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`MO I P.' 2004
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`,, PATENT APPLICATION
`PATENT APPLICATION
`1111 11 1 11 IIIII 11 1111 I 11
`09777776
`09777776
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`Jc33/7t,17,i97.76PTO,
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`II II 11 I
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`CONTENTS
`CONTENTS
`Date Received
`Date Received
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`(ncl. C. of M.)
`or
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`Date Mailed
`
`42.
`42.
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`INITIALS
`INITIAL
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`Date Received
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`43.
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`______
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`_____ 54. _
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`55.
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`56.
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`16.
`16.
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`18.
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`19.
`19.
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`57.
`57. _
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`58.
`58. _
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`59.
`59. _
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`60.
`60. _
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`61.
`______ _____ 61.-_
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`20.
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`21.
`21.
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`23.
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`62.
`62. _
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`63.
`63. _
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`64.
`64. _
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`24.
`24.
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`25.
`25.
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`26.
`26.
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`27.
`27.
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`65.
`65. _
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`66.
`_____ 66.-_ _
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`67.
`67.
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`68.
`_____ 68.-_
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`28.
`28.
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`29.
`29.
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`30.
`30.
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`31.
`31.
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`69.
`69. _
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`70.
`_____ 70.-_
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`71.
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`_____ 73.-_
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`(LEFT OUTSIDE)
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`HPE, Exh. 1002, p. 2
`
`

`

`ISSUE SLIP STAPLE AREA (for additional cross references)
`ISSUE SLIP STAPLE AREA (for additional cross references)
`,
`
`'
`
`INITIALS
`INITIALS
`
`, ID NO.
`ID NO.
`
`DATE
`DATE
`
`POSITION
`POSITION
`
`FEE DETERMINATION
`FEE DETERMINATION
`O.I.P.E. CLASSIFIER
`O.I.P.E. CLASSIFIER
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`Date
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`Claim
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`
`If more than 150 claims or 10 actions
`If more than 150 claims or 10 actions
`staple additional sheet here
`staple additional sheet here
`
`(LEFT INSIDE)
`(LEFT INSIDE)
`
`INDEX OF CLAIMS
`INDEX OF CLAIMS
`3
`N
` Rejected
`................................ Rejected
`I
` Allowed
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`............................... Allowed
`
`A
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`Non-elected
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`
`HPE, Exh. 1002, p. 3
`
`

`

`SEARCHED
`SEARCHED
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`SEARCH NOTES
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`(INCLUDING SEARCH STRATEGY)
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`HPE, Exh. 1002, p. 4
`
`

`

`WEST Refine Sewch
`WEST Refine Search
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`http://westbrs:8002Thin/cgi-bin/PreSear
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`Search History
`Search History
`
`DATE: Tuesday, June 03, 2003
`Printable Copy Create Case
`DATE: Tuesday, June 03, 2003 Printable Copy Create Case
`
`HPE, Exh. 1002, p. 5
`
`

`

`WEST Refine Search
`WEST Refine Search
`
`http:i/westbrs: 8002ibin/cgi-bin/PreSear
`http://westbrs:8002/bin/cgi-bintPreSear
`
`Hit Count Set Name
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`
`END OF SEARCH HISTORY
`END OF SEARCH HISTORY
`
`HPE, Exh. 1002, p. 6
`
`

`

`Freeform Search
`Freeform Search
`
`http://westbrs: 8002/bin/ga
`http://westbrs: 8 0 0 2/b iniga+
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`Help
`
`Logout
`Logout
`
`Interrupt
`Interrupt
`
`ktillM0 111
`
`PloA,.11,w3
`
`Search History
`Search History
`
`DATE: Friday, June 06, 2003
`Printable Copy Create Case
`DATE: Friday, June 06, 2003 Printable Copy Create Case
`
`HPE, Exh. 1002, p. 7
`
`

