`
`Applicant Signature
`
`(cid:143)
`
`EFS - Web 2.1.15
`
`Ex.1008
`CISCO SYSTEMS, INC. / Page 4 of 130
`
`

`

`Doc code: RCEX
`Doc description: Request for Continued Examination (RCE)
`
`PTO/SB/30EFS (07-09)
`Approved for use through 07/3112012. 0MB 0651-0031
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid 0MB control number.
`
`Signature of Registered U.S. Patent Practitioner
`
`Signature
`
`/Brian Owens/
`
`Name
`
`Brian Owens
`
`Date (YYYY-MM-DD} 2015-06-26
`
`Registration Number
`
`55517
`
`This collection of information is required by 37 CFR 1.114. The information is required to obtain or retain a benefit by the public which is to
`file (and by the USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1.14. This collection is
`estimated to take 12 minutes to complete, including gathering, preparing, and submitting the completed application form to the USPTO. Time
`will vary depending upon the individual case. Any comments on the amount of time you require to complete this form and/or suggestions for
`reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and Trademark Office, U.S. Department of Commerce,
`P.O. Box 1450, Alexandria, VA 22313-1450.
`If you need assistance in completing the form, ca/11-800-PTO-9199 and select option 2.
`
`EFS - Web 2.1.15
`
`Ex.1008
`CISCO SYSTEMS, INC. / Page 5 of 130
`
`

`

`Privacy Act Statement
`
`The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection with your submission of the
`attached form related to a patent application or patent. Accordingly, pursuant to the requirements of the Act, please be
`advised that: (1) the general authority for the collection of this information is 35 U.S.C. 2(b)(2); (2) furnishing of the information
`solicited is voluntary; and (3} the principal purpose for which the information is used by the U.S. Patent and Trademark Office
`is to process and/or examine your submission related to a patent application or patent. If you do not furnish the requested
`information, the U.S. Patent and Trademark Office may not be able to process and/or examine your submission, which may
`result in termination of proceedings or abandonment of the application or expiration of the patent.
`
`The information provided by you in this form will be subject to the following routine uses:
`
`1.
`
`2.
`
`3.
`
`4.
`
`5.
`
`6.
`
`7.
`
`8.
`
`The information on this form will be treated confidentially to the extent allowed under the Freedom of Information
`Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C. 552a). Records from this system of records may be disclosed to the
`Department of Justice to determine whether the Freedom of Information Act requires disclosure of these records.
`
`A record from this system of records may be disclosed, as a routine use, in the course of presenting evidence to a
`court, magistrate, or administrative tribunal, including disclosures to opposing counsel in the course of settlement
`negotiations.
`
`A record in this system of records may be disclosed, as a routine use, to a Member of Congress submitting a
`request involving an individual, to whom the record pertains, when the individual has requested assistance from the
`Member with respect to the subject matter of the record.
`
`A record in this system of records may be disclosed, as a routine use, to a contractor of the Agency having need
`for the information in order to perform a contract. Recipients of information shall be required to comply with the
`requirements of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. 552a(m).
`
`A record related to an International Application filed under the Patent Cooperation Treaty in this system of records
`may be disclosed, as a routine use, to the International Bureau of the World Intellectual Property Organization,
`pursuant to the Patent Cooperation Treaty.
`
`A record in this system of records may be disclosed, as a routine use, to another federal agency for purposes of
`National Security review (35 U.S.C. 181) and for review pursuant to the Atomic Energy Act (42 U.S.C. 218(c)).
`
`A record from this system of records may be disclosed, as a routine use, to the Administrator, General Services,
`or his/her designee, during an inspection of records conducted by GSA as part of that agency's responsibility to
`recommend improvements in records management practices and programs, under authority of 44 U.S.C. 2904 and
`2906. Such disclosure shall be made in accordance with the GSA regulations governing inspection of records for this
`purpose, and any other relevant (i.e., GSA or Commerce} directive. Such disclosure shall not be used to make
`determinations about individuals.
`
`A record from this system of records may be disclosed, as a routine use, to the public after either publication of
`the application pursuant to 35 U.S.C. 122(b) or issuance of a patent pursuant to 35 U.S.C. 151. Further, a record may
`be disclosed, subject to the limitations of 37 CFR 1.14, as a routine use, to the public if the record was filed in an
`application which became abandoned or in which the proceedings were terminated and which application is
`referenced by either a published application, an application open to public inspections or an issued patent.
`
`9.
`
`A record from this system of records may be disclosed, as a routine use, to a Federal, State, or local law
`enforcement agency, if the USPTO becomes aware of a violation or potential violation of law or regulation.
`
`EFS - Web 2.1.15
`
`Ex.1008
`CISCO SYSTEMS, INC. / Page 6 of 130
`
`

