Trials@ uspto.gov
`571-272-7822
`
`Paper61
`Entered: July1, 2014
`
`UNITED STATES PATENT AND TRADEM ARK O FFICE
`____________
`
`BEFO RE TH E PATENT TRIALAND APPEALBO ARD
`____________
`
`ZTE CO RPO RATIO N AND ZTE (USA)INC.,
`Petitioner,
`
`v.
`
`CO NTENTGUARD H O LDINGS, INC.,
`PatentO wner.
`____________
`
`CaseIPR2013-00133
`Patent7,523,072 B2
`____________
`
`BeforeJAM ESO N LEE, M ICH AELW . KIM , and
`M ICH AELR. ZECH ER, Adm inistrative Pate ntJudge s.
`
`ZECH ER, Adm inistrative Pate ntJudge .
`
`FINALW RITTEN DECISIO N
`35 U.S.C. §318(a)and 37 C.F.R. §42.73
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`I. BACKGRO UND
`A. Introduction
`O nFebruary11, 2013, ZTE CorporationandZTE (USA)Inc.
`%r PJ<s & filedaPetitionrequestinginte r parte s review ofclaims1p 25 %r g[ X
`V [ T__X a Z X W V _T\‘ f s & ofU.S. PatentNo. 7,523,072 B2 %r g[ X t072 pTgX a gs &)
`Paper3. Inresponsetoanoticeofdefect(s)inthePetition, ZTE fileda
`correctedPetition%r GX g)s & onFebruary15, 2013.1 Paper10. ContentGuard
`2 timelyfiledaPatentO wnerPreliminary
`H oldingsInc. %r 9b a gX a g>h TeW s &
`Response. Paper13. JT^ \a Z \a gb TV V b h a g 9b a gX a g>h TeW tf GeX _\‘ \a Tel
`Response, theBoarddeterminedthattheinformationpresentedinthe
`PetitiondemonstratedthattherewasareasonablelikelihoodthatZTE would
`prevailinchallengingclaims1p 25 asunpatentableunder35 U.S.C.
`§102(b). Pursuantto35 U.S.C. §314, theBoardinstitutedthisproceeding
`onJuly1, 2013, astothechallengedclaimsofthet*1, c TgX a g) GTc X e 15
`
`%r ;X V )s &)
`Afterinstitutionoftrial, ContentGuardtimelyfiledaPatentO wner
`Response(Paper31’ r GF HX f c )s &’ Ta W didnotfileamotiontoamend. ZTE
`subsequentlyfiledaReply. Paper38 %r Pet. HX c _l s &) A consolidatedoral
`hearingforIPR2013-00133, IPR2013-00137, IPR2013-00138, and
`IPR2013-00139 , eachinvolvingthesameparties, washeldonFebruary26
`and27, 2014. Thetranscriptoftheconsolidatedhearinghasbeenentered
`intotherecord. Papers58p 60.
`
`1 ThegX e‘
`r g[ X GX g\g\b a s \a g[ \f finalwrittendecisionreferstothecorrected
`petitionunlessindicatedotherwise.
`2 Themandatorynoticefiledpursuantto37 C.F.R. §42.8(b)(1)indicates
`thatContentGuardH oldings, Inc. andPendrellCorporationarethereal
`parties-in-interest. Paper12, 2.
`
`2
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`W ehavejurisdictionunder35 U.S.C. §6(c). Thisfinalwritten
`decisionisissuedpursuantto35 U.S.C. §318(a). Basedontherecord
`beforeus, ZTE hasnotdemonstratedbyapreponderanceoftheevidence
`thatthechallengedclaimsb Y g[ X t072 patentareunpatentable.
`
`B. Re late d Proce e dings
`ZTE indicatedg[ Tg g[ X t072 patentwasassertedagainstitinapatent
`infringementlawsuittitledConte ntGuard H oldings Inc. v. Z TE Corp., No.
`1:12-cv-0206-CM H -TCB, filedintheUnitedStatesDistrictCourtforthe
`EasternDistrictofVirginiaonFebruary27, 2012. Pet. 1. Accordingto
`ZTE, thispatentinfringementlawsuitwastransferredtotheUnitedStates
`DistrictCourtfortheSouthernDistrictofCaliforniaonM ay21, 2012. Id.