`

`Freeform,Search
`Freeform,Search
`
`http://westbrs: 8002/bin/gate
`http://westbrs: 8002/bin/gate
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`
`END OF SEARCH HISTORY
`END OF SEARCH HISTORY
`
`Hit Count Set Name
`Hit Count Set Name
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`result set
`
`7
`7
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`L14
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`
`HPE, Exh. 1002, p. 8
`
`

`

`Page 1 of 1
`Page 1 of I
`
`COMMISSIONER FOR PATENTS
`COMISSIONER FOR PATENTS
`UNITED STATES PATENT AND TRADEMARK OFFICE
`UNITED STATES PATENT AND TRADEY1ARK OFFICE
`WASHiNGTON D,C, 20231
`WASHINGTON, D,C, 20231
`www.uSpto goy
`wwwuspfo gov
`CONFIRMATION NO. 8477
`CONFIRMATION NO. 8477
`
`CLASS
`711
`,
`
`GROUP ART UNIT
`GROUP ART UNIT
`—2-ters-
`-. yy
`
`ATTORNEY
`ATTORNEY
`DOCKET NO.
`DOCKET NO.
`9767-110-999
`9767-110-999
`
`UNITED STATES PATENT AND MADEMARK OFFICE
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`
`
`
`1111 11111 11 11 11111 111111111111111111111 II 1111
`
`Sib Data Sheet
`Bib Data Sheet
`
`SERIAL NUMBER
`.--"" 09/777,776
`
`FILING DATE
`02/05/2001
`RULE
`
`APPLICANTS
`APPLICANTS
`Eric William Burger, McLean, VA;
`— Eric William Burger, McLean, VA;
`- Walter Joseph O'connor, Nashua, NH;
`Waiter Joseph O'connor, Nashua, NI-I;
`Andy Spitzer, North Andover, MA;
`--- Andy Spitzer, North Andover, MA;
`Barry David Wessler, Potomac, MD;
`•---- Barry David Wessler, Potomac, MD;
`
`-4
`
`PA
`
`CONTINUING DATA
`*
`** CONTINUING DATA "************* ****** ****
`
`\
`
`f* FOREIGN APPLICATIONS *******************
`** FOREIGN APPLICATIONS ********************
`
`16t1' 41).
`
`0 64"7
`0/
`
`0 '7
`4
`
`IF REQUIRED, FOREIGN FILING LICENSE GRANTED
`F REQUIRED, FOREIGN FILING LICENSE GRANTED
`** 04/25/2001
`04/25/2001
`,Forelgn Priority claimed
`2 yes
`rortklamd2e
`[] yes
`rrin
`o
`PI °reign Priority claimed
`
`91-2ro
`2
`yes Uti no
`no ,,
`ye
`q
`Ay,
`no
`., I.[1 ' /
`All
`
`,
`,
`Met after
`e a-or
`
`Examiner's
`Examiner's Si a
`
`e
`
`35 USC 119 (a-d) conditions
`35 USC 119 (a -d) conditions
`met
`met
`Verified and
`Verified and
`Acknowledged
`Acknowledged
`ADDRESS
`ADDRESS
`24341
`24341
`TITLE
`TITLE
`Network-based disk redundancy storage system and method
`Network-based disk redundancy storage system and method
`
`tf
`
`STATE OR
`STATE OR
`OHTI
`COUNTRY
`COUNTRY
`V A
`f
`VA
`Irilatlfa
`Intifs/
`InItikir
`
`SHEETS
`SHEETS
`DRAWING
`DRAWING
`8
`8
`
`TOTA L
`TOTAL
`CLAIMS
`CLAIMS
`1 9
`19
`
`• --
`.
`\
`INDEPENDENT
`INDEPENDENT
`E
`CLAIMS
`CLAIMS
`4
`4
`
`•
`
`FILING FEE
`FILING FEE
`RECEIVED
`RECEIVED
`790
`790
`
`FEES: Authority has been given in Paper
`FEES: Authority has been given in Paper
`to charge/credit DEPOSIT ACCOUNT
`No.
`to charge/credit DEPOSIT ACCOUNT
`No,
`No.
`for following:
`No.
`for following:
`
`2 All Fees
`All Fees
`1.16 Fees (Filing)
`1.16 Fees ( Filing )
`U 1.17 Fees ( Processing Ext. of
`U 1.17 Fees (Processing Ext. of
`time)
`time )
`In 1.18 Fees (Issue)
`IZI 1.18 Fees ( Issue )
`0 Other
`[] Other
`1:1 Credit
`I Credit
`
`HPE, Exh. 1002, p. 9
`
`

