UNITED STATES PATENT AND TRADEMARK OFFICE

UNITED STATES DEPARTMENT OF COMMERCE United States Patent and Trademark Office

Address: COMMISSIONER FOR PATENTS

P.O. Box 1450

Alexandria. Virginia 22313-1450 www.uspto.gov

APPLICATION NO.

FILING DATE

FIRST NAMED INVENTOR

ATTORNEY DOCKET NO.

CONFIRMATION NO.

90/009.329

11/10/2008

6233389

25 I 3.002REXO

2859

EXAMINER

29000

7590

1010612010

IRELL & MANELLA LLP 1800 A VENUE OF THE STARS SUITE 900

LOS ANGELES. CA 90067

ART UNIT

PAPER NUMBER

DATE MAILED: 10/06/2010

Please find below and/or attached an Office communication concerning this application or proceeding.

fYT'O-90C (Rev. 10103)

Commissioner for Patenls United States Patent and Trademark Office P.O. BOX1450 Alexandria, VA 22313·1450 VWIW uspto.gov

DO NOT USE IN PALM PRINTER

(THIRD PARTY REQUESTER'S CORRESPONDENCE ADDRESS)

MORRISON & FOERSTER LLP

555 West Fifth Street, Suite 3500

Los Angeles, Califomia 90013

EX PARTE REEXAMINATION COMMUNICATION TRANSMITTAL FORM

REEXAMINATION CONTROL NO. 901009,329. PATENT NO. 6233389.

ART UNIT 3992.

Enclosed is a copy of the latest communication from the United States Patent and Trademark Office in the above identified ex parte reexamination proceeding (37 CFR 1.550(f)).

Where this copy is supplied after the reply by requester, 37 CFR 1.535, or the time for filing a reply has passed, no submission on behalf of the ex parte reexamination requester will be acknowledged or considered (37 CFR 1.550(g)).

PTOL-465 (Rev.07-04)

Control No.

Patent Under Reexamination

Notice of Intent to Issue

Ex Parte Reexamination Certificate

90/009,329

6233389

Art Unit

Examiner

Fred Ferris 3992

-- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address --

1. cgj Prosecution on the merits is (or remains) closed in this ex parte reexamination proceeding. This proceeding is subject to reopening at the initiative of the Office or upon petition. Cf. 37 CFR 1.313(a). A Certificate will be issued in view of

(a) cgj Patent owner's communication(s) filed: 09 September 20.10. (b) 0 Patent owner's late response filed: __ .

(c) 0 Patent owner's failure to file an appropriate response to the Office action mailed: __ . (d) 0 Patent owner's failure to timely file an Appeal Brief (37 CFR 41.31).

(e) 0 Other: __

Status of Ex Parte Reexamination:

(f) Change in the Specification: 0 Yes cgj No (g) Change in the Drawing(s): 0 Yes cgj No (h) Status of the Claim(s):

(1) Patent claim(s) confirmed: 31 and 61.

(2) Patent claim(s) amended (including dependent on amended claim(s)): __ (3) Patent claim(s) canceled: __ .

(4) Newly presented claim(s) patentable: __ . (5) Newly presented canceled claims: __ . _

(6) Patent claim(s) 0 previously D currently disclaimed: __ (7) Patent claim(s) not subject to reexamination: 1-30 and 32-60.

2. cgj Note the attached statement of reasons for patentability and/or confirmation. Any comments considered necessary by patent owner regarding reasons for patentability and/or confirmation must be submitted promptly to avoid processing delays. Such submission(s) should be labeled: "Comments On Statement of Reasons for Patentability and/or Confirmation."

3. 0 Note attached NOTICE OF REFERENCES CITED (PTO-S92).

4. cgj Note attached LIST OF REFERENCES CITED (PTO/SB/OS or PTO/S8/0B substitute).

5. 0 The drawing correction request filed on __ is: D approved 0 disapproved.

6. 0 Acknowledgment is made of the priority claim under 35 U.S.C. § 119(a)-(d) or (f).

a)D All b)D Some* c)D None of the certified copies have

o been received.

o not been received.

o been filed in Application No. __ .

o been filed in reexamination Control No. __ .

o been received by the International Bureau in PCT Application No. __ .

* Certified copies not received: __ . 7.0 Note attached Examiner's Amendment.

S. 0 Note attached Interview Summary (PT0-474). 9. 0 Other:_~

cc: Requester (if third party r~uester)

u.s. Patent and Trademark Office

PTOL-469 (Rev. 05-10) Notice of Intent to Issue Ex Parte Reexamination Certificate

Part of Paper No 20100924

_,

Application/Control Number: 90/009,329 Art Unit: 3992

Page 2

DETAILED ACTION

\

Introduction

This Office Action is responsive to Patent owner's After Final amendment/arguments of

September 9, 2010 in the ex parte reexamination of claims 31 and 61 in United States Patent

Number 6,233,389 issued to Barton et al.

Patent owner's after final amendment/arguments and declarations from Villasenor and

Barton filed on September 9,2010 are entered and made of record.

The finality of the previous Office Action is withdrawn and the Patentability of claims 31

and 61 is now confirmed.

Reasons for Patentability/ Confirmation

The following is an examiner's statement of reasons for patentability and/or confirmation

of the claims found patentable in this reexamination proceeding:

Patent owner's arguments filed September 9, 2010 in light of the second declaration from

Villasenor are persuasive and the record is now made clear.