`

`Electronic Patent Application Fee Transmittal
`
`Application Number:
`
`Filing Date:
`
`14138014
`
`21-Dec-2013
`
`Title of Invention:
`
`REAL-TIME VULNERABILITY MONITORING
`
`First Named Inventor/Applicant Name:
`
`Brett M. Oliphant
`
`Filer:
`
`Brian Dean Owens
`
`Attorney Docket Number:
`
`SP1P009
`
`Filed as Small Entity
`
`Filing Fees for Utility under 35 USC 111 (a)
`
`Description
`
`Fee Code
`
`Quantity
`
`Amount
`
`Sub-Total in
`USO($)
`
`Basic Filing:
`
`Pages:
`
`Claims:
`
`Miscellaneous-Filing:
`
`Petition:
`
`Petition Fee-37CFR 1.17(h) (Group II)
`
`2464
`
`1
`
`70
`
`70
`
`Patent-Appeals-and-Interference:
`
`Post-Allowance-and-Post-Issuance:
`
`Ex.1008
`CISCO SYSTEMS, INC. / Page 7 of 130
`
`

`

`Description
`
`Fee Code
`
`Quantity
`
`Amount
`
`Sub-Total in
`USO($)
`
`Extension-of-Time:
`
`Miscellaneous:
`
`Request for Continued Examination
`
`2801
`
`1
`
`600
`
`600
`
`Total in USD ($)
`
`670
`
`Ex.1008
`CISCO SYSTEMS, INC. / Page 8 of 130
`
`

`

`Electronic Acknowledgement Receipt
`
`EFSID:
`
`Application Number:
`
`22763565
`
`14138014
`
`International Application Number:
`
`Confirmation Number:
`
`1067
`
`Title of Invention:
`
`REAL-TIME VULNERABILITY MONITORING
`
`First Named Inventor/Applicant Name:
`
`Brett M. Oliphant
`
`Customer Number:
`
`127962
`
`Filer:
`
`Brian Dean Owens
`
`Filer Authorized By:
`
`Attorney Docket Number:
`
`SP1P009
`
`Receipt Date:
`
`Filing Date:
`
`Time Stamp:
`
`27-JUN-2015
`
`21-DEC-2013
`
`20:49:23
`
`Application Type:
`
`Utility under 35 USC 111 (a)
`
`Payment information:
`
`Submitted with Payment
`
`I no
`
`File Listing:
`
`Document
`Number
`
`Document Description
`
`File Name
`
`File Size(Bytes)/
`Message Digest
`
`Multi
`Part /.zip
`
`Pages
`(if appl.)
`
`1
`
`Petition to Withdraw from Issue
`
`SPl P009_Petition_to_Withdra
`w_from_lssue_lssue_Fee_Paid.
`pdf
`
`153930
`
`b636e55d98acc6f9a85f79cc411 b4a307dc0
`c781
`
`no
`
`1
`
`Warnings:
`
`Information:
`
`Ex.1008
`CISCO SYSTEMS, INC. / Page 9 of 130
`
`

