Ipr2015-00232

UNITED STATES PATENT AND TRADEMARK OFFICE

______

BEFORE THE PATENT TRIAL AND APPEAL BOARD

______

Unified Patents Inc., Petitioner v.

III Holdings 1, LLC Patent Owner

IPR2015-____

Patent 7,702,781

______

PETITION FOR INTER PARTES REVIEW

Mail Stop PATENT BOARD, PTAB Commissioner for Patents P.O. Box 1450 Alexandria, VA 22313-1450

TABLE OF CONTENTS

I. INTRODUCTION ...... 1

II. MANDATORY NOTICES ...... 2

A. Real Party-in-Interest ...... 2

B. Related Matters ...... 4

C. Identification of Lead and Back-Up Counsel...... 4

D. Service Information ...... 4

III. PAYMENT OF FEES ...... 4

IV. REQUIREMENTS FOR INTER PARTES REVIEW ...... 4

A. Grounds for Standing ...... 4

B. Statement of Precise Relief Requested (37 C.F.R. § 42.22(a)) and Identification of Challenges (37 C.F.R. § 42.104(b)) ...... 5

1. Ground ...... 5

2. Citations to Exs. 1002-1005 ...... 5

C. How the Construed Claims are Unpatentable under the Statutory Grounds identified in 37 C.F.R. § 42.104(b)(2) and Supporting Evidence Relied upon to Support the Challenge ...... 6

D. Threshold Showing of Reasonable Likelihood That Petitioner Would Prevail With Respect To At Least One Challenged Claim (35 U.S.C. § 314(a)) Has Been Met ...... 6

V. FACTUAL BACKGROUND ...... 7

A. Declaration Evidence ...... 7

B. The State of the Art as of 2006 ...... 8

C. The Challenged ‘781 Patent ...... 12

VI. CLAIM CONSTRUCTION (37 C.F.R. § 42.104(B)(3)) ...... 14

ii A. Support for claim construction ...... 15

VII. THE GROUNDS SHOWING THAT PETITIONER HAS A REASONABLE LIKELIHOOD OF PREVAILING ...... 20

A. The Prior Art Discloses Each Claimed Feature And One Of Ordinary Skill Would Be Led To Form This Combination ...... 20

1. Reasons to Combine Exs. 1002-1005...... 20

2. Prior Art Analysis ...... 24

3. The WS_FTP References (Exhibits 1002-1004) Disclose An Equivalent To Claim 38’s “Means For Receiving” And “Means For Storing” Elements ...... 27

4. The Prior Art Was Publicly Available Before March 3, 2005 ...... 30

B. Element-By-Element Analysis Of Challenged Claims ...... 30

[1a] 1. A method comprising: ...... 30

[1b] receiving by at least one computer, at a client device of a first entity, a selection by a user of a store as command at a graphical user interface (GUI) executing on said client device, the first entity being at least one of an individual, the user, or a company; ...... 31

[1c] receiving by the at least one computer a selection of a data file on said client device by the user for transfer across a network for storage at a remote storage facility of a second entity, the user having an associated login account with the second entity, the second entity being at least one of a network service provider or an internet service provider (ISP); ...... 33

[1d] prompting by the at least one computer the user for a file name for said data file at said GUI; ...... 34

[1e] associating by the at least one computer said file name with said data file; ...... 35

iii [1f] receiving by the at least one computer a parameter selection at said GUI, said parameter selection coupled to said account and coupled to a service level agreement (SLA) between the first entity and the second entity, said parameter selection comprising a scheduled transfer time, an encryption selection, and at least one of: ...... 36

[1i] a compression level; or ...... 41

[1j] a security level: ...... 41

[1k] applying by the at least one computer said parameter selection to said data file;...... 42

[1l] identifying by the at least one computer said SLA; ...... 43

[1m] determining by the at least one computer whether to transfer said data file based on enforcing said SLA; ...... 43

[1n] queuing, if transfer is determined to be permitted, by the at least one computer said data file in a queue for scheduled upload transmission to said remote storage facility of the second entity at said scheduled transfer time; and ...... 44

[3a] 3. The method according to claim 1, wherein said selection of at least one of said store as command or said data file comprises dragging and dropping of said data file to an icon on said GUI...... 45

[4a] 4. The method according to claim 1, ...... 46

[4b] wherein said SLA indicates a maximum size of data said first entity is permitted to store at said remote storage facility...... 46

iv [5a] 5. The method according to claim 1, ...... 46

[5b] wherein said step of transferring said data file further comprises encrypting by the at least one computer said data file according to at least one of said encryption level or said security level...... 46

[6a] 6. The method according to claim 1, ...... 47

[6b] wherein said step of transferring said data file further comprises at least one of compressing by the at least one computer said data file according to said compression level or transferring said data file wherein said data file was previously compressed, wherein said compression comprises at least one of MPEG, JPEG, TIFF, and/or PDF...... 47

[7a] 7. The method according to claim 1, ...... 47

[7b] wherein said step of transferring said data file further comprises initiating by the at least one computer a connection over said network...... 47

[8a] 8. The method according to claim 1, further comprising: ...... 48

[8b] receiving by the at least one computer a request from the user to retrieve said data file from said remote storage facility; ...... 48

[8c] initiating by the at least one computer an authentication sequence between said client device and said remote storage facility; and ...... 48

[8d] receiving by the at least one computer said data file from said remote storage facility to said client device...... 49

[9a] 9. The method according to claim 1, further comprising: ...... 49

[9b] receiving by the at least one computer a search request from the user for said remote storage facility; ...... 49

v [9c] initiating by the at least one computer a user authentication sequence; ...... 49

[9d] providing by the at least one computer a prompt to said user; ...... 50

[9e] receiving by the at least one computer search terms from said user; and ...... 50

[9f] receiving by the at least one computer a results list of one or more data files corresponding to said search terms...... 50

[10a] 10. The method according to claim 9, further comprising...... 50

[10b] providing by the at least one computer said results list of one or more data files to said user ...... 50

[11a] 11. The method according to claim 9, ...... 50

[16a] 16. The method according to claim 1, further comprising: ...... 51

[16b] providing by the at least one computer a request to said remote storage facility; ...... 51

[16c] initiating by the at least one computer an authentication sequence; and ...... 51

[16d] authenticating the user by the at least one computer...... 52

[17a] 17. The method according to claim 16, wherein said step of initiating an authentication sequence further comprises: ...... 52

vi [17b] receiving by the at least one computer identification information from the user; and ...... 52

[17c] providing by the at least one computer said identification information for comparison with stored identification information...... 52

[21a] 21. A method comprising: ...... 52

[21b] receiving by at least one computer at a storage facility service provider of a first entity, a scheduled upload transmission of a data file, ...... 52

[21c] based on a parameter selection, from a remote client device of—a second entity resulting from a store as request from a user, ...... 53

[21d] the user having an account associated with the first entity, ...... 53

[21e] the scheduled upload transmission determined to be permitted based on enforcement of an identified service level agreement (SLA) between the first entity and the second entity, ...... 53

[21f] the storage facility and the remote client device coupled to one another via at least one of: a network service provider or an internet service provider (ISP), ...... 54

[21g] the second entity being at least one of an individual, the user, or a company, ...... 54

[21h] wherein said parameter selection is coupled to said account and coupled to the SLA, ...... 54

[21i] wherein said parameter selection comprises a scheduled transfer time, an encryption selection and at least one of: ...... 54

[21l] a compression level; or ...... 54

[21m] a security level; and ...... 54

vii [21n] storing by the at least one computer said data file on a storage device of said storage facility service provider based on said parameter selection...... 54

[23a] 23. The method according to claim 21, ...... 55

[23b] wherein said SLA indicates a maximum size of data said second entity is permitted to store at said storage facility service provider...... 55

[26a] 26. The method according to claim 21 ...... 55

[27a] 27. The method according to claim 21, further comprising: ...... 56

[27b] receiving by the at least one computer a request at said storage facility service provider to retrieve said data file; ...... 56

[27c] initiating by the at least one computer an authentication sequence between said client device and said storage facility service provider; and ...... 56

[27d] transferring by the at least one computer said data file from said storage facility service provider to said client device...... 57

[28a] 28. The method according to claim 21, further comprising: ...... 57

[28b] receiving by the at least one computer a search request at said storage facility service provider; ...... 57

viii [28c] initiating by the at least one computer a user authentication sequence; ...... 57

[28d] providing by the at least one computer a prompt to said client device; ...... 57

[28e] receiving by the at least one computer search terms from said client device; and ...... 57

[28f] generating by the at least one computer a results list of one or more data files corresponding to said search terms...... 58

[29a] 29. The method according to claim 28, further comprising...... 58

[29b] providing by the at least one computer said results list of one or more data files to said client device...... 58

[30a] 30. The method according to claim 28, ...... 58

[35a] 35. The method according to claim 21, further comprising: ...... 59

[35b] receiving by the at least one computer a request at said storage facility service provider; ...... 59

[35c] initiating by the at least one computer an authentication sequence; and ...... 59

[35d] authenticating by the at least one computer the user...... 60

Claim 38 ...... 60

VIII. CONCLUSION ...... 60

ix I. INTRODUCTION Pursuant to the provisions of 35 U.S.C. §§ 311-319, Unified Patents Inc.,

(“Unified” or “Petitioner”) hereby petitions the Patent Trial and Appeal Board to institute inter partes review of claims 1, 3-11, 16, 17, 21, 23, 26-30, 35, and 38 of

U.S. Patent No. 7,702,781 to Devolites (“the ‘781 Patent,” Ex. 1001).

In short, the ‘781 Patent describes a method for transferring a data file from a client to a remote storage facility. The client may specify a parameter, such as a transfer time, so that the data file is transferred at the requested transfer time.

Additionally, the client may identify a service level agreement (SLA) that may

specify, for example, the amount of storage available to the client and that may be

used to verify that the client may send the file successfully. Ex. 1001, Abstract;

7:19-29.

The prior art relied upon herein–which was not before the Examiner–

demonstrates that such features were well known before March 3, 2005, one year

before the ‘781 Patent’s earliest priority date. Three references that describe the

WS_FTP file transfer system and one document that describes an extension to the

WebDAV standard render obvious each of the challenged claims. None of the

challenged claims recite anything more than subject matter that was both well-

known and obvious to one of ordinary skill in the art at the time of the invention.