Specifically, Patent owner has now clarified and further defined the meaning of the claim

terms "transform object", "source object", "sink object", and "automatic[ally] flow control[led]"

in light of the understanding of the terms provided inthe '389 specification. The examiner now

interprets these terms in light of Patent owner's arguments, and as expressly disclosed in the '389

specification. Patent owner now submits the following understanding:

Regarding the term "automatic[ally] flow control[led]" as it relates to the term "transform

object" the specification states (column 8, lines 48-49) that this automatic flow control manifests

Application/Control Number: 90/009,329 Art Unit: 3992

Page 3

itself in a self-regulating of the flow. The specification explains at column 12, lines 24-25 that

the "[f]low control is automatic because of the way the pipeline is constructed." The "pipeline"

referred to here is the source/transform/sink object architecture discussed in claims 31 and 61

and in the specification including at column 8, line 9 to column 1 0, line 28. This architecture is

"self-regulating" with respect to the flow of data down the pipeline as noted at column 8, lines

47-51 and column 21, lines 24-25. In other words, the transform object is not merely self-

regulating in an abstract sense. Rather, it controls the flow of data through the pipeline.

(Villasenor at 7) Hence, the automatic flow control can be thought of as intelligent.

The transform object is configured to exert flow control asynchronously with respect to

the underlying video and audio data stream. The specification explains that the preferred flow

control mechanisms occur "asynchronously to the data going through the pipeline. Thus, control

of the flow of video streams is asynchronous and separate from the streams themselves. This

allows for a simple logic design that is at the same time powerful enough to support the features

described previously, including pause, rewind, fast forward and others." ('389 patent at column 8,

lines 24-31) (Villasenor at 8)

Regarding the recited "objects", Patent owner now explains that the data associated with

each of the source object, transform object, and sink object would include information regarding

the flow. The specification explains that the preferred embodiment is implemented in terms of

C++ classes. This is stated expressly at col. 8, lines 9-10, and is also consistent with other

statements in the specification, for example the statement at col. 8, lines 66-67 that "[t]he

MediaSwitch class 909 calls the allocEmptyBuf method of the TmkClipCache 912 object" and

the reference at col. 9, lines 52-53 to "objects derived from the TmkXfrm class." C++ classes are

Application/Control Number: 901009,329 Art Unit: 3992

Page 4

a feature of the C++ language designed to group collections of functionally interrelated data and

operations. The data would be the data members of the class while the operations are the

methods of the class .: Specific objects in C++ are generally called class instances. The state of an

object in C++ is recorded in the data members and the associated data structures. (Villasenor at

13)

Patent owner further explains that the specification makes repeated references to the

manipulation of data and to particular operations carried out by objects. The specification states

that "[t]o obtain the buffer, the source object 901 asks the down stream object in his pipeline for

a buffer (allocEmptyBuf)" and that the "sink ... calls nextFullBufwhich tells the transform 902

that it is ready for the next filled buffer." ('389 patent at column 8, lines 45 to 54) The

specification continues: "When the sink 903 is finished with a buffer (i.e., it has consumed the

data in the buffer) it·calls releaseEmptyBuf ... The MediaSwitch class 909 calls the

allocEmptyBufmethod of the TmkClipCache 912 object and receives a PES buffer from it...

When the Vela decoder class 916 is finished with the buffer it calls releaseEmptyBuf." (Col. 8,

line 55 to col. 9, line 17). (Villasenor at 14)

The objects disclosed in the specification are described as managing. various aspects of

the system operation. The specification teaches as follows in this regard:

"The source object 901 takes data out of a physical data source, such as the Media

Switch, and places it into a PES buffer .... The MediaSwitch class 909 ... goes out to the

circular buffers in the Media Switch hardware and generates PES buffers .... The TmkClipCache

912 maintains a cache file 918 on a storage medium .... The Vela decoder class 916 talks to the

decoder 921 in the hardware .... The control object 917 accepts commands from the user and

Application/Control Number: 90/009,329 Art Unit: 3992

Page 5

sends events into the pipeline to control what the pipeline is doing. For example, if the user has a

remote control and is watching TV, the user presses pause and the control object 917 sends an

event to the sink 903, that tells it pause." Col. 8, line 43 to col. 9, line 27. (Villasenor at ,15)

Each object (source 901, transform 902, and sink 903) is multi-threaded by definition and,

can run in parallel as noted at column 8, lines 16-18.

The term "data" would thus be understood in this context to refer to a set of variable

values or state information that reflects the state or progress of the operations. The term

"operations" in this context would be understood refer to operations that manipulate the set of

values or state information. Lastly, the term "collection" would be understood in this context to

refer to a set of functionally interrelated data and operations, as explained in the specification.