`

`j
`
`.r. *~'
`
`~
`
`.
`
`.
`
`-
`
`..
`
`.
`
`PATENT APPLICATION SERIAL NO.
`PATENT APPLICATION SERIAL NO.
`
`U.S. DEPARTMENT OF COMMERCE
`U.S. DEPARTMENT OF COMMERCE
`PATENT AND TRADEMARK OFFICE
`PATENT AND TRADEMARK OFFICE
`FEE RECORD SHEET
`FEE RECORD SHEET
`
`0977777L
`02/13/2001 EFLORES 00000036 161150 09777776
`02/13/2001 EFLORES 00000036 161150
`710.00 CH
`01 FC:101
`01 FC:101
`710.00 CH
`80.00 CH
`02 FC:102
`80.00 CH
`02 FC:102
`
`PTO-1556
`PTO-1556
`(5/87)
`(5/87)
`*U.S, GPO: 2000-468-98739595
``U.S. GPO: 2000-468-987/39595
`
`HPE, Exh. 1002, p. 10
`
`

`

`Please type a plus (+1
`inside this box
`Please type a plus (+1 inside this box
`
`flj
`
`Z-07 - o(
`(0 , -07 - o
`
`3
`
`ceN,M C
`
`1-414
`
`
`Mil
`
`APPLICATlON ELEMENTS
`APPLICATION ELEMENTS
`See MPEP chapter 600 concerning utility patent application contents.
`See MPEP chapter 600 concerning utility patent application contents.
`
`(12/971
`PTO/SB/29 {12/971
`L4PTO/SBi29
`A,., .jved for use through 09130100. OMB 0651-0032
`Ai:, ...wed for use through 09/30100. OMB 0651-0032
`n
`and Trademark Office: U.S. DEPARTMENT OF COMMERCE
`tPatent
`Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE
`er the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.
`er the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.
`UTILITY
`I
`1
`9767-110-999
`Attorney DocketNo.
`1 9767-110-999
`Total Pages
`Attorney Docket No.
`Total Pages I
`UTILITY
`PA CFirst
`Named Inventor or Application Identifier
`PATENT APPLICATION
`First Named Inventor or Application Identifier .
`PATENT APPLICATION
`STRANSMITTAL
`Eric William Burger
` I-1
`•
`Eric William Burger
`TRANSMITTAL
` 0
`(rOnly for new nonprovisional applications under 37 CPR 1.53(b))
`Express Mall Label No.
`Express Mail Label No.
`(Only for new nonprovisional applications under 37 CFR 1.53(b))
`
`EL 451 596 089 US
`EL 451 596 089 US
`
`Akio.
`P_,L
`snr-".
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`Assistant Commissioner for
`Assistant Commissioner for' N --..t.:.
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`ADDRESS TO: Box Patent Application
`0 CIPIN
`Washington, DC 20231
`a::%
`-=.t'l
`Washington, DC 20231
`c
`6. 0 Microfiche Computer Program (Appendix)
`6. 0 Microfiche Computer Program
`(Appendix)
`
`Caa—...
`1-1
`
`7. 0 Nucleotide and/or Amino Acid Sequence Submission
`7. 0 Nucleotide and/or Amino Acid
`Sequence Submission
`(if applicable, all necessary)
`(if applicable, all necessary)
`a. 0 Computer Readable Copy
`a. 0 Computer Readable Copy
`
`b. 0 Paper Copy (identical to computer copy)
`b. 0 Paper Copy (identical to computer
`copy)
`
`c.
`[] Statement verifying identity of above copies
`c. 0 Statement verifying identity
`of above copies