`ContentGuardW b X f a b g W \f c h gX g[ Tg \g Tf f X egX W g[ X t072 patentagainstZTE.
`ZTE alsofiledfiveotherpetitionsseekinginte r parte s review ofthe
`followingpatentsownedbyContentGuard: U.S. PatentNo. 7,225,160
`(IPR2013-00134);U.S. PatentNo. 7,359 ,884 (IPR2013-00136);U.S. Patent
`No. 6,9 63,859 (IPR2013-00137);U.S. PatentNo. 7,139 ,736 (IPR2013-
`00138);andU.S. PatentNo. 7,269 ,576 (IPR2013-00139 ). Id.
`C. Th e Inve ntion ofth e j072 Pate nt
`Theinventiondisclosedinthet*1, c TgX a g Z X a X eT__l eX _TgX f gb
`distributingandenforcingusagerightsfordigitalworks. Ex. 1001, 1:27p 28.
`A digitalworkreferstoanyworkthathasbeenreducedtoadigital
`representation, includinganyaudio, video, text, ormultimediawork, and
`anyaccompanyinginterpreter, e.g., software, whichmayberequiredto
`recreateorrenderthecontentofthedigitalwork. Ex. 1001, 6:3p 7. Usage
`rightsrefertorightsgrantedtoarecipientofadigitalworkthatdefinethe
`mannerinwhichadigitalworkmaybeusedanddistributed. Ex. 1001,
`
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`4:13p 16;6:9 p +,) 7V V b eW \a Z gb g[ X t*1, c TgX a g’ b U ]X V g\i X f b Y g[ X W \f V _b f X W
`inventionincludethefollowing: (1)providingtheownerofadigitalwork
`theflexibilitytodistributethedigitalworkasdesired;and(2)adistribution
`system thattransportsameansforbillingwiththedigitalwork. Ex. 1001,
`3:15p 17;4:1p 3.
`J[ X t*1, c TgX a g W \f V _b f X f c X e‘ Ta X a g_l TggTV [ \a Z h f agerightstothe
`digitalwork. Ex. 1001, 6:16p 17. Copiesofthedigitalworkalsowillhave
`theusagerightsattachedthereto. Ex. 1001, 6:17p 18. Therefore, anyusage
`rightsandassociatedfeesassignedbythecreatorandsubsequentdistributor
`ofthedigitalworkalwayswillremainwiththedigitalwork. Ex. 1001,
`6:18p ,+) J[ X t*1, c TgX a g Yh eg[ X e W \f V _b f X f g[ Tg eX c b f \gb e\X f X a Yb eV X g[ X
`usagerightsofdigitalworks. Ex. 1001, 4:26p 27;6:22p 23. Inparticular,
`repositoriesstoredigitalworks, controlaccesstodigitalworks, billfor
`accesstodigitalworks, andmaintainthesecurityandintegrityofthedigital
`worksstoredtherein. Ex. 1001, 6:23p 26.
`=\Z h eX + b Y g[ X t*1, c TgX a g, reproducedbelow, illustratesthebasic
`operationsofthedisclosedinvention. Ex. 1001, 4:52p 54;6:38p 40.
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`7g f [ b j a \a f gX c +*+ b Y =\Z h eX + b Y g[ X t*1, c TgX a g’ T V eX Tgb e V eX TgX f T
`digitalwork. Ex. 1001, 6:40p 41. Atstep102, thecreatordeterminesthe
`appropriateusagerightsandfees, attachesthem tothedigitalwork, and
`storesthedigitalworkwiththeassociatedusagerightsandfeesin
`repository1. Ex. 1001, 6:41p 43. Atstep103, repository1 receivesa
`requesttoaccessthedigitalworkfrom repository2. Ex. 1001, 6:46p 48.
`Sucharequest, orsessioninitiation, includesstepsthathelpensurethat
`repository1 andrepository2 aretrustworthy. Ex. 1001, 6:48p 51. Atstep
`104, repository2 requestsaccesstothedigitalworkstoredinrepository1
`forastatedpurpose, e.g., toprintthedigitalworkorobtainacopyofthe
`digitalwork. Ex. 1001, 6:51p 55. Atstep105, repository1 checkstheusage
`rightsassociatedwiththedigitalworkstoredthereintodetermineifaccess
`tothedigitalworkmaybegranted. Ex. 1001, 6:56p 58. Atstep106, if
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`accessisdenied, repository1 terminatesthesessionwithrepository2 by
`transmittinganerrormessage. Ex. 1001, 6:62p 63. Atstep107, ifaccessis
`granted, repository1 transmitsthedigitalworktorepository2. Ex. 1001,
`6:63p 65. Atstep108, bothrepository1 and2 generatebillinginformation
`priortotransmittingthebillinginformationtoacreditserver. Ex. 1001,
`6:65p 7:1. Theuseofbothrepositories1 and2 forbillingpreventsattempts
`tocircumventthebillingprocess. Ex. 1001, 7:1p 2.