II. MANDATORY NOTICES Pursuant to 37 C.F.R. § 42.8(a)(1), Unified Patents provides the following mandatory disclosures.

A. Real Party-in-Interest Pursuant to 37 C.F.R. § 42.8(b)(1), Petitioner certifies that Unified Patents is the real party-in-interest, and further certifies that no other party exercised control or could exercise control over Unified Patents’ participation in this proceeding, the filing of this petition, or the conduct of any ensuing trial.

Unified Patents was founded by intellectual property professionals over concerns with the increasing risk of non-practicing entities (NPEs) asserting poor quality patents against strategic technologies and industries. The founders thus created a first-of-its-kind company whose sole purpose is to deter NPE litigation by protecting technology sectors, like cloud storage, the technology area of the

‘781 Patent. Companies in a technology sector subscribe to Unified’s technology specific deterrence, and in turn, Unified performs many NPE-deterrent activities, such as analyzing the technology sector, monitoring patent activity (including patent ownership and sales, NPE demand letters and litigation, and industry companies), conducting prior art research and invalidity analysis, providing a range of NPE advisory services to its subscribers, sometimes acquiring patents, and sometimes challenging patents at the United States Patent and Trademark Office

(USPTO). Since its founding, Unified is 100% owned by its employees; subscribers have absolutely no ownership interest.

Unified has sole and absolute discretion over its decision to contest patents

through the USPTO’s post-grant proceedings. Should Unified decide to challenge

a patent in a post-grant proceeding, it controls every aspect of such a challenge,

including controlling which patent and claims to challenge, which prior art to apply

and the grounds raised in the challenge, and when to bring any challenge.

Subscribers receive no prior notice of Unified’s patent challenges. After filing a

post-grant proceeding, Unified retains sole and absolute discretion and control over

all strategy decisions (including any decision to continue or terminate Unified’s

participation). Unified is also solely responsible for paying for the preparation,

filing, and prosecution of any post-grant proceeding, including any expenses

associated with the proceeding.

In the instant proceeding, Unified exercised its sole discretion and control in

deciding to file this petition against the ‘781 patent, including paying for all fees

and expenses. Unified shall exercise sole and absolute control and discretion of

the continued prosecution of this proceeding (including any decision to terminate

Unified’s participation) and shall bear all subsequent costs related to this

proceeding. Unified is therefore the sole real-party-in-interest in this proceeding.

B. Related Matters The ‘781 Patent has not been asserted in any litigations.

C. Identification of Lead and Back-Up Counsel Pursuant to 37 C.F.R. § 42.8(b)(3), Petitioner provides the following

designation of counsel: Lead counsel is Michael L. Kiklis (Reg. No. 38,939) and

back-up counsel is Scott A. McKeown (Reg. No. 42,866).

D. Service Information Pursuant to 37 C.F.R. § 42.8(b)(4), papers concerning this matter should be

served on the following:

Address: Michael L. Kiklis Oblon Spivak 1940 Duke Street Alexandria, VA 22314 Email: [email protected] Telephone: (703) 413-2707/(703)413-3000 (main) Fax: (703) 413-2220

III. PAYMENT OF FEES The undersigned authorizes the Office to charge the required fees as well as

any additional fees that might be due to Deposit Account No. 15-0030.

IV. REQUIREMENTS FOR INTER PARTES REVIEW As set forth below and pursuant to 37 C.F.R. § 42.104, each requirement for inter partes review of the ‘781 patent is satisfied.

A. Grounds for Standing Petitioner certifies pursuant to 37 C.F.R. § 42.104(a) that the ‘781 Patent is available for inter partes review and that Petitioner is not barred or estopped from

4 requesting inter partes review challenging the patent claims on the grounds identified herein.

B. Statement of Precise Relief Requested (37 C.F.R. § 42.22(a)) and Identification of Challenges (37 C.F.R. § 42.104(b)) Petitioner requests inter partes review and cancellation of claims 1, 3-11, 16,

17, 21, 23, 26-30, 35, and 38 of the ‘781 Patent as being obvious under 35 U.S.C. §

103 in view of the following printed publications, each of which is prior art pursuant to 35 U.S.C. § 102(b):

i. WS_FTP Pro User’s Guide, Software Version 8.0, Ipswitch, Inc., Lexington, MA, May 2003 (“WSFTP8”)(Ex. 1002); ii. Ipswitch WS_FTP Professional Security Guide, Software Version 9.0, Ipswitch, Inc., Lexington, MA, June 2004 (“WSFTP9SEC”)(Ex. 1003); iii. Ipswitch WS_FTP Server User’s Guide, Software Version 5.0, Ipswitch, Inc., Lexington, MA, May 2004 (“WSFTPSRV5”)(Ex. 1004); and iv. Quota and Size Properties for DAV Collections, draft-itef-webdavquota-06, February 2005. Available from: https://tools.ietf.org/html/draft-ietf-webdav-quota-06 (“WebDAV Quota”)(Ex. 1005). 1. Ground Claims 1, 3-11, 16, 17, 21, 23, 26-30, 35, and 38 are challenged under 35

U.S.C. § 103 as being obvious in view of WSFTP8, WSFTP9SEC, WSFTPSRV5,

and WebDAV Quota (Exs. 1002-1005).

2. Citations to Exs. 1002-1005

All citations to Exs. 1002-1005’s page numbers are to each document’s internal page numbers, which sometimes differs from the exhibit’s page number.

C. How the Construed Claims are Unpatentable under the Statutory Grounds identified in 37 C.F.R. § 42.104(b)(2) and Supporting Evidence Relied upon to Support the Challenge The challenged claims are to be construed as indicated in Section VI, below.

Pursuant to 37 C.F.R. § 42.104(b)(4), an explanation of how the challenged claims

are unpatentable under the statutory grounds identified above, including the

identification of where each element of the claim is found in the prior art, is

provided in Section VII, below, in the form of an analysis. Pursuant to 37 C.F.R. §

42.104(b)(5), the appendix numbers of the supporting evidence relied upon to

support the challenges and the relevance of the evidence to the challenges raised,

including identifying specific portions of the evidence that support the challenges,

are provided in Section VII, below, in the form of an analysis.

D. Threshold Showing of Reasonable Likelihood That Petitioner Would Prevail With Respect To At Least One Challenged Claim (35 U.S.C. § 314(a)) Has Been Met Information presented in this Petition, including the unpatentability ground

detailed in Section VII, below, establishes a reasonable likelihood that Petitioner

will prevail with respect to at least one of the challenged claims. See 35 U.S.C. §

314(a). Indeed, that section, supported by the Hutchinson declaration (Ex. 1006)

6 demonstrates how the challenged claims are obvious in view of the relied upon

prior art.

V. FACTUAL BACKGROUND A. Declaration Evidence This Petition is supported by the declaration of Professor Norman

Hutchinson, Ph.D. from the University of British Columbia (attached as Ex. 1006).

Dr. Hutchinson offers his opinion with respect to the skill level of one of ordinary skill in the art (Ex. 1006, ¶¶ 19-20), the content and state of the prior art (Ex. 1006,

¶¶ 21-30), claim construction (Ex. 1006, ¶ 15), the teachings and suggestions that one of ordinary skill would understand based on WSFTP8, WSFTP9SEC,

WSFTPSRV5, and WebDAV Quota (Ex. 1006, pp. 24-90), the reasons for combining the teachings from WSFTP8, WSFTP9SEC, WSFTPSRV5, and

WebDAV Quota (Ex, 1006, ¶¶ 31-36), and the manner in which one of ordinary skill would combine those teachings (Ex. 1006, pp. 24-90). Dr. Hutchinson is an

Associate Professor of Computer Science at the University of British Columbia.

He has over twenty-five years of experience in distributed systems and has written and lectured extensively on this topic. See Ex. 1006.

This petition is also supported by a declaration from Ms. Jodi Gregory. Ms.

Gregory authenticates Exs. 1002-1005 and testifies that such exhibits were publicly

7 available before March 3, 2005, one year before the earliest priority date of the

‘781 Patent. See Ex. 1007.

B. The State of the Art as of 2006 As Dr. Hutchinson testifies, the elements of the challenged claims were well known to those of ordinary skill in the art in the area of networked or distributed file systems more than one year before the earliest priority date of the ‘781 Patent.

By the late 1980s and early 1990s, networks of individual computers had become pervasive. Many systems were designed and deployed to take advantage of the trend towards cheaper and more powerful computers that could be connected to a communication network. Examples include LOCUS at UCLA and Cedar at

XEROX PARC in the early 1980s, the Network File System (NFS) developed by

Sun, the Andrew File System (AFS) developed at CMU, the Sprite networked operating system developed at UC Berkeley, the Amoeba distributed operating system developed at the Vrije University in the Netherlands, and many others. Ex.

1006, ¶ 21.

The systems listed above included a network file server, which could be accessed via the network to which all the computers were connected. These network file servers provided the ability for individual client computers to share data with other computers by reading and writing files from the network file server. Ex. 1006, ¶ 22.

From this, Dr. Hutchinson concludes that information storage systems accessible via a communication network by a collection of client computers were well known at the time of the ‘781 Patent. Further, less integrated systems had been developed in which users used standard network protocols to store and retrieve files on shared file systems. Among the earliest uses of the Internet were remote access to computers at other sites (Telnet) and sharing files between users at different sites (FTP). The FTP protocol was specified originally in 1980 and was updated in 1985. Since its inception, FTP has included the fundamental features of the ‘781 Patent. Users of FTP client programs provide the credentials necessary to access the desired server system, specify a number of parameters controlling encryption, compression, and encoding of the data files, and can both send files to and retrieve files from a file server. Over the decades, a number of implementations of the protocol (both clients and servers) have been made available both for free and for profit. FTP client and server programs have been included in standard distributions of many flavors of the Unix and Linux operating systems since the publishing of the protocol in 1985. Ex. 1006, ¶ 23.