(Villasenor at 16)

Turning now to the prior art, as now understood in light of the above explanation,

Thomason lacks a centralized entity like the claimed transform object that controls the flow and

intelligently manages buffers or the manipulation of video/audio data to facilitate handling

asymmetric memory demands of the claimed source and sink objects. Thomason does not appear

to disclose any capability to control the flow as claimed. Rather, Thomason just manages buffers

in a reactive way in response to the flow. There is no disclosure in Thomason of the kind of

intelligent management performed by the recited centralized transform object architecture as

disclosed in the' 389 patent. (Villasenor at 21)

Prior art Krause similarly does not have any disclosure of a transform object like that

which is claimed in-claims 31 and 61. There is very little disclosure in Krause's description of the

system's management of buffers. Krause does not address intelligent management of buffer use

.. )

Application/Control Number: 901009,329 Art Unit: 3992

Page 6

or data handling via the claimed objects explained above. (Villasenor at 34) Further, one skilled

in the art would understand that Thomason's FIFO system architecture would be fundamentally

inconsistent with random frame access (i-Frames) system architecture of Krause and therefor

technically difficult to combine. (Villasenor at 26-30)

In light of the above understanding, Thomason and Krause do not teach or render obvious

a transform object that automatically flow controls source and sink objects as claimed.

Accordingly, the 35 USC 103(a) rejection of claims 31 and 61 over Thomason in view of Krause

is hereby withdrawn.

Any comments considered necessary by PATENT OWNER regarding the above

statement must be submitted promptly to avoid processing delays. Such submission by the

patent owner should be labeled: "Comments on Statement of Reasons for Patentability and/or

Confirmation" and will be placed in the reexamination file.

Conclusion

Any paper filed with the USPTO, i.e., any submission made, by either the Patent Owner

or the Third Party Requester must be served on every other party in the reexamination

proceeding, including any other third party requester that is part of the proceeding due to merger

of the reexamination proceedings. As proof of service, the party submitting the paper to the

Office must attach a Certificate of Service to the paper, which sets forth the name and address of

the party served and the method of service. Papers filed without the required Certificate of

Service may be denied consideration. 37 CFR 1.903; MPEP 2666.06.

, '

Application/Control Number: 90/009,329 Art Unit: 3992

All correspondence relating to this ex parte reexamination proceeding should be directed:

By Mail to:

Mail Stop Ex Parte Reexam Central Reexamination Unit Commissioner for Patents

United States Patent & Trademark Office P.O. Box 1450

Alexandria, VA 22313-1450

By FAX to:

(571) 273-9900

Central Reexamination Unit

By hand:

Customer Service Window Randolph Building

401 Dulany Street Alexandria, VA 22314

Any inquiry concerning this communication should be directed to the Central

Reexamination Unit at telephone number (571) 272-7705.

Fred Ferris Primary Examiner AU 3992

Conferees: ,IlJ1.(

Page 7

'.

Doc code: IDS

Doc description: Information Disclosure Statement (IDS) Filed

PTOISBl08a (01-10) Approved for use through 0713112012. OMB 0651-<1031 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 oontalns a valid OMB control number.

Application Number 90009329
Filing Date 1998-07-30
INFORMATION DISCLOSURE First Named Inventor I Barton
STATEMENT BY APPLICANT Art Unit
( Not for submission under 37 CFR 1.99)
Examiner Name I Fred Ferris
Attorney Docket Number 155727-0007 U.S.PATENTS
Examin~r Cite Kind Name of Patentee or Applicant Pages,Columns,Lines where
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U.S.PATENT APPLICATION PUBLICATIONS
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Cite No Relevant Passages or Relevant
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/ FOREIGN PATENT DOCUMENTS
k':untry Name of Patentee or Pages,Columns,Lines
Examiner Cite Foreign Document Kind Publication Applicant of cited where Relevant T5
Initial* No Number3 / Code2j Code4 Date Passages or Relevant
Document Figures Appear
1 / 0
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I NON-PATENT LITERATURE DOCUMENTS
Examiner Cite Include ~e of the author (in CAPITAL LEITERS), title of the article (when appropriate), title of the item
Initials* No (book. magazine, journal, serial, symposium. catalog, etc), date, pages(s), volume-issue number(s), T5
publisher, city and/or country where published. EFS Web 2.1.17

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Application Number 90009329
Filing Date 1998-07-30
INFORMATION DISCLOSURE First Named Inventor 1 Barton
STATEMENT BY APPLICANT
( Not for submission under 37 CFR 1.99) Art Unit
Examiner Name ·1 Fred Ferris
II~ Attorney Docket Number 155727-0007
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Examiner Signature

EXAMINER SIGNATURE

Date Considered

*EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 609. raw line through a citation if not in conformance and not considered. Include copy of this form with next communication to applicant

.' See Kind Codes of USPTO Patent Documents at www USPIO GOY or MPEP 901.04. 2 Enter office that issued the document, by the two-Ietter code (WiPO Standard ST.3). 3 For Japanese patent documents, the indication of the year of the reign of the Emperor must precede the serial number of the patent document. 4 Kind of document by the appropriate symbols as indicated on the document under WIPO Standard ST.16 if possible. 5 Applicant is to place a check mark here i English language translation is attached.