`

`2
`
`Transmittal Letter
`
`SP 1 P009 _Regular _I DS_before_
`1 st_OA_06-26-15.pdf
`
`92762
`
`a30b 18794e09b1 29b0332a2331507fe3de1
`89e9f
`
`no
`
`2
`
`Warnings:
`
`Information:
`
`3
`
`Non Patent Literature
`
`14499246_Misc_ 4-28-15.pdf
`
`no
`
`6
`
`151020
`
`Warnings:
`
`Information:
`
`3 db4d d4 22 79233fd 1 a cfcO 7 5a682640466e
`16b4e
`
`1494540
`
`4
`
`Non Patent Literature
`
`SPl P0l 7 _NOA_6-18-15.pdf
`
`no
`
`38
`
`8ea251fd3637 5 c0cc3 ca981 c23 a3 d 2cbf a36
`104a
`
`Warnings:
`
`Information:
`
`5
`
`Information Disclosure Statement (IDS)
`Form (SB0S)
`
`SPl P009_IDS_6-26-15.pdf
`
`no
`
`9
`
`614023
`
`fc6bbd cOdfS 2b4 21 e 3ce8c5 2eb89edaf9fe 3
`beOO
`
`Warnings:
`
`Information:
`
`6
`
`Request for Continued Examination
`(RCE)
`
`SPl P009_RCE_6-26-15-Rev2.
`pdf
`
`697599
`
`8b 18761fa7299fc5fad6ebc508f33cc06122
`80c
`
`no
`
`3
`
`Warnings:
`
`Information:
`
`7
`
`Fee Worksheet (SB06)
`
`fee-info.pdf
`
`no
`
`2
`
`32466
`
`30c11 bf66238c5fae0a73504c23c0a8c7fae(
`126
`
`Warnings:
`
`Information:
`
`Total Files Size (in bytes)
`
`3236340
`
`Ex.1008
`CISCO SYSTEMS, INC. / Page 10 of 130
`
`

`

`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO of the indicated documents,
`characterized by the applicant, and including page counts, where applicable. It serves as evidence of receipt similar to a
`Post Card, as described in MPEP 503.
`
`New Applications Under 35 U.S.C. 111
`If a new application is being filed and the application includes the necessary components for a filing date (see 37 CFR
`1.53(b)-(d) and MPEP 506), a Filing Receipt (37 CFR 1.54) will be issued in due course and the date shown on this
`Acknowledgement Receipt will establish the filing date of the application.
`
`National Stage of an International Application under 35 U.S.C. 371
`If a timely submission to enter the national stage of an international application is compliant with the conditions of 35
`U.S.C. 371 and other applicable requirements a Form PCT/DO/EO/903 indicating acceptance of the application as a
`national stage submission under 35 U.S.C. 371 will be issued in addition to the Filing Receipt, in due course.
`
`New International Application Filed with the USPTO as a Receiving Office
`If a new international application is being filed and the international application includes the necessary components for
`an international filing date (see PCT Article 11 and MPEP 181 O), a Notification of the International Application Number
`and of the International Filing Date (Form PCT/RO/1 OS) will be issued in due course, subject to prescriptions concerning
`national security, and the date shown on this Acknowledgement Receipt will establish the international filing date of
`the application.
`
`Ex.1008
`CISCO SYSTEMS, INC. / Page 11 of 130
`
`