By March 2005, there were a vast array of programs available for the

Windows, MacOS, and Linux operating systems that increased the ease with which users could use the FTP protocol to transfer files between their client computers and server computers. These programs include Graphical User Interfaces (GUIs)

9 where users could use a number of interaction techniques including “store as” menu selections as well as dragging-and-dropping to indicate the files they wished to transfer either to or from file servers. One of the features that these many graphical client programs added to the underlying FTP protocol was the ability to

schedule the transfer of files at a time in the future (where the underlying protocol

does not have this functionality). Examples of such programs include CuteFTP,

SmartFTP, FlashFXP, WS_FTP, WinSCP, Transmit, and FileZilla. Ex. 1006, ¶ 24.

WebDAV is another example of an Internet standard that supports clients

that access storage services across the network. From the very beginning of the

development of the World Wide Web, it was seen by its inventors as a medium for

both reading and writing information that was available remotely. In 1996 at a

World Wide Web Consortium meeting in San Mateo, California, the idea of a

standard that would allow users to author web documents in a distributed manner

was discussed. This led to the development of the WebDAV (Distributed

Authoring and Versioning on the Web) protocol standard, RFC 2518, which was

initially published in February 1999. The WebDAV standard specifies operations

that can be performed on remote files and collections of files to allow multiple

authors to cooperatively edit shared files. Ex. 1006, ¶ 25.

A number of implementations of the server side of the standard were soon

available, including Microsoft’s web server IIS (Internet Information Services) and

10 the popular Apache web server. Client implementations were also widely available as extensions to the file system in Microsoft Windows, Apple MacOS, and Linux. Stand-alone client applications were also developed, including applications that can use both the FTP and WebDAV protocol to access files on remote storage services. Ex. 1006, ¶ 26.

Soon after the initial specification and implementation of the WebDAV standard, a number of extensions were considered, among them a proposal to support quota and size properties for collections (i.e., folders or directories which may contain other files and collections). This standardization effort published its first draft in October 2002. This draft went through a number of relatively small changes over the next 4 years, with the penultimate draft in February of 2005, the ultimate draft in April 2005, and the publishing of the proposed standard in

February 2006. This extension allows clients to access information concerning the space available to them on the server to “enhance[s] the client experience, because the client has a chance of managing its files to avoid running out of allocated storage space”. Ex. 1006, ¶ 27.

Dr. Hutchinson relies upon three published documents that describe the

WS_FTP application in his declaration: WSFTP8 (Ex. 1002), WSFTP9SEC (Ex.

1003), and WSFTPSRV5 (Ex. 1004). The WS_FTP application consists of two primary components: a client program known as WS_FTP Professional (or

WS_FTP Pro), and a server program known as WS_FTP Server. The WSFTP8 and WSFTP9SEC documents describe the client program and the WSFTPSRV5 document describes the server program. While the programs are of use individually, a complete system where users store and retrieve files from file servers would use both the client and server components. The client program has been available since at least 1996 (the first edition of the User’s Guide is dated

May 1996), and the server since 2000 (the first edition of the Server User’s Guide

is dated September 2000). These client and server application programs included

many of the features found in the ‘781 Patent. Ex. 1006, ¶ 28.

The nature of the interaction between the client wishing to store and retrieve files from a remote storage service and the server which implements that service is

very similar whether the client uses the FTP or WebDAV protocol to communicate with the server. In every case, the client must identify itself to the server using

some authentication scheme, and then send requests to the server to either store or retrieve files. When files are being communicated between the client and the server, a number of parameters control the nature of that communication. In FTP, the files can be sent in a number of “modes”: ASCII, Binary, and Compressed.

Further the files can be encrypted using a number of different technologies including SSL, SSH, and PGP. Ex. 1006, ¶ 29.

C. The Challenged ‘781 Patent

The ‘781 Patent describes a system for remotely storing data files, and more particularly a client application of a remote storage facility that is capable of transferring data files to and from a remote storage facility across a network. The client of the remote storage facility may use a number of interaction techniques to identify a file to be stored at the remote storage facility or retrieved from the remote storage facility. Additionally, the client may allow the user to select a number of parameters that influence how the data file is transferred to the remote storage facility. These parameters may be related to how the data file should be retained at the remote storage facility, indexing of the contents of the data file, compression of the data file, encryption of the data file, or the timing of the transfer of the data file to the remote storage facility. When the data file is to be transferred, the client may consult a service level agreement (SLA) between the client and the storage facility to determine whether and how to transfer the file.

The client may also retrieve previously stored data files. The ‘781 Patent further describes the remote storage facility and the steps that it takes to interact with the client to accomplish the aims of the user using the client application. All of the features of the challenged claims were well known for years before the earliest priority date of the ‘781 patent. Ex. 1006, ¶ 14.

VI. CLAIM CONSTRUCTION (37 C.F.R. § 42.104(B)(3)) Pursuant to 37 C.F.R. § 42.204(b)(3), the claims subject to inter partes review shall receive the “broadest reasonable construction in light of the specification of the patent in which [they] appear[].” See 42 C.F.R. § 100(b). For the purposes of this petition, the Petitioner adopts the plain meaning for all claim terms. The

Petitioner proposes a specific construction for one claim term and two means-plus- function claim elements:

Claim Term Proposed construction Service Level Agreement Any information accessible to the client application (SLA) (claims 1, 4, 21, that may permit or prevent the transfer of a data file 23, 38) Means for receiving Function: receiving by at least one computer at a (claim 38) storage facility service provider of a first entity, a scheduled upload transmission of a data file, based on a parameter selection, from a remote client device of second entity resulting from a store as request from a user Structure: software code in the memory of a computer at a storage facility service provider that, when executed by the computer processor, receives a data file over a network connection that may be wired or wireless and run by an NSP or an ISP Means for storing (claim Function: storing by the at least one computer said 38) data file on a storage device of said storage facility service provider based on said parameter selection Structure: software code in the memory of a computer that, when executed by the computer processor, stores the data file on some storage device based on a parameter selection

A. Support for claim construction Service Level Agreement (SLA) (claims 1, 4, 21, 23, 38) - The term Service

Level Agreement (abbreviated SLA) appears in independent claims 1, 21, 38 as well as dependent claims 4 and 23. The Specification discloses that the SLA is a

broad concept:

[M]ay include, e.g., but not limited to, an agreement that may indicate the amount of bandwidth available to the user, the number of data files a user may be allowed to transfer to the remote storage facility 106, the maximum size and/or amount of storage available to a user for storing data files, the amount of storage available and/or used by the user, and/or other data transmission or storage agreements, as will be appreciated by those skilled in the art. Ex. 1001, at 7:21-29; 2:1-3. The patent further discloses that the purpose of the SLA is that it may permit or prevent the transfer and/or storage of the data file:

The SLA may permit transfer and/or storage of the data file, or may prevent the transfer if transferring the data file would violate the SLA. Ex. 1001, at 7:29-32. Claim 4 specifically restricts the term SLA to indicating a maximum size of data that the first entity is permitted to store at the remote storage facility. Ex. 1001, at cl. 4. The doctrine of claim differentiation dictates that SLA should be interpreted to include not only maximum data size, but also other permissions or restrictions as well. One of ordinary skill in the art would understand that the broadest reasonable

15 interpretation of this term is therefore any information accessible to the client application that may permit or prevent the transfer of a data file. Ex. 1006, ¶ 15.

Means for receiving (claim 38) – This claim element is a means-plus-function claim element. The function follows: “receiving by at least one computer at a storage facility service provider of a first entity, a scheduled upload transmission of a data file, based on a parameter selection, from a remote client device of second entity resulting from a store as request from a user.” This claim specifically states that the storage facility is coupled to the client device via at least one of a network

service provider (NSP) or an internet service provider (ISP). The patent describes

at various locations the means for receiving a request from the client computer by

the remote storage facility:

The remote storage facility 106 may be coupled to the network 104 through a connection 112. The connection 112 may be a wired and/or wireless connection to the network 104. The client 102, the connection 110, the network 104, the connection 112, and the remote

storage facility 106 may permit the transfer of data files between the client 102 and the remote storage facility 106. Ex. 1001, at 4:60-65.

In 312, the transmission software application 212 of the client 102 may initiate a connection with the remote storage facility 106 across the network 104 at the transfer time. Alternatively, the connection may already be setup and the transfer for may commence according to the parameter selection of 308. Once the connection is setup, the

transmission software application 212 may transfer the data file from the queue to the network 104 for transport to the remote storage facility 106. From 312, flow diagram 300 may continue with 314. In 314, the remote storage facility 106 may receive and store the data file. Ex. 1001, at 7:34-44; see also Fig. 3.

At a client, a user selection of a "store as" command may be received at a graphical user interface (GUI) application program from a user selecting a data file for transfer across a network for storage at a remote storage facility. Ex. 1001, at 4:2-6; see also 4:24-29; 3:5-9

This structure is very general. The patent discloses only that the remote storage

facility may be coupled to the network via a connection that may be wired or

wireless. All communication with the remote storage facility is accomplished via

this network connection. Based on this description, one of ordinary skill would

understand that the structure that corresponds to the claimed function is software code in the memory of a computer at a storage facility service provider that, when executed by the computer processor, receives a data file over a network connection that may be wired or wireless and run by an NSP or an ISP. Ex. 1006, ¶ 15.

The ‘781 Patent describes the way in which the “means for receiving”

function works relative to Fig. 3. Ex. 1001, at 5:54-7:60; Fig 3. One of ordinary

skill in the art would therefore understand that the way in which the means for

receiving is performed is that software executed by a processor and residing in the

memory of a computer at a storage facility service provider receives a scheduled

17 upload transmission of a data file over a wired or wireless network run by an NSP or ISP based on a parameter selection responsive to a store as request. The result of the means for receiving claim element is that a data file is received by the remote storage facility. Ex. 1006, ¶ 15.