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Substitute for form t 449/PTO Complete if Known
Application Number 901009.329
INFORMATION DISCLOSURE .f.ifing Date November 10. 2008
STATEMENT BY PATENT OWNER First Named Inventor James M. BARTON
(Use (IS many sheets (IS necessary) Art Unit 3992
-.
Examiner Name Ferris III, Fred O.
-- II 1 of I
Sheet I Attorney Docket Number 2513.002REXO
NON PATENT LITERATURE DOCUMENTS
Examiner Cite No. Include name of the author (in CAPITAL LETIERS). title of the article (when appropriate). title
Initials" of the item (book. magazine.journal, serial, symposium. catalog. etc.), date. page(s), volume-issue "1"
..... _ ... numberts), publisher, city and/or coun!'Y. whcrc...2.ublishcd
es« NPL56 U.S. COURT OF APPEALS FOR THE FEDERAL CIRCUIT, TiVo Inc. v. Echostar
Corporation et al., 2009-1374. Order Affirming Contempt Ruling, March 4, 2010.
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-EXAMINER: Initial if reference consicered. whether or not citation is in conformance with MPEP 609. Oraw line through cila:ion :r not in conformance and not considered. Include copy of this form Vllth next communication to applicant.

, Applicant's unique Citation designation number (optional). 2 Applicant is to place a check mark here" English language Translation Is attached.

This collection of information is required by :J"( CFR 1.98. The information is required to obtain or retain a benefit by the public which Is to file (and by the USPTO to process) an appllcauon, Confidentiality is govemed by 35 U.S.C. 122 and 37 CFR 1.14. This collection Is estimated to take 2 hours 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 Chillf Information Officer. U.S. Patent and Trademark Office, P.O. Sox 1450, Alexandria, VA 22313-1450. 00 NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents. P,O. Box 1450. Alexandria, VA 22313-1450.

If you need assistance in completing the form, call1-800-PTO-9199 (1-800-786-9199) and select option 2. 1088528_1.DOC

Equ ,alect 01 Fcrm PTO/SB/OBa 12·09)
Substitute r:II' form 144911'"1'0 Complete if'Known
Application Numbe~-'-"" "'n)0/009,329
INFORMATION DISCLOSURE EJ!ing Date November 10, 2008
STATEMENT BY PATENT OWNER First Named Inventor James M. BARTON
-_-"'_-_ ... . -
(Us« tis m{/ny sheets as Jlcc:es,wlI:r) Art Unit i 3992
Examiner Name Ferris m, Fred O.
. _ ...... _._--_._ .. - I I I
Sheet 1 1 of 1 Attorney Docket Number 2513.002REXO V.S. PATI!:NT DOCU~U;NTS

! Pages. Columns. Lines.

Where Rclcvallt Passages 0:' Relevant Figures Appeal'

Examiner Cite

Initials' No.'

Publication Datc MM-I)D-YYYY

Name of Patentee 01' Applicant oi'Cited Document

Document Number

2.865,990

12-23-1958 Towler
01-21-19l:lG Harger et al.
03-05-1996 Chargin, Jr. et al ..
04-23-1996 Shido e! al .
09-17-1996 Sampat et al.
11-12-1996 Windrern et 01.
02-24-1998 Kurihara et al.
09-08-1998 Laursen et al.
01-26-1999 Ander et at.
04-27-1999 Fujii et af.
08-17-1999 Britt, J 1'. et al.
11-23-1999 Inoue et al.
12-19-2000 Tanaka ei (If.
01-09-2001 Beard
o 1-30-2no 1 Anderson et al.
03-27-2001 Shaw et al.
11-13-2001 Fries
03-19-2002 Schindler et at.
12-03-2002 Schae tel' et at. usn

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'EXAMINER: l nitial if reference considered, whether cr not c.taticn is in cortorrnance with MPEP 609. Craw line through citation if rot in conformance and not ~oo,icterP.t1. Include cocy of this form will' next communication :0 applicant. -Apprcant's unique citation designation number (optionat).' See Kinds coces of t!SPTO Pa:cnt Documents at www.USJto.gov or MPEP 001.04. ' Enter Office that issued the document. by the two-latter code (WI?O Standard 5-:-.3) .• For Japanese patenl documents. lhe indication of lhe year 01 the reign of the Emperor must precede the serial number of tre patent document. 'Kind of document by the appropriate syrnoors as indicated on the document under WtPO Standard ST.16 if possibte. • Applicant is to place a check mark he"l if English language Translation is attached.

This collection of information is required by 37 CFR 1.97 and 1.98. The Information Is required to obtain or retain a benefit by the public which is to file (and by tho USPTO to process) an application. Confidentiality Is governed O}' 35 U.S.C. 122 and 37 CFR 1.14. Tilis colleclion is estimated to take 2 hours to complete. including gathering, preparing. and submitting the completed application fonn to the USPTO. Tim .. will vary depending upon the individual case. Any comments on the amount of time you require 10 complete this form and/or suggestions for reducing this burden, should be sent to the :::hief tnfarmation Officer, U.S. Patent and Trademark Office. P.O. Box 1450. Alexandria. VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450. Atexandria, VA 22313.1450.