`Figure, b Y g[ X t*1, c TgX a g, reproducedbelow, illustratesthevarious
`typesofrepositoriesandthetransactionflow betweenthem. Ex. 1001,
`4:55p 57;7:3p 6.
`
`7f f [ b j a \a =\Z h eX , b Y g[ X t*1, c TgX a g’ eX c b f \gb el ,*+ eX c eX f X a gf a
`generalinstanceofarepositoryhavingthefollowingtwomodesof
`operation: (1)aservermode;and(2)arequestermode. Ex. 1001, 7:8p 10.
`W henrepository201 isinservermode, itreceivesandprocessesaccess
`requestsfordigitalworks. Ex. 1001, 7:11p 12. W henrepository201 isin
`requestermode, itinitiatesrequeststoaccessdigitalworks. Ex. 1001, 7:12p
`14.
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`Duringthecourseofoperation, repository201 maycommunicatewith
`apluralityofotherrepositories, includingrenderingrepository203.
`Ex. 1001, 7:16p 21. Communicationwithrenderingrepository203 occursin
`connectionwithrenderingadigitalwork. Ex. 1001, 7:31p 32. Accordingto
`
`g[ X t*1, c TgX a g’ eX a W X e\a Z eX c b f \gb el ,*- \f V b h c _X W gb T eX a W X e\a Z W X i \V X ’
`e.g., aprinterdevice, tocomprisearenderingsystem. Ex. 1001, 7:32p 35.
`
`D. Illustrative Claim
`Claims1, 10, and18 areindependentclaims. Claims2p 9 depend
`directlyfrom independentclaim 1, claims11p 17 dependdirectlyor
`indirectlyfrom independentclaim 10, andclaims19 p 25 dependdirectlyor
`indirectlyfrom independentclaim 18. Independentclaim 1 isillustrativeof
`thedisclosedinventionandisreproducedbelow:
`1.
`A method for securely rendering digital
`documents, comprising:
`retrieving, by adocumentplatform, adigitaldocument
`and at least one usage right associated with the digital
`documentfrom a docum e nt re pository, theatleastoneusage
`rightspecifyingamannerofuseindicatingthemannerinwhich
`thedigitaldocumentcanberendered;
`storing thedigitaldocumentand theatleastoneusage
`rightinseparatefilesinthedocumentplatform;
`determining, by the document platform, whether the
`digitaldocumentmay berendered based on theatleastone
`usageright;and
`iftheatleastoneusagerightallowsthedigitaldocument
`toberenderedonthedocumentplatform, renderingthedigital
`documentbythedocumentplatform.
`
`Ex. 1001, 52:8p 22 (emphasisadded).
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`E. Prior ArtRe lie d Upon
`ZTE reliesuponthefollowingpriorartreference:
`Comerford
`EP0268139 A2 M ay25, 19 88
`%[ X eX \a TYgX e r <G t+-3s &
`
`Ex. 1012
`
`F. Ground ofUnpate ntability
`W einstitutedthisproceedingbasedonjustonegroundof
`unpatentabilitysetforthinthetablebelow.
`Claims
`Basis
`R eference
`1p 25
`§102(b) <G t+-3
`
`II. ANALYSIS
`ZTE hastoproveunpatentabilitybyapreponderanceoftheevidence.
`35 U.S.C. §316(e). @a c TgX a g _Tj ’ r g[ X a T‘ X b Y g[ X Z T‘ X \f g[ X V _T\‘ )s In
`re H inik e r Co., 150 F.3d1362, 1369 (Fed. Cir. 19 9 8). Therefore, webegin
`ouranalysiswithclaim construction, andthenfollow withouranalysis
`eX Z TeW \a Z j [ X g[ X e <G t+-3 anticipatesthechallengedclaims.