Means for storing (claim 38): The function for this limitation follows: “storing by the at least one computer said data file on a storage device of said storage facility service provider based on said parameter selection.” The patent describes the means for storing by the remote storage facility of the data file as follows:

In a further alternative embodiment, the fee may be charged to a network service provider. The RSF 106 in an exemplary embodiment may include, e.g., but not limited to, a secure storage facility including physical and information security, may include any of a number of well-known conventional technologies including, raised floor, rack- mounted, redundant, RAID or mirrored, fault tolerant, mass storage system, which may include, e.g., but not limited to, webservers, application servers, database servers, traffic balancing technologies, archival technologies, public/private key encryption, security and cryptography devices, authentication services, and search engine servers, etc. Ex. 1001, at 5:21-31. See also Ex. 1001, at 5:1-8; 7:43-44; step 314 in Fig. 3; 7:50-55. One of ordinary

skill in the art would understand that the structure described by the patent is very

18 general because the remote storage facility may include any kind of computers and

networks and any kind of storage devices:

[S]torage device 510 (which may include a read only memory (ROM), a hard disk, a flash memory or other non-volatile memory, a redundant array of inexpensive disks (RAID), a storage area network (SAN), a direct access storage device (DASD), and/or small computer system interface (SCSI) or other storage subsystem controller- controlled storage device) Ex. 1001, at 10:35-45. Based on this description, one of ordinary skill would understand that the structure

that corresponds to the claimed function is software code in the memory of a computer that, when executed by the computer processor, stores the data file on some storage device based on a parameter selection. The parameter selection includes (per the wherein clause in the claim) a scheduled transfer time, an encryption selection and at least one of (1) an administrative parameter, (2) indexing information, (3) a compression level, or (4) a security level. Ex. 1006, ¶

15.

The ‘781 Patent is essentially silent on the way in which the “means for storing” function is accomplished. One of ordinary skill would therefore understand that any way of storing a data file into a storage device is substantially the same as the (unspecified) way that the ‘781 Patent stores a data file as long as it is based on a parameter selection as defined in the claim. The result of the means

19 for storing claim element is that a data file is stored by the remote storage facility.

Ex. 1006, ¶ 15.

VII. THE GROUNDS SHOWING THAT PETITIONER HAS A REASONABLE LIKELIHOOD OF PREVAILING A. The Prior Art Discloses Each Claimed Feature And One Of Ordinary Skill Would Be Led To Form This Combination 1. Reasons to Combine Exs. 1002-1005. Dr. Hutchinson’s prior art analysis relies upon three published references

describing the WS_FTP Professional FTP client application and WS_FTP Server

application and one published document describing the WebDAV extensions

supporting quotas to demonstrate that the challenged claims are obvious. All three of the WS_FTP publications describe members of the WS_FTP family of products

produced by the same company, Ipswitch, Inc. Anyone investigating remote storage facilities accessed via a network who was aware of one of the WS_FTP

applications would have been aware of the other products sold by the same

company that are used in the same general problem domain. Ex. 1006, ¶ 31.

The WS_FTP Professional client application is described in the WSFTP8

(Ex. 1002) and WSFTP9SEC (Ex. 1003) documents. One of ordinary skill would combine these two references because they describe the same application program, although different versions. One of ordinary skill would understand that the features available in version 8 of the application would all still be available in the next version, version 9, of the application. Both versions 8 and 9 of the WS_FTP

Professional application were available before the critical date of March 3, 2005.

One of the primary features added in WS_FTP Professional version 9 was support for PGP data file encryption. For ease of reference, this petition will refer to the

WS_FTP Professional client as including both the WSFTP8 (Ex. 1002) and

WSFTP9SEC (Ex. 1003) documents. Ex. 1006, ¶ 32.

The WS_FTP Server application is described in the WSFTPSRV5 (Ex.

1004) document. One of ordinary skill would combine this reference with the two references that describe the WS_FTP Professional client application because the server application complements the client application to provide a complete FTP system. One wishing to implement a complete remote storage service including both client and server would naturally be led to and consider the complementary applications provided by a single vendor. Ex. 1006, ¶ 33.

The WebDAV quota and size properties for DAV collections are described in the WebDAVQuota (Ex. 1005) document. One of ordinary skill would combine this reference with the references that describe the WS_FTP Professional and

WS_FTP Server applications because one of ordinary skill would be aware of both the FTP protocol and the WebDAV protocol as they are directed to the same problem: data transfer. Further, one of ordinary skill would be aware that these two protocols provided very similar functionality: Both protocols allow clients to store and retrieve files from storage services over the network. Both protocols

21 require users using a client application to authenticate themselves to the server before accessing files. One of ordinary skill would further see that the extensions to WebDAV that define quota and size properties for DAV collections allows the user experience to be enhanced by allowing the user to manage its files to avoid running out of allocated storage space and would consider it to be a desirable feature of the WS_FTP product. In fact, adding this feature to the WS_FTP product is a predictable variation that is well within the skill level of one of ordinary skill in the art. Ex. 1006, ¶ 34.

The problem of running out of allocated storage space was an age-old problem that users had to face well before March 2005. This problem has an extremely limited number of solutions: (1) the client can attempt the file transfer knowing that it may fail or (2) the client may check with the server to ensure the transfer will be successful before it is attempted. Both solutions are highly

predictable and one of ordinary skill in the art would have a reasonable expectation

of success. The WS_FTP Server application follows the first approach. The

WS_FTP Server application allows the storage service administrator to specify

global quotas for files, disk space, and bandwidth, or quotas for an individual user.

Ex. 1004, pp. 37-38. The establishment of quotas forms a Service Level

Agreement (SLA) between the user and the service. Requests from clients to store

files on the server that attempted to exceed these quotas would fail, but that failure

22 would not be detected until after the request was attempted and the complete contents of the file had been transferred to the server. This would expend needless

processing time and network resources and increase network congestion because

the file transfer is attempted even though it will ultimately fail. Ex. 1006, ¶ 35.

One of ordinary skill in the art would recognize that a much more efficient

way–the second approach–is to check the available space on the server before

attempting the file transfer. This more efficient alternative of enforcing restrictions

on the storage space that a user could consume provides information to the client

concerning the amount of space that was available to him, allowing the client to

discover for himself that an attempt to store a large file would fail before ever expending the computing resources to do so, thus conserving computing and network resources and reducing network congestion. To do this, the conditions of the SLA between the service and the user would be made available to the client

application executing on the user’s behalf. With access to the terms of the SLA,

the client could examine the SLA and discover for itself that an attempt to store a

file that was too large was doomed to fail. This second approach is followed by

the WebDav extensions (Ex. 1005). Ex. 1006, ¶ 35.

One skilled in the art would be aware of these two alternative ways of

enforcing quotas on the user’s use of the storage services resources: the FTP technique of the client attempting to store files and discovering that one had

23 exceeded one’s quota by having the server return an error indication, and the

WebDAV technique of giving the client access to the SLA so that it could

determine for itself whether to attempt to store a large file. One skilled in the art

would readily see the advantage of discovering the failure early, before the entire

content of the large file had been transferred to the server, and would therefore be

motivated to combine the WebDAV technique of providing information to the

client with the FTP protocol as described in Exs. 1002-1004. Ex. 1006, ¶ 36.

2. Prior Art Analysis The WS_FTP Professional application discloses many of the features of the

‘781 Patent claims. For example:

a. It is an application with a graphical user interface (GUI) that allows a user to select a “store as” command, select a data file to be stored, and select a name for the data file to be stored on a remote storage facility. See Ex. 1002, pp. 2-3, 5-6, 25, 41. b. It allows a number of parameters to be selected by the user that control the manner in which the file is transferred to the remote storage facility, including controlling when the file should be transferred, whether and how the file has been or should be compressed, and whether the file should be encrypted. See Ex. 1002, pp. 17-19, 45, 47, 53, 73, 102-103; Ex. 1003, p. 15-17; Ex. 1004, pp. 37-38. c. It is capable of initiating a network connection to the remote storage facility, of authenticating the user, and transferring the file in a

manner consistent with the parameters that have been specified by the user. See Ex. 1002, pp. 17-19, 45, 47, 53, 73, 102-103. d. It supports “dragging-and-dropping” as an interaction technique for the user to indicate that a file is to be transferred to the remote storage facility. See Ex. 1002, pp. 5-6, 25, 27. e. It supports the user requesting that it retrieve a data file from the remote storage facility. It then authenticates the user to the remote storage facility, requests that the data file be sent by the remote storage facility and receives the transmitted data file from the remote storage facility. See Ex. 1002, pp. 3, 14. f. It supports the user requesting that it search the remote storage facility for data files. It then gathers search terms from the user, authenticates the user to the remote storage facility, sends the search terms and receives the resulting list of data files from the remote storage facility, and displays the resulting list to the user. See Ex. 1002, pp. 63-67; Ex. 1006, ¶ 37. The WS_FTP Server application also discloses many of the features of the

‘781 Patent claims. For example:

a. It is an application that implements a storage facility that can be operated by a service provider. It receives requests to upload data files from client applications such as the WS_FTP Professional application. It authenticates the user using information provided by the client application and stores the received data file on a storage device of the storage facility. See Ex. 1004, pp. 1-2, 105.

b. It is capable of receiving previously compressed data files including data files compressed using the JPEG and ZIP compression techniques. See Ex. 1004, pp. 1, 28. c. It is capable of receiving requests to retrieve data files from client applications, initiating an authentication sequence between the client application and itself, and transferring the requested data file to the client application. See Ex. 1004, p. 100, 104. d. It is capable of receiving requests to search the storage facility, of initiating an authentication sequence between the client application and itself, and generating a list of data files as a result of the search. It can provide this list of data files to the client application. See Ex. 1004, p. 102, 105; Ex. 1006, ¶ 38. The WebDAV Quota document combined with the WS_FTP Professional application disclose additional claimed features. For example:

a. The combination is capable of retrieving the details of the service level agreement (SLA) between the user and the storage facility concerning the amount of data that the user may store in the storage facility. See Ex. 1005, p. 3-5. b. The combination is capable of using information from the SLA to determine whether to permit the storing of a data file in the storage facility. See Ex. 1005, p. 3. The combination of the WS_FTP Pro User’s Guide (Ex. 1002), the WS_FTP

Professional Security Guide (Ex. 1003), the WS_FTP Server User’s Guide (Ex.

1004) and the WebDAVQuota (Ex. 1005) disclose all features of the challenged

26 claims and one of ordinary skill would be strongly motivated to combine these

references as Dr. Hutchinson has done. Ex. 1006, ¶ 39.

3. The WS_FTP References (Exhibits 1002-1004) Disclose An Equivalent To Claim 38’s “Means For Receiving” And “Means For Storing” Elements Exhibits 1002-1004 (the “WS_FTP references”) disclose an equivalent to the

means for receiving and means for storing claim elements of claim 38. See also

claims 21 and 38 in § VII(B) infra.