If you need essistence in compleling the torm, call 1-800-PTO-9199 (1-800·786-9199) and selec! option 2. 11212BO_1DOC

.. ,-
Substuut« lill" 1(",," '449/I'TO 1 Complete If Known
Application Number 90iOO9,329
INFORMATION DISCLOSURE Filing Date Novernber 10, 2008
STATEMENT BY PATENT OWNER First Named Inventor James M. BARTON
(Usc as lIIany sheets as IICCC.UfIIY) Art Unit 3992
-_,-- _._._.,, __ ....
Examiner Name Ferris III, Fred O.
Sheet I 1 I of I 4 : Attorney Docket Number 2513.002REXO
NON PATENT LITERATURE DOCUME'lTS
Examiner Cite No. Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title
Initials' of the item (book, magazine.journal, serial, symposium, catalog, etc.), date, pagers), volume-issue 1'1
._--_." _ •..•........ ...... , ... _------- nUll1ber(s), Euhlisher, citl' and/or country where ~ublishcd
U.S. DISTRICT COURT FOR TIlE EASTERN DISTl{[Cr OFT~:XAS, MARSHAl.L
6S"1( :\iPLG2 DI VISION, AT&Ts and Microsoft Corporation's Invalidity Contentions, TiVo Inc. vs. /\T&T
I nc. and Microsoft Corporation, Case No. 2:09-CV -259-DF. 44 pages, May 21, 20 I O.
---- f-- ..
Exhibit A 14 to AT&T's and Microsoft Corporation's Invalidity Contentions: Claim
NPL63 Chart of U.S. Patent No. 6,233,389 ill view of U.S. Patent No. 6,018,612, and in further
view of U.S. PatentNo. 5,477,263 and U.S. Patent No. 6,169,843, 11 pages.
----_ ..... _._ •... _---
NPL64 Exhibit A 1 to AT&T's and Microsoft Corporation's Invalidity Contentions: Claim Chart
of U.S. Patent No. 6,233,389 in view of US. Patent No. 5,557,724 to Sampat, 23 pages.
Exhibit A 12 to AT&T's and Microsoft Corporation's Invalidity Contentions: Claim
NPL65 Chart of U.S. Patent No. 6,233,389 ill view of U.S. Patent No. 5,721,815 to Ottesen et
al., 18 pages .
.. _-"- - _,,-. ._ ... ,----_-
! N.I'L6() I Exhibit .A8 to AT&T's and Microsoft Corporation's Invalidity Contentions: Claim Chart
i I of U.S. Patent No. 6,233,389 in view of U.S. Patent No. 5,822,49:1, 161 page;:;.
,
Exhibit A 13 to AT&T's and Microsoft Corporation's Invalidity Contentions: Claim
NPL67 Chart ofC.S. Patent No. 6,233,389 in view of U' S. Patent No. 6,018,612 to Thomason,
ct al. and further in view of U.S. Patent No. 5,949,948 to Krause et aI., 7 pages.
-- .. _---- ...... - ..... _--
NPL68 Exhibit A20 to AT&T's and Microsoft Corporation's Invalidity Contentions: Claim
Chart of U.S. Patent No. 6,233,389 in view of U.S. Patent No. 5,990,881,6 pages.
1------
i T\PL69 Exhibit A2 to AT&T's and Microsoft Corporation's Invalidity Contentions: Claim Chart
I of L.S. Paten, No. 6,233,389 in view of U.S. Patent No.6, 169,843,6 pages.
--- I - .. --------.- ... -.---~ .. - .. -.-,_-- ..
NPL70 Exhibit Au to AT&T's and Microsoft Corporation's Invalidity Contentions: Claim Chart
~ ~'I of U.S. Patent No, 6,233,389 in view of U.S. Patent No. 6,172,712, 137 pages.
WJ ; i
! Exhibit A3 to AT&T's and Microsoft Corporation's Invalidity Contentions: Claim Chart
NPL71 ofll.S. Patent No. 6,233,389 in view of U.S. Patent No, 6,181,706, 5 pages.
i , Equi'l>ll"nl 0' Forrn "'TO/SO/08b '0 39)

Date Considered

'EXAMINER: Initial il refere:lce considerec, whether or not citation is in conformance with MPEP 609. Draw line through citation il not in conformance and not considered. Include copy of 1111s form with next communication to applicant.

I Appucant's unique citation designation number (OPtional). 2 Applicant is to place a check mark here if English language Translation Is attached.

This collection 01 information is required by 37 CFR 1.98. The information is required to obtain or retain a benefit by the public whicn is to fila (and by the USPTO to process) on appftcation. Confide~tiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 2 hours to complete, incl'Jding gathering, preparing. and submitting tha completed application form to the USPTO. Time will vary depending upon tha individual case. Any comments on the amount of time you require to complete this form and/er suggestions for reducinq this burden. should be sent to the Chief Information Officer, U.S. Patent and Trademark Office, P.O. Box 145C, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FO~MS TO THIS ADDRESS. SEND TO: Commissionedor Patents, P.O. Box 1450, Alexandria, VA 22313-1450.

If you need assistance in completing the form, call 1-800-PTO-9199 (1-800-786-9199) and select option 2. 112131S_1.00C