`ACCOMPANYING APPLICATION PARTS
`ACCOMPANYING APPLICATION PARTS
`
`••
`
`1. X Fee Transmittal Form
`
`1. X Fee Transmittal Form
`Submit an original, and a duplicate for fee processing)
`
`Submit an original, and a duplicate for
`fee processing)
`2. N Specification
`(TotalPages 1.9]
`2. XI Specification
`(Total Pages 19 1
`(preferred arrangement set forth below)
`(preferred
`arrangement set forth below)
`-Descriptive title of the Invention
`-Descriptive
`title of the invention
`-Cross Reference to Related Applications
`-Cross
`Reference to Related Applications
`-Statement Regarding Fed sponsored R&D
`-Statement
`Regarding Fed sponsored
`R&D
`-Reference to Microfiche Appendix
`-Reference
`to Microfiche Appendix
`-Background of the Invention
`- Background
`of the Invention
`-Brief Summary of the Invention
`-Brief
`Summary of the Invention
`-Brief Description of the Drawings (if filed)
`-Brief
`Description of the Drawings (if
`filed)
`-Detailed Description of the Invention (including drawings, if filed)
`-Detailed
`Description of the Invention
`(including drawings, if filed)
`-Claim(s)
`-Claim(s)
`-Abstract of the Disclosure
`-Abstract
`of the Disclosure
`3 -Js Drawing(s) (35 USC 113)
`3Nz Drawing(s)
`(35 USC 113)
`s11. O[
`z Oath or Declaration
`4,
`4,. - Oath or
`Declaration
`
`0
`4::
`'4-•
`
`[TotalSheets 81
`[Total Sheets 8 1
`[Totat Sheets 6]
`[Total Sheets 6 ]
`
`8. 0 Assignment Papers (cover sheet & document(s))
`8. a Assignment Papers (cover sheet & document(s))
`9. N Power of Attorney by Assignee
`9. a Power of Attorney by Assignee
`(when there is an assignee)
`(when there is an assignee)
`10. ZI English Translation Document (if applicable)
`10. o English Translation Document (if applicable)
`Information Disclosure
`[] Copies of IDS
`11. o Information Disclosure
`o Copies of IDS
`Sttmn
`iain
`IS/TO14
`-Statement
`IIDS)IPTO-1449
`Citations
`Statement (IDS)/PTO-1449
`Citations
`12. E Preliminary Amendment
`12. 0 Preliminary Amendment
`13. z Return Receipt Postcard (MPEP 503)
`13. a Return Receipt Postcard (MPEP 503)
`(Should be specifically itemized)
`(Should be specifically itemized)
`14. o Small Entity 0 Statement filed in prior application,
`14. 0 Small Entity 0 Statement filed in prior application,
`Statement(s)
`Status still proper and desired
`Status still proper and desired
`Statement(s)
`15. 0 Certified Copy of Priority Document(s)
`15. 0 Certified Copy of Priority Document(s)
`fif foreign priority is claimed)
`lif foreign priority is claimed)
`16. u Other:
`16. 0 Other:
`
`:-..i.•
`-.,
`[15
`
`• •• •‘,
`,....?
`Ti il
`
`Newly executed (original or copy)
`f. a
`a. a NeWly
`executed (original or copy)
`b. 0 Copy from a prior application (37 CFR 1.63(d))
`b. 0 Copy
`from a prior application (37