Means for receiving: The WS_FTP references disclose the same function as the means for receiving limitation because WS_FTP Server allows client devices to connect to the server and upload files, where the uploaded files may have been scheduled and the uploading is based on a parameter selection at the client device responsive to a store as command. See Ex. 1004, pp. 1, 105; Ex.

1002, pp. 17-19, 25, 41, 45, 47, 53; Ex. 1003, pp. 15-17; see also Ex. 1004, pp.

100, 102-103. The WS_FTP references disclose the same structure as the means

for receiving limitation because the structure of WS_FTP Server is software code

in computer memory of a storage facility service provider that when executed by

the computer processor receives a data file over a network connection that is run

by an ISP. See Ex. 1004, p.1; Ex. 1002, p. 1. Moreover, the WS_FTP references

perform the claimed function in the substantially the same way as the means for

receiving limitation because WS_FTP Server is software executed by a processor

27 and resident in the memory of a computer at a storage facility service provider that receives a transmission of a data file over a network connection run by an ISP, where the transmission of the data file may be scheduled and based on a parameter

selection and responsive to a store as request. See Ex. 1004, pp. 1, 105; Ex. 1002,

pp. 1, 17-19, 25, 41, 45, 47, 53; Ex. 1003, at 15-17; see also Ex. 1004, pp. 100,

102-103. Lastly, the WS_FTP references achieve the same result because the data

file is received by WS_FTP Server which is run at the storage facility. See Ex.

1004, pp. 1, 105; Ex. 1006, ¶ 40.

This element includes additional limitations that one of ordinary skill would

not consider to be a part of the means for receiving limitation but which are

nevertheless disclosed by the WS_FTP prior art. This limitation follows: “the user

having an account associated with the first entity, the scheduled upload

transmission determined to be permitted based on enforcement of an identified

service level agreement (SLA) between the first entity and the second entity, the

storage facility and the remote client device coupled to one another via at least one

of: a network service provider or an internet service provider (ISP), the second

entity being at least one of an individual, the user, or a company.” These

limitations are disclosed by the prior art because WS_FTP Server supports user

accounts and SLAs between the users and the ISP. See Ex. 1004, pp. 1-2, 105; Ex.

1006, ¶ 40.

Means for storing: The WS_FTP references disclose the same function of the means for storing limitation because WS_FTP Server stores files that are uploaded in the server computer’s file system based on a parameter selection. See

Ex. 1004, pp. 1, 100, 105; Ex. 1002, pp. 47, 53, 73; Ex. 1003, pp. 15, 16-17; Ex.

1004, pp. 100, 102-103. The WS_FTP references disclose the same structure as the means for storing limitation because the structure of WS_FTP Server is software code in computer memory that when executed by the computer processor causes the computer to store the received data file on a storage device of the server computer based on a parameter selection. See Ex. 1004, pp. 1, 100, 105; see also claim elements 1k and 21n in § VII(B). Moreover, the WS_FTP references perform the claimed function in the substantially the same way as the means for receiving limitation because as described above, the ‘781 Patent is essentially silent on the way in which the “means for storing” function is accomplished, and therefore any way is substantially the same as that in the ‘781 Patent. The

WS_FTP references disclose one way that is substantially the same as the way in which the means for storing element works because it stores the data file onto a storage device based on a parameter selection. Ex. 1004, p. 105; Ex. 1002, pp. 47,

53, 73; Ex. 1003, pp. 15, 16-17; Ex. 1004, pp. 100, 102-103; see also elements 1k and 21n in the below analysis and Dr. Hutchinson’s claim chart. Lastly, the

WS_FTP references achieve the same result because WS_FTP Server stores the

29 received data file on a storage device on the server computer which is at the remote storage facility. See Ex. 1004, pp. 1, 100, 105. Ex. 1006, ¶ 40.

4. The Prior Art Was Publicly Available Before March 3, 2005 Both Dr. Hutchinson as well as Jodi Gregory testify as to the public availability of references 1002-1005. Ex. 1006, ¶ 41-42; Ex. 1007.

B. Element-By-Element Analysis Of Challenged Claims The below analysis consists of testimony from Dr. Hutchinson (in italics) as well as quotes from and citations to Exs. 1002-1005.

[1a] 1. A method comprising: WSFTP8 discloses the operation of WS_FTP Pro Version 8.0, a PC client application that allows a user to transfer files to and from a remote FTP (File Transfer Protocol) or SFTP server on the Internet. Ex. 1006, p. 36.

A vast store of software applications, games, images, and other types of files are available on FTP and SFTP sites all over the world. A site is a computer system (“host”) that uses an Internet protocol called FTP (File Transfer Protocol) or SFTP (Secure File Transfer Protocol.) FTP and SFTP offers fast and accurate transfers of large files or collections of files between computers on the Internet. Ex. 1002, p. 1.

an FTP server program. Once connected to an FTP site, you can copy files to and from your local PC or another FTP site. Ex. 1002, p. 2. [1b] receiving by at least one computer, at a client device of a first entity, a selection by a user of a store as command at a graphical user interface (GUI) executing on said client device, the first entity being at least one of an individual, the user, or a company; WSFTP8 discloses that WS_FTP Pro includes a graphical user interface (GUI) that allows the user to execute a variety of commands. Ex. 1006, p. 36.

The Classic interface is a standard Windows application that looks similar to a two-paned window. When your PC (the “Local System”) connects to an FTP server (the “Remote System”), the WS_FTP Pro Classic interface displays a window with your PC’s files and folders on the left and the FTP site’s files and folders on the right. With the contents of both systems displayed, you can easily locate files on one system and transfer them to a specific folder on the other system. The Classic interface looks similar to this:

Ex. 1002, p. 5.

The second interface of WS_FTP Pro is the Explorer interface. The Explorer interface uses the same software engine as the Classic

31 interface, but it lets you copy and move files within a system that has the same look and feel as Windows Explorer. The WS_FTP Pro Explorer interface looks similar to one of the following:

Ex. 1002, pp. 5-6.

The “store as” command is called “upload” in WS_FTP Pro and is used to transfer a file from a local computer to an FTP Site. Ex. 1006, p. 38.

Transferring means moving or copying files or folders between computers. If you transfer a file from your computer (local system) to an FTP Site (remote system) it is called an upload. Ex. 1002, p. 25.

Select a file or folder and click the Upload or Download Arrow to transfer it.

Ex. 1002, at 25.

Another “store as” command in WS_FTP Pro is “Batch mode”. In Batch mode, the user first selects the batch mode command and then selects the file or files to be transferred. Ex. 1006, pp. 38-39; Ex.

1002, p. 41. [1c] receiving by the at least one computer a selection of a data file on said client device by the user for transfer across a network for storage at a remote storage facility of a second entity, the user having an associated login account with the second entity, the second entity being at least one of a network service provider or an internet service provider (ISP); Receiving . . . a selection . . . for storage at a remote storage facility of a second entity WSFTP8 discloses selecting a data file for transfer to a remote FTP site across the Internet. Ex. 1006, p. 39; see [1b].

The user having an associated login account with the second entity WSFTP8 discloses a user having an associated login account. WSFTP8 discloses supplying a user ID and password to log onto an FTP site. Ex. 1006, p. 39.

Ex. 1002, p. 3.

WSFTP8 discloses configuring a Site Profile including a User ID and Password. Selecting a configured site and pressing the Connect button causes WS_FTP to connect to the site by logging in using the configured User ID and Password. Ex. 1006, p. 40; Ex. 1002, pp. 11- 12.

The second entity being . . . an internet service provider (ISP) WSFTP8 discloses that the second entity, the provider of the remote storage facility, may be an ISP (Internet Service Provider) that designates the computer system that will store the data file. Ex. 1006, p. 41.

WS_FTP Pro also allows you to upload files -- that is, copy files from your PC to other computers. For example, you would upload files if you need to place your Web pages on a computer system designated by your ISP (Internet Service Provider), or if you want to store a picture of something you want to sell through an online auction site.

Ex. 1002, p. 1. [1d] prompting by the at least one computer the user for a file name for said data file at said GUI; WSFTP8 discloses GUI dialogs that prompt the user to select a file (shown with a file name) to transfer. Selecting a local file selects the local and remote file names used for the transfer. The remote file

name is the base file name of the local file combined with the path of the selected remote directory. Ex. 1006, p. 41.

Uploading a File 1. Select the directory you want to upload the file to in the Remote System list. 2. In the Local System list, select the file you want to upload. 3. Click the upload transfer arrow. It is the one that looks similar to: --> 4. When the file is uploaded, it will appear in the Remote System list.” Ex. 1002, p. 14; see also Ex. 1002, p. 14.

Use the Batch Mode. You can use the Batch Mode to add requests to the Transfer Manager (Classic Interface only.) Batch mode (Classic Interface only) 1. Connect to an FTP server. 2. Click the Batch Mode button. 3. Select a file or files and click the transfer arrow. The file will be placed in the FTP Transfer Manager. Ex. 1002, p. 41.

WSFTP8 allows the user to select the file name of the selected data

file. Ex. 1006, p. 42; see also Ex. 1002, p. 83 (renaming files).

[1e] associating by the at least one computer said file name with said data file; WSFTP8 discloses associating the local file name with the data file when the data file is selected as the file to upload. The remote file name is associated with the combination of the base file name of the data file with the path of the remote directory or with a new file name specified by the user. Ex. 1006, pp. 42-3; see [1d].

[1f] receiving by the at least one computer a parameter selection at said GUI, said parameter selection coupled to said account and coupled to a service level agreement (SLA) between the first entity and the second entity, said parameter selection comprising a scheduled transfer time, an encryption selection, and at least one of: Receiving . . . a parameter selection at said GUI WSFTP8 discloses receiving parameter selections when defining and scheduling a file transfer task. Ex. 1006, p. 43; see [1b].

WSFTP8 discloses receiving parameter selections that define a site profile, including Site Options that control how WS_FTP Pro connects to a specific remote server and how it performs once a connection is made. The Site Options are used for file transfer tasks that execute under a connection established using the site profile. The Site Options include the host name or IP address of the remote server and the User ID (user name) password for the account given to the user (first entity) by the FTP site administrator or owner (second entity). Ex. 1006, p. 43.