Substitute for 1("111 1449il'TO Complete if Known
Application Number 901009,329
INFORMATION DISCLOSURE Filing Date_. ___ ._. .. I'J~y_eQ1_~~r.._!_9_,1_QQ8
STATEMENT BY PATENT OWNER First Named Inventor James M. BARTO!\
(Use as mOllY st.eets ({5 necessary) Art Unit W)2
Examiner Name Ferris lII, Fred O.
----- ... _, ... -._ ··-12 . I of J .... - .. __ ._---
Sheet 4 Attorney Docket Number 2513.002REXO
Nol'i .PATE~T LITERATURE DOCUMENTS
--- Cite No. Include name of the author (in CAPITAL LETrERS), title of the article (when appropriate), title
Examiner
Initials" of the item (book, magazine, journal, serial, symposium, catalog, ctc.), date, page(s), volume-issue T2
.... __ ..... - ...... _ ".- ... _--.,---- .. _- -- number(s), publisher, city andior country where pub I ishcd
6"?S")e NPL72 Exhibit A5 to AT&T's and Microsoft Corporation's Invalidity Contentions: Claim Chart
f! of U.S. Patent No. 6,233,389 in view of U.S. Patent No. 6,209,041, 140 pagcs.
Exhibit A 19 to AT&T's and Microsoft Corporation's Invalidity Contentions: Claim
NPL73 Chart of C. S. Patent No. 6,233,389 in view of U.S. Patent No. 6,304,714 to Krause et
nl., 7 pages.
-_. __ ._-_. -f-._- ------_.- - .... _-- .... _ .. _-_ ... __ ... __ ........ _. _ ... ... ,- . '~"-""'--'-'- _-- .. _-_ .. _._._.-_ .. _._-_._--_ .. __ .
I N1':""l4 Exhibit AD to AT&T's and Microsoft Corporation's Invalidity Contentions: Claim
Chart of U.S. Patent No. 6,233,389 in view ofDISHP1aycr 7100 System and U.S. Patent
1'\0. 6,490,000, 21 pages.
NPL75 Exhibit A9 to AT&T's and Microsoft Corporation's Invalidity Contentions: Claim Chart
of U.S. Patent No. 6,233,389 in view of U.S. Patent No. 6,490,000, 134 pages.
._---_. __ .. _ .... - -" ... f-
Exhibit A4 to AT&T's and Microsoft Corporation's Invalidity Contentions: Claim Chart
NPL76 of U.S. Patent No. 6,233,389 in view of U.S. Patent No. 7,272,298 to Richard Lang, II
pages.
-
I NI'L77 I Exhibit A 7 to AT&Ts and Microsoft Corporation's Invalidity Contentions: Cluim Chart
I of U.S. Patent No. 6.233,389 in view of Graham Thomason, EP0594241, 136 pages.
1- -----,.,.,.,_ . __ ........ ---_ ... _-, ....•... __ .- ...• _ ...•.. _ .. _ .. _ ..... _.- .... .. _ .•.. " .... -._, .. .... _-.-._ .. -
Exhibit A22 to AT&T's and Microsoft Corporation's Invalidity Contentions: Claim
NPL78 Chart of U.S. Patent No. 6,233,389 in view of Developing Object-Oriented Multimedia
Software by Phillip Ackermann, 9 pages.
Exhibit AIO to AT&T's and Microsoft Corporation's Invalidity Contentions: Claim
NPL79 Chart of U.S. Patent No. 6,233,389 in view ofC. Hanna et aI., Demultiplexer IC For
MPEG2 Transport Streams, 138 pages.
Exhibit A 11 to AT&T's and Microsoft Corporation's Invalidity Contentions: Claim
!\PL80 1 Chart of U.S. Patent No. 6,233,389 in view of Robert Johnston, A Digital Television
Sequence Store, 148 pages.
~.-- -- e----
I Exhibit A 16 to AT &Ts and Microsoft Corporation's Invalidity Contentions: Claim
~J I
I NPLSI Chart of U.S. Patent No. 6,233,389 in view of "A Programming System for the Dynamic
Manipulation of Temporally Sensitive Data" by Christopher J. Lindblad, 16 pages. Equivatent of Form PTO/SS/OBt: (2~9)

Date Considered

·Ex/\MtNER: Ini!ial if reference consicered, whether or not citation is in conformance with MPEP 609. Draw line thro~gh citation if not in conformance ano not considered. Ir,clude copy of this form w:th next communication to applicant.

1 Applicant's uruque citation cestqnauon number (optional). 2 Applicant is to place a check mark here if English .anquaqe Transtation is anacned.

This collection of inlormation is roouircd by 37 (;FR 1.98. The infer-nation is required to obtain or retain a benefit by the public whicl, is to file (and by :hS USPTO to process) an applicauon Ccnfidentiality is goveme:J by 35 U.S.C. '22 and 37 CFR '.'4. This coliecticn is estimatec to take 2 noors to comptete, inclJdill9 gOti1cring. preparing, ano submitting the compteted application form to the US "TO. Time w'll vary dependir,g upon the individwa' case. Any comments on :he amount of lime you require to complete this form and/or suggesJions for reducing this buroen, should be sent to the Chief Information Officer, U.S. Patenl and Trademark Office, P.O. Box '450, Alexandria, VA 22313-1450. DO NOT SEN:> FEES OR COMPLETED FO~MS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.

/fyou need assistance in completing the form, call1-800-PTO-9199 (1-800-786-9199) and select option 2. 1121315_1.DOC