`A. Claim Construction
`Inaninte r parte s review, claim termsinanunexpiredpatentare
`interpretedaccordingtotheirbroadestreasonableinterpretationinlightof
`thespecificationofthepatentinwhichtheyappear. 37 C.F.R. §42.100(b);
`O fficePatentTrialPracticeGuide, 77 Fed. Reg. 48,756, 48,766 (Aug. 14,
`2012). Underthebroadestreasonableinterpretationstandard, claim terms
`aregiventheirordinaryandcustomarymeaningaswouldbeunderstoodby
`oneofordinaryskillintheartinthecontextofthedisclosure. In re
`Translogic Te ch ., Inc., 504 F.3d1249 , 1257 (Fed. Cir. 2007). H owever, if
`aninventoractsashisorherownlexicographer, thedefinitionmustbeset
`
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`forthinthespecificationwithreasonableclarity, deliberateness,
`andprecision. DPXT]SLa C?5 ‘) @L\ZY]] EYNTP^Lj ZP\ 3dTYXT, 158 F.3d
`1243, 1249 (Fed. Cir. 19 9 8).
`Anextraneouslimitationshouldnotbereadintotheclaimsfrom the
`specification. Se e e .g., E.I. du Pontde Ne m ours & Co. v. Ph illips Pe trole um
`Co., 849 F.2d1430, 1433 (Fed. Cir. 19 88). Anextraneouslimitationisone
`whereitspresenceinaclaim isunnecessarytomakesenseoftheclaim.
`Se e , e .g., In re Paulse n, 30 F.3d1475, 1480 (Fed. Cir. 19 9 4);Re nish aw
`PLC, 158 F.3dat1249 . Theconstructionthatstaystruetotheclaim
`
`_Ta Z h TZ X Ta W ‘ b f g a Tgh eT__l T_\Z a f j \g[ g[ X \a i X a gb etf W X f V e\c g\b a \f _\^ X _l
`thecorrectinterpretation. Se e Re nish aw PLC, 158 F.3dat1250. The
`challengeistointerpretclaimswithoutunnecessarilyimportinglimitations
`from thespecificationintotheclaims. Se e E-Pass Te ch s., Inc. v. 3Com
`Corp., 343 F.3d1364, 1369 (Fed. Cir. 2003).
`hRe positoryi %5VLTW] +’ +*’ LXO 18)
`InitsPetition, ZTE didnotprovideanexplicitconstructionforthe
`@a \gf GTgX a g Fj a X e GeX _\‘ \a Tel Hesponse,
`r eX c b f \gb el )s
`gX e‘
`V _T\‘
`ContentGuardcontendedg[ Tg r eX c b f \gb el s f [ b h _W U X construedTf r T geh f gX W
`Yb e f h c c b eg\a Z h f TZ X e\Z [ gf )s Prelim. Resp. 18p 19 . ContentGuard
`f l f gX ‘
`thencitedgb f X i X eT_ c b eg\b a f b Y g[ X f c X V \Y\V Tg\b a b Y g[ X t*1, c TgX a g g[ Tg
`allegedlysupportitsproposedclaim construction. Id. at19 p 21 (citingto
`Ex. 1001, 11:58p 67;12:63p 64;13:15p 20;51:33p 37). W heninstitutingtrial,
`
`j X V b a f geh X W r eX c b f \gb el s Tf r T geh f gX W f l f gX ‘
`
`j [ \V [ ‘ T\a gT\a f c [ l f \V T_’
`
`V b ‘ ‘ h a \V Tg\b a f Ta W U X [ Ti \b eT_ \a gX Z e\gl ’ Ta W f h c c b egf h f TZ X e\Z [ gf )s
`Dec. 10. Forreasonsdiscussedbelow, weadheretothesameinterpretation
`forthisfinalwrittendecision.
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`Thespecificationprovidesaglossarythatexplicitlysetsfortha
`
`W X Y\a \g\b a Yb e r eX c b f \gb el )s =b e V b a i X a \X a V X ’ g[ Tg Z _b f f Tel W X Y\a \g\b a \f
`reproducedbelow:
`Conceptually a setoffunctionalspecificationsdefining core
`functionalityinthesupportofusagerights. A re pository is a
`truste d syste m in th at it m aintains ph ysical, com m unications
`and be h avioralinte grity.