For most FTP connections, WS_FTP Pro uses site profiles to store information it needs to establish the connection with the Server. These profiles control how WS_FTP Pro connects to the remote server, and how it performs once the connection is made. Site profiles are created and maintained on the Connect to Remote Host dialog. Ex. 1002, p. 17.

Said parameter selection coupled to said account See Ex. 1002, pp. 18-19 (Host Info Dialog of Site Options). Coupled to [SLA] between the first entity and the second entity

The Quota and Size Properties for DAV Collections document (WebDAVQuota) discloses associating file quotas with users or collections. Ex. 1006, p. 44.

WebDAV servers based on [RFC2518] have been implemented and deployed with quota restrictions on collections and users, so it makes sense to standardize this functionality to improve user experience and client interoperability. This specification requires WebDAV because it requires PROPFIND support and relies on the WebDAV definition of collections and properties, including the definitions for live and protected properties (see section 1.4.2 of [RFC3253] for the definition of protected properties). The reasons why WebDAV servers frequently have quotas enforced are the same reasons why any storage system comes with quotas.” Ex. 1005, p. 3; see also p. 1 (abstract).

The approach to meeting the requirements and scenarios outlined above is to define two live properties. This specification can be met on a server by implementing both DAV:quota-available-bytes and DAV:quota-used-bytes on collections only. Ex. 1005, pp. 3-4.

allocation that can be allocated to this resource before further allocations will be refused. It is understood that this space may be consumed by allocations to other resources. Ex. 1005, p. 4.

WebDAV Client applications can retrieve the quota-available-bytes property from a server using the PROPFIND operation defined by WebDAV (RFC2518). WebDAV Client applications use the value of this property to determine the remaining space that may be used to store data files by the user. WSFTPSRV5 discloses global and per- user disk quotas controlling the maximum number of bytes a user can consume on the FTP host’s drives. Ex. 1006, pp. 45-46.

You can set user global quotas for files, disk space, and bandwidth (the quotas apply to each user on the FTP host) or per individual user or user group. A user quota setting overrides a global (or host) quota setting as long as the user quota setting is not zero. To set a global value for the FTP host, or for a user group: 1. In the left pane, expand the FTP host, then select the appropriate quota type: Quota Limits (for file quota or disk space quota) or Bandwidth Allocation. To set global Quota Limits: o … o In the Max disk space box, enter the maximum number of bytes a user can consume on the FTP host’s drives. To set the maximum number of files, maximum amount of disk space, or maximum bandwidth on a per user basis: 1. In the left pane, expand the FTP host. Select Users. The users list appears in the right pane.

2. Select the user and click Edit. The User Options dialog appears. 3. In each user’s properties, set the quotas for the user. Note: This setting overrides a global quota setting. Ex. 1004, pp. 37- 38.

Scheduled transfer time WSFTP8 discloses using the Transfer Manager and Scheduler to schedule items for transfer at a specified date, time, and frequency. A scheduled item is added to the Scheduler. Ex. 1006, p. 47; see [1b].

How to... Schedule a transfer To schedule a transfer from the Transfer Manager: 1 Select a request, file, or folder. 2 From the Transfers menu, select Schedule. 3 In the Schedule Item Properties dialog, the date, time, and frequency of the transfer. 4 Click OK to add the item to Scheduler. Ex. 1002, p. 43.

The WS_FTP Pro Scheduler lets you create FTP tasks or “jobs” for transfers that you need to perform repeatedly or manually at a particular time. Each task can consist of any number of uploads and downloads of files and folders. Ex. 1002, p. 73; See also id. (Using the Scheduler); see also p. 74 (Examples); see also p. 75 (Updating a Web Site on a Nightly Basis).

Encryption selection

WSFTP8 discloses using encryption to encrypt the data file during transfer if the site profile for the remote site is configured to use an SSL or SSH connection. Ex. 1006, p. 50.

SSL (Secure Socket Layer) is a protocol for encrypting and decrypting data sent across direct internet connections. When a client makes an SSL connection with a server, all data sent to and from that server is encoded with a complex mathematical algorithm that makes it extremely difficult to decode anything that is intercepted. Ex. 1002, p. 45.

To make an SSL connection with a server configured for SSL. 1. Create a site profile and select either FTP/Implicit SSL or FTP/SSL (AUTH SSL) when asked for the server type.” Ex. 1002, p. 47; see also p. 53 (SSH; How to make an SSH connection).

WSFTP9SEC discloses configuring a site to enable PGP mode to encrypt transferred files automatically each time files are uploaded to the site. Ex. 1006, p. 51.

PGP is a key-based encryption method used to encrypt files so that only their intended recipient can receive and decrypt them. PGP is used widely to secure e-mail communications, but its technology can also be applied to FTP.

PGP works by using two cryptographic keys to secure files. A Public Key is used to encrypt the file so that only its corresponding Private Key can decrypt it. Note: Unlike SSL and SSH, PGP is not a type of connection, but a method of encrypting a file prior to uploading it. As such, PGP Mode

can be used in conjunction with standard FTP, SSL or SSH connections.” Ex. 1003, p. 15; see also pp. 16-17 (How to Enable PGP Mode; How to Enable PGP Mode for a Site by Default). [1i] a compression level; or WSFTPSRV5 discloses that an FTP client (such as WS_FTP Pro) can choose between normal transfers and using compression for data file transfers. WSFTPSRV5 discloses the standard commands (defined by the RFC 959 official specification for FTP) that an FTP client (such as WS_FTP Pro) issues to an FTP server, such as the MODE command that specifies the data transfer mode using a single Telnet character code. The disclosed codes include “C – Compressed,” which indicates a compressed transfer mode. Ex. 1006, p. 53.

The standard commands that an FTP client (such as WS_FTP Pro) issues to an FTP server are listed here with a brief explanation that has been adapted from RFC 959. The command syntax is presented using BNF (Backus-Naur Form) notation where applicable. Ex. 1004, p. 100.

MODE (TRANSFER MODE) MODE The argument is a single Telnet character code specifying the data transfer mode. The following codes are assigned for transfer modes: S - Stream, B - Block, C - Compressed. The default transfer mode is Stream.” Ex. 1004, pp. 102-103. [1j] a security level: A user using WS_FTP Pro can specify the desired level of security by choosing between the various forms of encryption that are supported

in the WS_FTP Pro application. Ex. 1006, p. 54; see Encryption Selection, [1f]. [1k] applying by the at least one computer said parameter selection to said data file; The parameter selection consists of a scheduled transfer time, an encryption selection, and at least one of an administrative parameter, indexing information, a compression level, or a security level. The WS_FTP Pro application supports a scheduled transfer time, an encryption selection, a compression level, and a security level. Ex. 1006, p. 54

Scheduled transfer time WSFTP8 discloses applying the scheduled transfer time to determine when to transfer the data file. Ex. 1006, p. 54.

The WS_FTP Pro Scheduler will run the task at the time you schedule it to run, or you can make the task run on demand by using the Run Now option. Ex. 1002, p. 73; see [1f].

Encryption selection and security level WSFTP8 discloses encrypting file data during a transfer to a site configured for SSL or SSH. Ex. 1006, p. 54; see Ex. 1002, p. 47 (How to make an SSL connection); p. 53 (SSH; How to make an SSH connection).

WSFTP9SEC discloses encrypting the data file using a Public Key for transfers to a site configured for PGP. Ex. 1006, p. 55; Ex. 1003, pp. 15-17.

Compression level WSFTPSRV5 discloses that an FTP client (such as WS_FTP Pro) can choose between two compression levels. Ex. 1006, p. 57; see [1i]. [1l] identifying by the at least one computer said SLA; The Quota and Size Properties for DAV Collections document (WebDAVQuota) discloses associating file quotas with users or collections. Ex. 1006, p. 57; See SLA, [1f]. [1m] determining by the at least one computer whether to transfer said data file based on enforcing said SLA; The Quota and Size Properties for DAV Collections document (WebDAVQuota) discloses a collection of properties that a WebDAV client application can use to determine whether to transfer a data file based on enforcing a Service Level Agreement between the client and the server. Ex. 1006, p. 57.

The client accesses the DAV:quota-available-bytes property from the server using the PROPFIND WebDAV request, and if it is less than the size of the data file, then the transfer is not permitted. Id.

protected properties (see section 1.4.2 of [RFC3253] for the definition of protected properties). The reasons why WebDAV servers frequently have quotas enforced are the same reasons why any storage system comes with quotas. Ex. 1005, p. 3.

Name: quota-available-bytes Namespace: DAV: Purpose: Indicates the maximum amount of additional storage available to be allocated to a resource. DTD: The DAV:quota-available-bytes property value is the value in octets representing the amount of additional disk space beyond the current allocation that can be allocated to this resource before further allocations will be refused. It is understood that this space may be consumed by allocations to other resources.” Ex. 1005, p. 4; see also p. 6 (Request; Response); see SLA, [1f]. [1n] queuing, if transfer is determined to be permitted, by the at least one computer said data file in a queue for scheduled upload transmission to said remote storage facility of the second entity at said scheduled transfer time; and WSFTP8 discloses queuing a file transfer task to upload a data file to a remote site at the scheduled transfer time. Ex. 1006, p. 59 Ex. 1002, p. 73 (Using the Scheduler); see [1f].

[1o] transferring, if transfer is determined to be permitted, by the at least one computer said data file to said remote storage facility at said transfer time automatically without user interaction based on said parameter selection. WebDAVQuota discloses blocking a requested file transfer if the transfer is determined to be disallowed, based on file size and the available storage resources on the server. Otherwise, the requested file transfer is allowed. Ex. 1006, p. 60; see [1f].

WSFTP8 discloses running an upload file transfer task at a scheduled transfer time to transfer the data file to the remote site automatically without user interaction based on the configured file transfer task and site profile parameters. Ex. 1006, p. 60; see [1b], [1f], [1k] and [1n].

WSFTP8 discloses both Classic and Explorer GUIs, in both of which the user may designate a file transfer by selecting a file in the local window and then dragging and dropping the file to a remote directory. The Explorer interface has the same look and feel as Windows Explorer, which allows files to be copied by dragging and dropping to an icon. Ex. 1006, p. 60; Ex. 1002, p. 25 (Drag and Drop); p. 5 (The Classic Interface of WS_FTP Pro); pp. 5-6 (The Explorer Interface of WS_FTP Pro).