Substitute lor term 1449/1'TO Complete (f[(flOWII
! Application Number 901009,329
INFORMATION DISCLOSURE i Filing Date . __ "i9yernE_(3r 1 0, 2008
STATEMENT BY PATENT OWNER i First Named Inventor James M. BARTON
(Use as mUIIY sheets as necessary) Art Unit 3992
Examiner Name Ferris III, Fred O.
. Sheet 1 3 I of I· 4 Attorney Docket Number 2513.002REXO
NON PATENT LITERATURE DOCUMENTS
.- ...... -.-~-.--- Cite No.1 Include name of the author (in CAPITAL LE1TERS), title of the article (when appropriate), title
Examiner
Initials' ofthe item (book, magazine, journal, serial, symposium, catalog, etc.), date, pagers). volume-issue TI
-- IHllllbcris2, ~ublishcr, citl: and/or ~.()~II!I)'_ .. ~herq)~I.~J.ishcd
Exhibit A 15 to AT&T's and Microsoft Corporation's Invalidity Contentions: Claim
es«: NPL82 Chart of Li.S. Patent No. 6,233,389 in view of "StrearnObjects: Dynamically-Segmented
Scalable Media Over the Internet" by Steven Niemczyk, 17 pages.
Exhibit A 17 to AT&T's and Microsoft Corporation's InvalicJity Contentions: Claim
NPL83 Chart ofC.S. Patent No. 6,233,389 in view of i'An Architecture for Networked
Multimedia" by Jonathan C. Soo, 12 pages.
.._. __ ._._ .. _ ........ - .. ,-_ .. _.-_
Exhibit A 18 to AT&T's and Microsoft Corporation's Invalidity Contentions: Claim
NPL84 Chait ofLS. Patent No. 6,233,389 in view of "Design ofa Storage and Retrieval Model
for Multimedia Data" by Ruihong Wang, II pages.
_"_-"-- '--- r-
NI'LR5 Exhibit /\21 to AT&T's and Microsoft Corporation's Invalidity Contentions: Claim
Chart orES. Patent No. 6,233,389 in view of U.S. Patent No. 5,898,695, 6 pages.
._ .... _-_.- .. - . .+--
NPL86 Ash, Robert, Real- Time Encoding and Feeds in Oracle Video Server, Oracle
Corporation, entire document (March 1998).
.. --._._. ",,_,_
Cline, Linda S. et al., "DirectShow T.\! RTP Support for Adaptivity in Networked
l\PL87 Multimedia Applications," Proc. of tile [EEE International Conference 011 Multimedia
Computing and Systems, 10 pages (1998).
! Hanna, C. et al., "Demultiplexer l C for MPEG2 Transport Streams," IEEE Transactions
NPL88 01/ Consumer Electronics, Vol. 41, No.3, PI'. 699-706 (August 1995).
-- I----j-- .. ---- ........... _._
I , Kurioka, Tatsuya et aI., "Television Horne Server for Integrated Services - Toward the
,
I NPL89 Realization of1SDB 'Anytime' Services," Proceedings ISCE '97, IEEE lnternational
Symposium 011 Consumer Electronics, pp. 250-253 (Dec. 2, 1997).
LincJblad, Christopher, A Programming System for the Dynamic Manipulation of
NPL90 Temporally Sensitive Data, MIT Laboratory for Computer Science, 275 pages (August
1994).
Vi w_._ -_._----_.,
I Linden, Brian and Prather, Matt, Oracle Video Server: Introducing the Oracle Video
N1)L9 J Server, Release 3.0, entire document (1998).
i Equivalent of Form PTO/SB/D8b (2-09)

Date ConsicJered

'EXAMINER: tnitiat if reference considered. whether or not citation is in conformance with MPEP 609. Draw line through citation if not in conformance and not considered. Include copy of this form with next cornrnunication to applicant.

1 Applicant's unique citation deSignation number (optional). 2 Applicant is to place a check mark here if Englisr,tanguagc Translation is attacnco.

This collection of mlormeuon is required by 37 CFR 1.98. The information is required to obtain or retair a benefit by the public wnich is to fite (and by the USPTO to orocess) an application. Confidentiality is governed by35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to I3ke 2 hours to complete, inclliding gathering. preparing. and submitting the cornplotcd applicaticn form to the USPTC. Time will vary depending upon the individual case. A1Y comments on tho amount of time you require to complete this form and/or sugges:ions for raduclnq tnls burden, shoutd be sent to the Chief Information Otticer. U.S. Patent and Trademark Offlce, P.O. Box 1450, Afexandrla. VA 22313-1~50. DO NOT SEND FEES OR COMPLETED FOR-VIS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P,O. Box 1450, Alexandria, VA 22313-1450.

If yeti need assistance in completing the form, celf 1-800-PTO-9199 (1-800-786-9199; and selec! oplion 2. 1121JI5_I.DOC

Equivalent cf Form PTOiSB:08b (2-09)

Substitute 1')1" 10rl11 1449/1'TO Complete if Known
Application Number 90/009,329 __ '~_w··W .• "' ..... --.
INFORMATION DISCLOSURE Filing Date November 10, 2008
STATEMENT BY PATENT OWNER First Named Inventor James M. BARTON
_._._", " .... __ .
illse as 111(111), sheets as necessary) A,tUnil 3992
1---,---
Examiner Name Ferris Ill, Fred O.
.H·'_'_ 14 1 of 1
Sheet 4 Attorney Docket Number 2513.002REXO
NO~ PATEIW LITERATURE DOCUMENTS
Cite No.' Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title _ .............
Examiner
lnirials" of the item (book, magazine, journal, serial, symposium, catalog, etc.), date, pagc(s), volume-issue T~
----_ .....•. _- _" ~ .-. numbcrts}, publisher, city and/or country where published
5iL NPL92 Niemczyk, Steven, Stream Objects: Dynamically Segmented Scalable Media Over the
Internet, Thesis, Massachusetts Institute of Technology, 90 pages (May 27, 1996).
---_.-_ ---- t----- ----,* ... -_. _ .... _-_ .. __
! Oracle Corporation, Video-Enhanced Web Services, An Oracle, f)JGlT A L, Ericsson and
NI'L93 Acorn While Paper, entire document (March 1 \198) .
- -_---- ..... -.- ... .... _ ..
NPL94 Soo, Jonathan, An Architecture for Networked Multimedia, Thesis, Massachusetts
I Institute of Technology, 49 pages (May 1995).
•..... _._ .. f----
~PL95 Tektronix PDR 100 ProjilerM Video Disk Recorder, User Manual, entire document (First
Printing: February 1995, Revised: August 1995).
--_-_ .. - .. ---
V :"oJPL96 Wang, Ruihong, Design of a Storage and Retrieval Model for Multimedia Data, Thesis,
University of Ottawa, 116 pages (] 994).
--
NPL
--"-~--