`

`PTOISB/08a (01-10)
`Doc code: IDS
`Approved for use through 07/31/2012. 0MB 0651-0031
`Doc description: Information Disclosure Statement (IDS) Filed
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid 0MB control number.
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`14138014
`
`Filing Date
`
`First Named Inventor
`
`2013-12-21
`I Brett M. Oliphant
`
`Art Unit
`
`Examiner Name
`
`2434
`I SHAIFER HARRIMAN, DANT B
`
`Attorney Docket Number
`
`SP1P009
`
`Examiner Cite
`Initial*
`No
`
`Patent Number
`
`Kind
`Code1
`
`Issue Date
`
`Name of Patentee or Applicant
`of cited Document
`
`Pages,Columns,Lines where
`Relevant Passages or Relevant
`Figures Appear
`
`U.S.PATENTS
`
`Remove
`
`1
`
`5922051
`
`1999-07-13
`
`Sidey, Michael J_
`
`2
`
`5950012
`
`1999-09-07
`
`Shiell, et al.
`
`3
`
`5983348
`
`1999-11-09
`
`Ji, Shuang
`
`4
`
`5987473
`
`1999-11-16
`
`Jorgensen, N ielss
`
`5
`
`5987610
`
`1999-11-16
`
`Franczek et al.
`
`6
`
`6041347
`
`2000-03-21
`
`Harsham et al.
`
`7
`
`6073172
`
`2000-06-06
`
`Frailong et al.
`
`8
`
`6321338
`
`2001-11-20
`
`Porras et al.
`
`EFSWeb2.1.17
`
`Ex.1008
`CISCO SYSTEMS, INC. / Page 12 of 130
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`14138014
`
`Filing Date
`
`First Named Inventor
`
`2013-12-21
`I Brett M. Oliphant
`
`Art Unit
`
`Examiner Name
`
`2434
`I SHAIFER HARRIMAN. DANT B
`
`Attorney Docket Number
`
`SP1P009
`
`9
`
`6449624
`
`2002-09-10
`
`Hammack et al.
`
`10
`
`6530024
`
`2003-03-04
`
`Proctor, Paul E.
`
`11
`
`6715084
`
`2004-03-30
`
`Aaron et al.
`
`12
`
`6779120
`
`2004-08-17
`
`Valente et al.
`
`13
`
`7010807
`
`2006-03-07
`
`Yanovsky, Boris
`
`14
`
`7013395
`
`2006-03-14
`
`Swiler et al.
`
`15
`
`7055173
`
`2006-05-30
`
`Chaganty, et al.
`
`16
`
`7089590
`
`2006-08-08
`
`Judge et al.
`
`17
`
`7155487
`
`2006-12-26
`
`Yau, et al.
`
`18
`
`7185232
`
`2007-02-27
`
`Leavy et al.
`
`19
`
`7331061
`
`2008-12-02
`
`Ramsey et al.
`
`EFSWeb2.1.17
`
`Ex.1008
`CISCO SYSTEMS, INC. / Page 13 of 130
`
`

`

`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`( Not for submission under 37 CFR 1.99)
`
`Application Number
`
`14138014
`
`Filing Date
`
`First Named Inventor
`
`2013-12-21
`I Brett M. Oliphant
`
`Art Unit
`
`Examiner Name
`
`2434
`I SHAIFER HARRIMAN. DANT B
`
`Attorney Docket Number
`
`SP1P009
`
`20
`
`7353390
`
`2008-04-01
`
`Chandley, et al.
`
`21
`
`7428300
`
`2008-09-23
`
`Drew et al.
`
`22
`
`7496960
`
`2009-02-24
`
`Chen et al.
`
`23
`
`8200818
`
`2006-06-12
`
`Freund, et al
`
`24
`
`6205552
`
`2001-03-20
`
`Fudge,Bob
`
`25
`
`6711127
`
`2004-03-23
`
`Gorman et al.
`
`26
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`I SHAIFER HARRIMAN. DANT B
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`Viega, John, et al. "ITS4: A static vulnerability scanner for C and C++ code." Computer Security Applications, 2000.
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`Ghosh, Anup K., Tom O'Connor, and Gary McGraw. "An automated approach for identifying potential vulnerabilities in
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`Office Action Summary in U.S. Pal. App. No. 14/499,226 dated 05/19/2015
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`Electronic Patent Application Fee Transmittal
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`Application Number:
`
`Filing Date:
`
`14138014
`
`21-Dec-2013
`
`Title of Invention:
`
`REAL-TIME VULNERABILITY MONITORING
`
`First Named Invento