WSFTP8 discloses hotdrops that are shortcuts to remote directories. Dragging and dropping files to a hotdrop icon selects the files and folders to be uploaded to the hotdrop site. Ex. 1006, p. 62.

Hotdrops are shortcuts to remote directories that you can create anywhere on your local system. They appear as files with the extension .fhf. … You can also drag files and folders to the icon and drop them. The files and folders will then be automatically uploaded to that site. The Transfer Manager appears to show the progress of the transfers. Ex. 1002, p. 27.

[4a] 4. The method according to claim 1, See [1a]. [4b] wherein said SLA indicates a maximum size of data said first entity is permitted to store at said remote storage facility. WebDAVQuota discloses the client application retrieving SLA information from the server, said SLA information being the maximum size of data the client is permitted to store at the server. Ex. 1006, p. 62; see [1f]. WSFTPSRV5 discloses global and per-user disk quotas controlling the maximum number of bytes a user can consume on the FTP host’s drives. Ex. 1006, p. 63; see [1f]. [5a] 5. The method according to claim 1, See [1a]. [5b] wherein said step of transferring said data file further comprises encrypting by the at least one computer said data file according to at least one of said encryption level or said security level. WSFTP8 discloses using encryption to encrypt the data file during transfer if the site profile for the remote site is configured to use an SSL or SSH connection. Ex. 1006, p. 63. WSFTP9SEC discloses configuring a site to enable PGP mode to encrypt transferred files

automatically each time files are uploaded to the site. Ex. 1006, p. 63; see Encryption selection, [1f]. [6a] 6. The method according to claim 1, See [1a]. [6b] wherein said step of transferring said data file further comprises at least one of compressing by the at least one computer said data file according to said compression level or transferring said data file wherein said data file was previously compressed, wherein said compression comprises at least one of MPEG, JPEG, TIFF, and/or PDF. WSFTP8 discloses transferring previously compressed files in binary mode, including JPEG (.jpg) files. Ex. 1006, p. 63.

A file that is a bitmap, an executable, or compressed (.bmp, .jpg, .exe, .zip) should be transferred in binary mode. (Binary mode should also be used if there is no file extension or the file extension is not registered.) This is the default mode. Ex. 1002, p. 28. [7a] 7. The method according to claim 1, See [1a]. [7b] wherein said step of transferring said data file further comprises initiating by the at least one computer a connection over said network. WSFTP8 discloses initiating an FTP connection to the remote site over the Internet. Ex. 1006, p. 64.

WS_FTP Pro turns your PC into a client, allowing it to communicate with virtually all types of FTP sites. When your PC is connected to the Internet (via a modem or local area network), WS_FTP Pro can connect to any system that has a valid Internet Address and is running an FTP server program. Once connected to an FTP site, you can copy files to and from your local PC or another FTP site. Ex. 1002, p. 2.

[8a] 8. The method according to claim 1, further comprising: See [1a].

[8b] receiving by the at least one computer a request from the user to retrieve said data file from said remote storage facility; WSFTP8 discloses receiving a request from the user to download a data file from a remote site. Ex. 1006, p. 64.

Once you have connected to a site, you are ready to transfer a file. Downloading a File 1. Select the directory you want to download the file to in the Local System list. 2. In the Remote System list, find the file by clicking on the folder it is stored in (unless the file is in the directory you connected to.) 3. Select the file you want to download. 4. Click the download transfer arrow. It is the one that looks similar to: <-- When the file is downloaded, it will appear in the Local System list. Ex. 1002, p. 14. [8c] initiating by the at least one computer an authentication sequence between said client device and said remote storage facility; and WSFTP8 discloses an FTP client logging onto a remote FTP site with a username and password. Ex. 1006, p. 65; See The user having an associated login account with the second entity, [1c]; Ex. 1002, p. 3 (Logging Onto an FTP Site).

[8d] receiving by the at least one computer said data file from said remote storage facility to said client device. WSFTP8 discloses receiving a file downloaded from a remote site to the local system. Ex. 1006, p. 65; Ex. 1002, p. 14 (Downloading a File); see [8b]. [9a] 9. The method according to claim 1, further comprising: See [1a].

[9b] receiving by the at least one computer a search request from the user for said remote storage facility; WSFTP8 discloses the WS_FTP Find Utility receiving a search request from the user for files on a remote FTP site that match the user’s search criteria. Ex. 1006, p. 66.

The WS_FTP Find Utility lets you search an FTP site for files that match your criteria, and then transfer the found files to your PC. This is especially useful for anyone who is looking for one particular file on a large, complex FTP site. Ex. 1002, p. 63.

“To find a file on an FTP site: … 3. Enter your search criteria. You can search by name, date modified, size, or any combination of the three. Click Find Now. The Find Utility connects to the FTP site and searches according to your criteria.” Ex. 1002, p. 63. [9c] initiating by the at least one computer a user authentication sequence; WSFTP8 discloses logging on to an FTP site with a user ID and password upon connecting to an FTP site. This must be done before performing any other actions on the FTP site. Ex. 1006, p. 66

The FTP process begins when a connection is made between an FTP client and an FTP site. After establishing communication, the client “logs on” with a user ID and password. The user ID and password identify you to the site. Ex. 1002, p. 3. [9d] providing by the at least one computer a prompt to said user; WSFTP8 discloses the Find Utility prompting the user for search criteria, including Name & Location, Data Modified, and Advanced search criteria. Ex. 1006, p. 66; Ex. 1002, p. 63 (Using the Find Utility).

[9e] receiving by the at least one computer search terms from said user; and WSFTP8 discloses the Find Utility receiving search criteria, including name, date modified, size or any combination of the three. Ex. 1006, p. 67; see [9d]. [9f] receiving by the at least one computer a results list of one or more data files corresponding to said search terms. WSFTP8 discloses the Find Utility displaying a list of files matching search criteria at the remote FTP site. Ex. 1006, p. 67; Ex. 1002, p. 65. [10a] 10. The method according to claim 9, further comprising See [9a].

[10b] providing by the at least one computer said results list of one or more data files to said user WSFTP8 discloses displaying to the user a list of files matching the search criteria. Ex. 1006, p. 68; see [9f]. [11a] 11. The method according to claim 9, See [9a].

[11b] wherein said results list of one or more data files is generated in response to the user entering at least one of a date, a word, a letter sequence, a number sequence, and/or a letter and number sequence at said client device. WSFTP8 discloses the user entering search criteria, including a name (word, letter sequence, or letter and number sequence), date modified (date), size (number sequence), or any combination of the three. Ex. 1006, p. 68; see [9d]. WSFTP8 discloses the user entering search text used to match by file name. Ex. 1006, pp. 68-69; Ex. 1002, p. 65.

WSFTP8 discloses the user entering a date when searching for a file modified during a specific time period. Ex. 1006, p. 69; Ex. 1002, p. 66.

WSFTP8 discloses the user entering a file size (number sequence), when searching for files less than or greater than a specified size. Ex. 1006, p. 69; Ex. 1002, p. 67 (Finding a File Smaller Than a Certain Size). [16a] 16. The method according to claim 1, further comprising: See [1a].

[16b] providing by the at least one computer a request to said remote storage facility; WSFTP8 discloses a large number of requests that the client application can make to a remote storage facility including requests to transfer a data file from the server to the client computer. Ex. 1006, p. 70; Ex. 1002, p. 2 (FTP). [16c] initiating by the at least one computer an authentication sequence; and WSFTP8 discloses initiating authentication on the local NT, Windows 2000 or XP workstation when scheduling a script or upload task. Ex. 1006, pp. 70-71.

Ex. 1002, p. 74 (“6 If you are on an NT . . . workstation, you must enter your . . . login and password. . . .”); p. 75 (“5. If you are on an NT . . . workstation, you must enter your . . . login and password. . . .); see also (Updating a Website on a

Nightly Basis).

[16d] authenticating the user by the at least one computer. WSFTP8 discloses authenticating the user. Ex. 1006, p. 71; see [16c] [17a] 17. The method according to claim 16, wherein said step of initiating an authentication sequence further comprises: See [16a].

[17b] receiving by the at least one computer identification information from the user; and WSFTP8 discloses receiving the NT, Windows 2000, or XP user login and password from the user. Ex. 1006, p. 71; see [16c]. [17c] providing by the at least one computer said identification information for comparison with stored identification information. WSFTP8 discloses authenticating the user to NT, Windows 2000, or XP, which includes comparing the entered password with the identification information stored by NT, Windows 2000, or XP. Ex. 1006, p. 72; see [16c]. [21a] 21. A method comprising: See [1a]. [21b] receiving by at least one computer at a storage facility service provider of a first entity, a scheduled upload transmission of a data file, WSFTPSRV5 discloses WS_FTP server providing an FTP site that users connect to (via the Internet) and upload files that are stored on

the local PC. Ex. 1006, p. 72; Ex. 1004, p. 1 (What is Ipswitch WS_FTP Server?).

Scheduled upload transmission of a data file WSFTP8 discloses running an upload file transfer task at a scheduled transfer time to transfer a data file to the remote site. Ex. 1006, p. 72; see [1b], [1f], [1k], [1n], and [1o].

Storage facility service provider of a first entity WSFTP8 discloses uploading to an FTP site operating on a computer system designated by an ISP. Ex. 1006, p. 72; Ex. 1002, p. 1 (Why FTP?). [21c] based on a parameter selection, from a remote client device of—a second entity resulting from a store as request from a user, See [1f], [1i], and [1j].

[21d] the user having an account associated with the first entity, WSFTPSRV5 discloses users using an FTP client to log on to a user account on an FTP host that operates under WS_FTP Server. Ex. 1006, p. 73; Ex. 1004, p. 2 (How WS_FTP Server Works). See also Said parameter selection coupled to said account, [1f]. [21e] the scheduled upload transmission determined to be permitted based on enforcement of an identified service level agreement (SLA) between the first entity and the second entity, See [1m].