NPL
J\PL ,
i .. _ .. _------"---"
!
~
r----.-
I
I NPL Date Considered

9/J-'f'/tc)

·EXAMINER: 11itial if reference considered. whether or not dta.ion is in conformance wilh MPEP 609. Draw line through citation if not in conformance and nor ccr sioereo. tncuoe copy of this f::rm with oext communication to applicant.

, Appucanrs unique citation designation number (optionat). 2 Applicant is to place a check mark here if Englisf) language Translation is attached.

This conocuon of mrorrnauor is required by 37 ;;FR 1.98. The Infonmation is required to obtain or retain a benefit by !he public which is tu file (and by the USPTO 10 process) an application. Connder.tiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 2 hours to complete. inctuding gatherin~. preparing. and submitting the completed application rorrn to the USPTO. Time will vary depending upon the individual case. Any comments on the amount of time yoc require to complete this form and/or suygestions for reducing this burden. should be sent to the Chief Information Office', U.S. Patenl and Trademark Otlce, P.O. Box 1450, Alexandria. VA 22313-1450. 00 NOT SEND FEES OR COMPLETED FORMS TC THIS ADDRESS. SEND TO; Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313·1450.

If YOLI need assistance in completing the form, call1-800-PT0-9199 (1-800-786-9199) and select option 2. 1121315_1.DOC

r .

Search Notes Application/Control No. Applicant(s)/Patent under
Reexamination
111111111111111111111111 90/009,329 6233389
Examiner Art Unit
Fred Ferris 3992

SEARCHED SEARCH NOTES
(INCLUDING SEARCH STRATEGY)
Class Subclass Date Examiner DATE EXMR
386 46 9/24/2010 FOF
Reveiwed prior art of record 9/24/2010 FOF











,


INTERFERENCE SEARCHED ,
Class Subclass Date Examiner U.S. Patent and Trademark Office

Part of Paper No. 20100924

Application/Control No. 901009,329

Examiner Fred Ferris

Applicant(s)/Patent under Reexam ination

6233389

Art Unit 3992

ISSUE CLASSIFICATION
ORIGINAL INTERNATIONAL CLASSIFICA nON
CLASS SUBCLASS CLAIMED NON·CLAIMED
386 .46 G 11 B 27 110 I
CROSS REFERENCES
G 11 B 27 1034 I
CLASS SUBCLASS (ONE SUBCLASS PER BLOCK)
348 E5.007 E5.108 H 04 N 5 1775 I
386 68 E5.043 E5.07 G 11 B 27 1031 I
H 04 N 5 144 I
H 04 N 5 100 I
G 11 B 27 1032 I
------------------------- Total Claims Allowed: 2
(Assistant Examiner) (Date) r Ferris
"'- O.G. O.G.
(Primary xaminer) (Date) Print Claim(s) Print Fig.
(Legal Instruments Examiner) (Date) f;'t~#G 31 1

C8J Claims renumbered in the same order as presented by applicant DCPA D T.D. D R.1.47
10 10 iii iii iii 10 10 10 10 10 10 10 10
c .5 c c 10 c .5 .5
c 'OJ c Cl c 'OJ c 'OJ c Cl c Cl c Cl
u; ·c u:: ·c u:: ·c u::: ·c u:: ·c u:: 'C u:: ·c
0 0 0 0 0 0 0
1 31 61 91 121 151 181
2 32 62 92 122 152 182
3 33 63 93 123 153 183
4 34 64 94 124 154 184
5 35 65 95 125 155 185
6 36 66 96 126 156 186
7 37 67 97 127 157 187
8 38 68 98 128 158 188
9 39 69 99 129 159 189
10 40 70 100 130 160 190
11 41 71 101 131 161 191
12 42 72 102 132 162 192
13 43 73 103 133 163 193
14 44 74 104 134 164 194
15 45 75 105 135 165 195
16 46 76 106 136 166 196
17 47 77 107 137 167 197
18 48 78 108 138 168 198
19 49 79 109 139 169 199
20 50 80 110 140 170 200
21 51 81 111 141 171 201
22 52 82 112 142 172 202
23 53 83 113 143 173 203
24 54 84 114 144 174 204
25 55 85 115 145 175 205
26 56 86 116 146 176 206
27 57 87 117 147 177 207
28 58 88 118 148 178 208
29 59 89 119 149 179 209
30 60 90 120 150 180 210 U.S. Patent and Trademark Office

Part of Paper No. 20100924