`CFR 1.63(d))
`(for continuation/divisional with Box 17 completed)
`(for
`continuation/divisional with Box
`17 completed)
`[Note Box 5 below]
`(Note Box 5 below]
`i. M DELETION OF INVENTORS(S)
`i. m
`DELETION OF INVENTORSiS)
`Signed statement attached deleting inventor(s) named in the prior
`inventor(s) named in the prior
`Signed statement attached deleting
`application, see 37 CFR 1.63(d)(2) and 1.33 (bj.
`and 1.33 WI.
`application, see 37 CFR 1.63(d)(2)
`o3 Incorporation By Reference (useable if Box 4b is checked)
`CI o Incorporation
`Box 4b is checked)
`By Reference (useable if
`The entire disclosure of the prior application, from which a copy of the
`.
`The entire
`from which a copy of the
`disclosure of the prior application,
`,
`oath or declaration is supplied under Box 4b, is considered as being part
`Box 4b, is considered as being part
`oath or
`declaration is supplied under
`of the disclosure of the accompanying application and is hereby
`of the
`disclosure of the accompanying
`application and is hereby
`incorporated by reference therein.
`incorporated
`by reference therein.
`If a CONTINUING APPLICATION, check appropriate box and supply the requisite information:
`17.
`17. If a CONTINUING APPLICATION, check appropriate box and supply the requisite information:
`o3 Divisional
`c Continuation
`0 Continuation-in-part (CIP)
`of prior application No:
`o Continuation-in-part (CIP)
`o Divisional
`of prior application No:
`0 Continuation
`18. CORRESPONDENCE ADDRESS
`18. CORRESPONDENCE ADDRESS
`
`filed
`filed .
`
`.
`
`0 Customer Number or Bar Code Label
`0 Customer Number or Bar Code Label
`
`24341
`24341
`(lnsert.CusfomerNo.orAttach bar code label here)
`(Insert Customer No. or Attach bar code label here)
`
`or El Correspondence address below
`or 0 Correspondence address below
`
`NAME
`NAME
`
`ADDRESS
`ADDRESS
`
`CITY
`CITY
`
`COUNTRY
`COUNTRY
`
`STATE
`STATE
`
`TELEPHONE
`TELEPHONE
`
`ZIP CODE
`ZIP CODE
`
`FAX
`FAX
`
`Burden Hour Statement: This form is estimated to take 0.2 hours to complete. Time will vary depending upon the needs of the individual case. Any
`Burden Hour Statement: This form is estimated to take 0.2 hours to complete. Time will vary depending upon the needs of the individual 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,
`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, DC 20231, DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Assistant Commissioner for Patents, Box Patent
`Washington, DC 20231. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Assistant Commissioner for Patents, Box Patent
`Application, Washington, DC 20231.
`Application, Washington, DC 20231.
`
`CA1 - 266180.1
`CA1 - 266180.1
`
`HPE, Exh. 1002, p. 11
`
`