`Ex. 1001, 51:34p 37 (emphasisadded).
`
`8l f X gg\a Z Yb eg[ g[ X gX e‘
`
`\a T Z _b f f Tel Ta W h f \a Z g[ X i X eU r \f s Yb __b j \a Z
`
`r eX c b f \gb el s \a g[ X f X V b a W f X a gX a V X ’ g[ X f c X V \Y\V Tg\b a f X gf Yb eg[ Ta X k c _\V \g
`
`\a g[ Tg \g ‘ T\a gT\a f c [ l f \V T_’
`W X Y\a \g\b a b Y r eX c b f \gb el s Tf r T geh f gX W f l f gX ‘
`communicationsandbehavib eT_ \a gX Z e\gl )s J[ X Y\ef g f X a gX a V X alsois
`eX _X i Ta g gb g[ X W X Y\a \g\b a b Y r eX c b f \gb el s U X V Th f X \g specifiesthatthe
`
`eX c b f \gb el f h c c b egf h f TZ X e\Z [ gf ) 7V V b eW \a Z _l ’ j X V b a f geh X r eX c b f \gb el s Tf
`j [ \V [ ‘ T\a gT\a f c [ l f \V T_’ V b ‘ ‘ h a \V Tg\b a f Ta W behavioral
`
`r T geh f gX W f l f gX ‘
`
`\a gX Z e\gl ’ Ta W f h c c b egf h f TZ X e\Z [ gf )s
`H owever, oh e Ta T_l f \f W b X f a b g X a W [ X eX ) @a b eW X e gb h a W X ef gTa W r T
`trustedsystem,s \g \f a X V X f f Tel gb V b a f geh X r c [ l f \V T_ \a gX Z e\gl ’s
`r V b ‘ ‘ h a \V Tg\b a f \a gX Z e\gl ’s Ta W r U X [ Ti \b eT_ \a gX Z e\gl )s J[ b f X gX e‘ f are
`W X f V e\U X W \a T f X V g\b a b Y g[ X f c X V \Y\V Tg\b a _TU X _X W r HX c b f \gb e\X f )s Ex. 1001,
`11:58p 14:32. =b e r c [ l f \V T_ \a gX Z e\gl ’s g[ X f c X V \Y\V Tg\b a W X f V e\U X f the
`following:
`Physicalintegrityreferstotheintegrityofthephysicaldevices
`themselves. Ph ysicalinte grity applie s both to th e re positorie s
`and to th e prote cte d digitalw ork s. Thus, thehighersecurity
`classesofrepositoriesthemselvesmayhavesensorsthatdetect
`whentamperingisattemptedontheirsecurecases. In addition
`to prote ction ofth e re pository itse lf, th e re pository de sign
`prote cts acce ss to th e conte ntofdigitalw ork s. Incontrastwith
`thedesignofconventionalmagneticandopticaldevices-suchas
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`floppydisks, CD-RO M s, andvideotapes-re positorie s ne ve r
`allow non-truste d syste m s to acce ss th e w ork s dire ctly. A
`makerofgenericcomputersystemscannotguaranteethattheir
`platform willnotbeusedtomakeunauthorizedcopies. The
`manufacturerprovidesgenericcapabilitiesforreadingand
`writinginformation, andthegeneralnatureofthefunctionality
`ofthegeneralcomputingdevicedependsonit. Thus, acopy
`program cancopyarbitrarydata. Thiscopyingissueisnot
`limitedtogeneralpurposecomputers. Italsoarisesforthe
`h a Th g[ b e\m X W W h c _\V Tg\b a b Y X a gX egT\a ‘ X a g r f b Ygj TeX s suchas
`videoandaudiorecordingsbymagneticrecorders. Again, the
`functionalityoftherecordersdependsontheirabilitytocopy
`andtheyhavenomeanstocheckwhetheracopyisauthorized.
`Incontrast, re positorie s pre ve ntacce ss to th e raw data by
`ge ne ralde vice s andcantestexplicitrightsandconditions
`beforecopyingorotherwisegrantingaccess. Inform ation is
`only acce sse d by protocolbe tw e e n truste d re positorie s.
`
`Ex. 1001, 12:1p 26 (emphasesadded).