[21f] the storage facility and the remote client device coupled to one another via at least one of: a network service provider or an internet service provider (ISP), WSFTP8 discloses uploading to an FTP site operating on a computer system designated by an ISP. Ex. 1006, p. 74; Ex. 1002, p. 1 (Why FTP?). [21g] the second entity being at least one of an individual, the user, or a company, Ex. 1004, p. 1 (What is Ipswitch WS_FTP Server?); p. 2 (How FTP Works; How

WS_FTP Server Works); See Coupled to a service level agreement (SLA) between the first entity and the second entity, [1f].

[21h] wherein said parameter selection is coupled to said account and coupled to the SLA, See Said parameter selection coupled to said account and Coupled to a service level agreement (SLA) between the first entity and the second entity, [1f].

[21i] wherein said parameter selection comprises a scheduled transfer time, an encryption selection and at least one of: See [1b]; see also Scheduled transfer time and Encryption selection, [1f]

[21l] a compression level; or See [1i].

[21m] a security level; and See [1j]; Encryption Selection, [1f].

[21n] storing by the at least one computer said data file on a storage device of said storage facility service provider based on said parameter selection. WSFTPSRV5 discloses users connecting to an FTP site (operating under WS_FTP Server) and uploading files to the PC running

WS_FTP Server. Ex. 1006, p. 76; Ex. 1004, p. 1 (What is Ipswitch WS_FTP Server?).

WSFTPSRV5 discloses the FTP protocol’s STOR command, which is used to store a file on the FTP server. Ex. 1006, p. 77; Ex. 1004, p. 105 (STOR).

WSFTPSRV5 discloses the server applying the parameter selection to the file upload. The parameter selection consists of a scheduled transfer time (which can only be applied on the client side since the client determines when to make a connection to the server and transfer files), an encryption selection, and at least one of an administrative parameter, indexing information, a compression level, or a security level. Ex. 1006, p. 77.

Compression level Ex. 1004, pp. 100-103 (FTP Commands; MODE (TRANSFER MODE)).

Encryption selection and security level Ex. 1004, p. 27 (Other Options in General Host Settings); p. 79; see also [1f], [1k].

[23a] 23. The method according to claim 21, See [21a].

[23b] wherein said SLA indicates a maximum size of data said second entity is permitted to store at said storage facility service provider. See [4b].

[26a] 26. The method according to claim 21 See [21a].

[26b] wherein said receiving further comprises at least one of compressing said data file according to said compression level or receiving said data file wherein said data file was previously compressed, wherein said compression comprises at least one of MPEG, JPEG, TIFF, PDF, an audio format compression, a video format compression or a data format compression. WSFTP8 discloses WS_FTP Pro transferring previously compressed data files, including JPEG (.jpg) files and ZIP (.zip) archives. Ex. 1006, p. 80; Ex. 1002, p. 28 (Binary Mode).

WSFTPSRV5 discloses WS_FTP Server receiving files transferred by WS_FTP Pro. Ex. 1006, p. 80; Ex. 1004, p. 1 (What is Ipswitch WS_FTP Server?). [27a] 27. The method according to claim 21, further comprising: See [21a].

[27b] receiving by the at least one computer a request at said storage facility service provider to retrieve said data file; WSFTPSRV5 discloses WS_FTP Server receiving an FTP request from an FTP client to retrieve a file from an FTP site. Ex. 1006, pp. 80-81; Ex. 1004, p. 100 (FTP Commands); p. 104 (RETR). [27c] initiating by the at least one computer an authentication sequence between said client device and said storage facility service provider; and WSFTPSRV5 discloses WS_FTP Server issuing FTP protocol replies for initiating user authentication. Ex. 1006, p. 81; Ex. 1004, pp. 108- 109 (Positive Intermediate Replies; Permanent Negative Completion Replies).

WSFTPSRV5 discloses that the storage facility service provider may initiate a call to the client asking for its certificate, which is verified upon connection. Ex. 1006, p. 80; Ex. 1004, p. 81, ¶¶ 1-4; Ex. 1004, p. 84 (Client Certificates are verified upon connection).

[27d] transferring by the at least one computer said data file from said storage facility service provider to said client device. WSFTPSRV5 discloses the FTP server transferring the file from the storage facility service provider to the FTP client device that requested the file. Ex. 1006, p. 82; Ex. 1004, p. 104 (“RETR”). [28a] 28. The method according to claim 21, further comprising: See [21a]. [28b] receiving by the at least one computer a search request at said storage facility service provider; WSFTPSRV5 discloses an FTP server receiving a LIST command to return a list of all files at a specified pathname. Ex. 1006, p. 83; Ex. 1004, p. 100 (FTP Commands); p. 102 (LIST); see also [9b]. [28c] initiating by the at least one computer a user authentication sequence; WSFTPSRV5 discloses the WS_FTP Server initiating a user authentication sequence for username/password authentication and for client certificate verification. Ex. 1006, p. 83; see [27c]. [28d] providing by the at least one computer a prompt to said client device; WSFTPSRV5 discloses the WS_FTP Server requesting the FTP client to authenticate using username/password authentication and client certificate verification, prior to accepting FTP commands that require authentication. Ex. 1006, p. 83; see [27c]. [28e] receiving by the at least one computer search terms from said client device; and WSFTPSRV5 discloses an FTP server receiving a LIST command with parameters including a specified pathname. Ex. 1006, p. 83; see [28b].

[28f] generating by the at least one computer a results list of one or more data files corresponding to said search terms. WSFTPSRV5 discloses an FTP server generating a list of filenames and file details corresponding to the pathname specified in a LIST command. Ex. 1006, pp. 83-84; see [28b], [9f]. [29a] 29. The method according to claim 28, further comprising See [28a]. [29b] providing by the at least one computer said results list of one or more data files to said client device. WSFTPSRV5 discloses an FTP server sending the list of files and file details to WS_FTP Pro (an FTP client). Ex. 1006, p. 84; see [28b], [9f]. [30a] 30. The method according to claim 28, See [28a].

[30b] wherein said results list of one or more data files is generated in response to the user entering at least one of a date, a word, a letter sequence, a number sequence, and/or a letter and number sequence at said client device. WSFTPSRV5 discloses generating a list of files at a pathname (word, letter and number sequence) specified in a LIST command. Ex. 1006, p. 84; see [28b].

WSFTP8 discloses the user entering search criteria including name, date modified, size, or any combination of the three to search an FTP site. Ex. 1006, p. 84; see [9b], [11b].

The list of matching files is generated in response. Ex. 1006, p. 84; see [9f]. WSFTPSRV5 discloses that an FTP client (such as WS_FTP Pro) issues one or more FTP commands to an FTP server (such as

WS_FTP Server) in order to perform operations on the server, including listing files and file details. Ex. 1006, p. 84-85; Ex. 1004, p. 99 (Basics).

WSFTPSRV5 discloses an FTP server receiving a LIST command to return a list of all files at a specified pathname. Ex. 1006, p. 85; see [28b].

WSFTPSRV5 discloses an FTP server receiving an MDTM command to determine the modification time for a file. Ex. 1006, p. 85; Ex. 1004, p. 102.

WSFTPSRV5 discloses an FTP server receiving a SIZE command to determine the transfer size for a file. Ex. 1006, p. 85; Ex. 1004, p. 105. [35a] 35. The method according to claim 21, further comprising: See [21a].

[35b] receiving by the at least one computer a request at said storage facility service provider; WSFTPSRV5 discloses an FTP server (such as WS_FTP Server) receiving commands from an FTP client (such as WS_FTP Pro). Ex. 1006, p. 86; Ex. 1004, p. 99 (Basics); Ex. 1004, at 100 (FTP Commands). [35c] initiating by the at least one computer an authentication sequence; and WSFTPSRV5 discloses the WS_FTP Server initiating an authentication sequence for username/password authentication and for client certificate verification. Ex. 1006, p. 86; see [27c].

[35d] authenticating by the at least one computer the user. WSFTPSRV5 discloses the WS_FTP Server authenticating the user using username/password authentication and client certificate verification. Ex. 1006, p. 86; see [27c]; Ex. 1004, p. 2 (How WS_FTP Server Works – User Accounts). Claim 38 See § VII(A)(3) supra; see claim 21.

VIII. CONCLUSION For the reasons set forth above, Petitioner has established a reasonable likelihood of prevailing with respect to at least one claim of the ‘781 Patent.

Therefore, Petitioner respectfully requests that the Patent Trial and Appeal Board institute an inter partes review and then proceed to cancel claims 1, 3-11, 16, 17,

21, 23, 26-30, 35, and 38.

Respectfully submitted,

OBLON SPIVAK

Dated: November 5, 2014 /Michael L. Kiklis/ Michael L. Kiklis Reg. No. 38,939 Customer Number 22850 Tel. (703) 413-3000 Fax. (703) 413-2220

Petitioner’s Exhibit List (November 5, 2014)

PETITIONER’S EXHIBIT LIST November 5, 2014

Exhibit Description Ex. 1001 U.S. Patent No. 7,702,781 Ex. 1002 WS_FTP Pro User’s Guide, Software Version 8.0, Ipswitch, Inc., Lexington, MA, May 2003 (“WSFTP8”) Ex. 1003 Ipswitch WS_FTP Professional Security Guide, Software Version 9.0, Ipswitch, Inc., Lexington, MA, June 2004 (“WSFTP9SEC”) Ex. 1004 Ipswitch WS_FTP Server User’s Guide, Software Version 5.0, Ipswitch, Inc., Lexington, MA, May 2004 (“WSFTPSRV5”) Ex. 1005 Quota and Size Properties for DAV Collections, draft-itef- webdav-quota-06, February 2005. Available from: https://tools.ietf.org/html/draft-ietf-webdav-quota-06 (“WebDAV Quota”) Ex. 1006 Declaration of Norman Hutchinson, Ph.D. Ex. 1007 Declaration of Jodi Gregory

CERTIFICATE OF SERVICE

The undersigned certifies service pursuant to 37 C.F.R. §§ 42.6(e) and

42.105(b) on the Patent Owner by Express Mail of a copy of this Petition for Inter

Partes Review and supporting materials at the correspondence address of record for the ‘781 patent:

Meyertons, Hood, Kivlin, Kowert & Goetzel, P.C. P.O. Box 398 Austin, TX 78767-0398

Dated: November 5, 2014 By: /Michael L. Kiklis/ Michael L. Kiklis Reg. No. 38,939