`

`-
`
`.,ress Mail No.:EL 451 596 089 US
`.,ress Mail No.:EL 451 596 089 US
`
`PENNIE & EDMONDS LLP
`PENNIE & EDMONDS LLP
`COUNSELLORS AT LAW
`COUNSELLORS AT LAW
`lview Avenue
`3300 Hillview Avenue
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`Palo Alto, California 94304
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`(650) 493-4935
`
`ATTORNEY DOCKET NO. 9767-110-999
`ATTORNEY DOCKET NO. 9767-110-999
`
`Date: February 5, 2001
`Date: February 5, 2001
`
`Assistant Commissioner for Patents
`Assistant Commissioner for Patents
`Box PATENT APPLICATION
`Box PATENT APPLICATION
`Washington, D.C. 20231
`Washington, D.C. 20231
`
`Sir:
`Sir:
`
`The following utility patent application is enclosed for filing:
`The following utility patent application is enclosed for filing:
`
`Applicant(s): Burger et al.
`Executed on: January 24, 2001
`Applicant(s): Burger et al.
`Executed on: January 24, 2001
`Title of Invention:
`NETWORK-BASED DISK REDUNDANCY STORAGE SYSTEM AND METHOD
`Title of Invention: NETWORK-BASED DISK REDUNDANCY STORAGE SYSTEM AND METHOD
`
`PATENT APPLICATION FEE VALUE
`PATENT APPLICATION FEE VALUE
`
`EXTRA
`EXTRA
`
`EXTRA RATE
`EXTRA RATE
`
`FEE
`FEE
`
`NO. FILED
`NO. FILED
`
`19
`19
`
`4
`4
`
`LESS
`LESS
`
`-20
`-20
`
`-3
`-3
`
`C:1
`,
`
`TYPE
`TYPE
`Total Claims
`Total Claims
`
`, Independent
`1 Independent
`
`r•=.
`
`n
`rT
`
`0
`0
`
`1
`1
`
`$18.00 each
`$18.00 each
`
`$80.00 each
`$80.00 each
`
`Minimum Fee
`Minimum Fee
`
`Multiple Dependency Fee
`Multiple Dependency Fee
`If Applicable ($270.00)
`If Applicable ($270.00)
`
`Total
`Total
`
`50% Reduction for Independent Inventor, Nonprofit
`50% Reduction for Independent Inventor, Nonprofit
`Organization or Small Business Concern (a verified statement
`Organization or Small Business Concern (a verified statement
`as to the applicant's status is attached)
`as to the applicant's status is attached)
`
`Total Filing Fee
`Total Filing Fee
`
`$
`
`$
`
`$
`
`$
`
`$
`$
`
`$
`
`$
`
`0.00
`0.00
`
`80.00
`80.00
`
`710.00
`710.00
`
`0.00
`0.00
`
`790.00
`790.00
`
`0.00
`0.00
`
`790.00
`790.00
`
`R
`
`DO NOT PUBLISH. I hereby certify that the invention disclosed in the attached application has not and will
`DO NOT PUBLISH. I hereby certify that the invention disclosed in the attached application has not and will
`not be the subject of an application filed in another country, or under a multilateral agreement, that requires
`not be the subject of an application filed in another country, or under a multilateral agreement, that requires
`publication at eighteen months after filing. I hereby request that the attached application not be published under
`publication at eighteen months after filing. I hereby request that the attached application not be published under
`35 U.S.C. 122(b).
`35 U.S.C. 122(b).
`
`Please charge the required fee to Pennie & Edmonds LLP Deposit Account No. 16-1150 (order no, 9767-110-
`Please charge the required fee to Pennie & Edmonds LLP Deposit Account No. 16-1150 (order no. 9767-110-
`999). A copy of this sheet is enclosed.
`999). A copy of this sheet is enclosed.
`
`Respectfully submitted,
`Respectfully submitted,
`
`/tL
`/q.,At
`Wilfred H. f.a n
`Wilfred H. V
`
`For Gary S. Williams (Reg. No. 31,066)
`For Gary S. Williams (Reg. No. 31,066)
`PENNIE & EDMONDS LLP
`PENNIE & EDMONDS LLP
`
`This form is not for use with continuation, divisional, re-issue, design or plant patent applications.
`This form is not for use with continuation, divisional, re-issue, design or plant patent applications.
`
`Enclosure
`Enclosure
`
`41,923
`41,923
`(Reg. No.)
`(Reg. No.)
`
`CAI -266178. 1
`CAI - 266178,1
`
`HPE, Exh. 1002, p. 12
`
`

`

`NETWORK-BASED DISK REDUNDANCY STORAGE SYSTEM AND METHOD
`NETWORK-BASED DISK REDUNDANCY STORAGE SYSTEM AND METHOD
`
`5
`5
`
`BRIEF DESCRIPTION OF THE INVENTION
`BRIEF DESCRIPTION OF THE INVENTION
`The present invention relates generally to computer data storage. More specifically,
`The present invention relates generally to computer data storage. More specifically,
`the present invention relates to a high-availability data storage methodology for a computer
`the present invention relates to a high-availability data storage methodology for a computer
`
`network.
`network.
`
`10
`10
`
`'15
`15
`
`'-
`
`20
`20
`
`25
`25
`
`30
`30
`
`BACKGROUND OF THE INVENTION
`BACKGROUND OF THE INVENTION
`RAID (Redundant Array of Inexpensive Disks) technology, which uses multiple disk
`RAID (Redundant Array of Inexpensive Disks) technology, which uses multiple disk
`drives attached to a host computer, is a way of making a data store highly available. The
`drives attached to a host computer, is a way of making a data store highly available. The
`RAID controller or host software makes a redundant copy of the data, either by duplicating
`RAID controller or host software makes a redun