`Thedescriptionreproducedabovemakesuseofpermissivetermssuch
`
`Tf r ‘ Tl s Ta W r V Ta s Ta W ’ g[ h f ’ W b a b g eX Y_X V g b e \a W \V TgX T eX d h \eX W _\‘ \gTg\b a
`forr physicalintegrity.s Thespecificationalsoappearstousethetermsor
`phrasesineachofthefollowingthreegroupsinterchangeably:
`1.
`data, content, digitalwork, information;
`2.
`non-trustedsystem, generaldevice;and
`3.
`r a X i X e T__b j TV V X f f s Ta W r c eX i X a g TV V X f f )s
`W henreferringtotherelationshipbetweentherepositoryanddata, the
`
`f c X V \Y\V Tg\b a h f X f TU f b _h gX gX e‘ f f h V [ Tf r a X i X es Ta W r b a _l )s
`
`@a _\Z [ g b Y g[ X
`
`Yb eX Z b \a Z ’ j X V b a f geh X r c [ l f \V T_ \a gX Z e\gl s Tf r c eX i X a g\a Z TV V X f f gb
`informationbyanon-geh f gX W f l f gX ‘ )s
`
`=b e r V b ‘ ‘ h a \V Tg\b a f \a gX Z e\gl ’s g[ X f c X V \Y\V Tg\b a W X f V e\U X f g[ X
`following:
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`Communications integrity refers to the integrity of the
`communications channels between repositories.
`Roughly
`speaking, communications integrity means that repositories
`V Ta a b g U X X Tf \_l Yb b _X W U l r gX __\a Z g[ X ‘
`_\X f )s
`@a gX Z e\gl \a g[ \f
`case refers to the property that re positorie s
`w ill only
`com m unicate w ith oth e r de vice s th atare able to pre se ntproof
`th at th e y are ce rtifie d re positorie s, and furthermore, thatthe
`eX c b f \gb e\X f ‘ b a \gb e g[ X V b ‘ ‘ h a \V Tg\b a f gb
`W X gX V g r \‘ c b f gb ef s
`and maliciousoraccidentalinterference. Thus th e
`se curity
`m e asure s involving e ncryption, e xch ange ofdigitalce rtificate s,
`and nonce s de scribe d be low are allse curity m e asure s aim e d at
`re liable com m unication in a world known to contain active
`adversaries.
`
`Ex. 1001, 12:27p 39 (emphasesadded). MX V b a f geh X r V b ‘ ‘ h a \V Tg\b a f
`intX Z e\gl s Tf r b a _l V b ‘ ‘ h a \V TgX f j \g[ b g[ X e W X i \V X f g[ Tg TeX TU _X gb c eX f X a g
`proofthattheyaretrustedsystems, e.g., byusingsecuritymeasuressuchas
`
`X a V el c g\b a ’ X k V [ Ta Z X b Y W \Z \gT_ V X eg\Y\V TgX f ’ Ta W a b a V X f )s J[ X <a V l V _b c X W \T
`
`b Y 9el c gb Z eTc [ l W X Y\a X f r a b a V X s Tf r QTR a h ‘ U X e h f X W \a T V el c gb Z eTc [ \V
`c eb gb V b _ gb \a W \V TgX g[ X h a \d h X V [ TeTV gX e b Y T ‘ X f f TZ X )s ENCYCLO PEDIA O F
`CRYPTO GRAPH Y 19 7 (19 9 7)(Ex. 3001).
`=b e r U X [ Ti \b eT_ \a gX Z e\gl ’s g[ X f c X V \Y\V Tg\b a W X f V e\U X f thefollowing:
`Behavioralintegrityreferstotheintegrityinwhatrepositories
`do. W hatrepositoriesdo isdetermined by thesoftwarethat
`theyexecute. Theintegrityofthesoftwareisgenerallyassured
`only by knowledgeofitssource. Restated, auserwilltrust
`softwarepurchasedatareputablecomputerstorebutnottrust
`softwareobtainedoffarandom (insecure) serveronanetwork.
`Be h avioralinte grity is m aintaine d by re quiring th atre pository
`softw are be ce rtifie d and be distribute d w ith proof of such
`ce rtification, i.e . a digitalce rtificate . The purpose of the
`certificateistoauthenticatethatthesoftwarehasbeentestedby
`anauthorizedorganization, whichatteststhatthesoftwaredoes
`whatitissupposedtodoandthatitdoesnotcompromisethe
`behavioralintegrity ofarepository. If th e digitalce rtificate
`
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`cannot be found in th e digitalw ork or th e m aste r re pository
`w h ich ge ne rate d th e ce rtificate is not k now n to th e re pository
`re ce iving th e softw are , th e n th e softw are cannotbe installe d.
`
`Ex. 1001, 12:40p 56 (emphasesadded). MX V b a f geh X r U X [ Ti \b eT_ \a gX Z e\gl s
`
`\a g[ X V b a gX k g b Y T eX c b f \gb el Tf r eX d h \e\a Z f b Ygj TeX gb \a V _h W X T W \Z \gT_
`
`V X eg\Y\V TgX \a b eW X e gb U X \a f gT__X W \a g[ X eX c b f \gb el )s
`W eacknowledgethattherecordisnotwithoutevidencecontraryto
`ourclaim interpretation. Thenatureofclaim interpretation, however, isto
`cometotheappropriateconclusioninlightofalloftheevidence. Allofthe
`evidencedoesnothavetopointuniformlyinasingledirection.
`Table2 inthespecificationindicatestendifferentlevelsofsecurity
`forrepositories. Thelowestlevel, i.e., _X i X _ r *’s \f W X f V e\U X W Tf Yb __b j f 4
`O pen system. Documenttransmission is unencrypted. No
`digitalcertificateisrequiredforidentification. Thesecurityof
`thesystem dependsmostlyonuserhonesty, sinceonlymodest
`knowledgemaybeneededtocircumventthesecuritymeasures.
`Therepository hasno provisionsforpreventing unauthorized
`programsfrom running and accessing orcopying files. The
`system doesnotpreventtheuseofremovablestorageanddoes
`notencryptstoredfiles.
`
`Ex. 1001, 14:64p 15:15. Thus, accordingtoTable2, repositoriesarenotall
`_TV ^ ingin
`geh f gX W f l f gX ‘ f ) CX i X _ r *s f X V h e\gl ‘ X Ta f [ Ti \a Z Ta b c X a f l f gX ‘
`physical, communications, andbehavioralintegrity, andwithoutsupportfor
`managingusagerights. Thatisdirectlycontrarytothemeaningof
`
`r eX c b f \gb el s Tf W X Y\a X W \a g[ X Z _b f f Tel ) =b e eX Tf b a f W \f V h f f X W U X _b j ’ j X
`adheretothedefinitionprovidedintheglossary. Thecontraryevidence
`
`U Tf X W b a _X i X _ r *s f X V h e\gl f [ b j a \a JTU _X , \f \a f h YY\V \X a g gb b h gj X \Z [ g[ X
`restoftheevidenceincluding, inparticular, theexplicitdefinitionprovided
`
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`intheglossary. W emakeourdeterminationbasedonthetotalityofthe
`evidence.
`Asnotedabove, thedisclosedinventionisaboutdistributionand
`usagerightsenforcementofdigitalworks. Theproblemsdescribedinthe
`backgroundportionofthespecificationconcernunauthorizedand
`unaccounteddistributionorusageofelectronicallypublishedmaterials. Se e
`ge ne rally Ex. 1001, 1:32p 3:17) J[ X t072 patentstatesthatitsolves
`preexistingproblemsbybothpermanentlyattachingusagerightstodigital
`worksandplacingelementsinrepositoriesthatenforcethoseusagerights.
`Ex. 1001, 6:16p 27.
`
`?X eX ’ g[ X W X Y\a \g\b a f X g Yb eg[ \a g[ X Z _b f f Tel Yb e r eX c b f \gb el s \f
`consistentfullywiththedescriptionoftheacknowledgedpriorart, andthe
`objectiveorgoaltobeachievedbytheinventionb Y g[ X t072 patent. The
`specificationalsocontainsdetailedpreferredembodimentsutilizing
`repositories, whicharetrustedsystemstoprovideusagecontrolfordigital
`works. Ex. 1001, 7:3p 41, 7:60p 61, 13:7p 14, 21p 23, 14:8p 20, 18:11p 13,
`26:40p 29 :20, 41:9 p 42:12.
`Thebulkofthedisclosureconsistentlyisdirectedtorepositories,
`whicharetrustedsystemsforprovidingusagecontrolfordigitalworks. For
`example, thespecificationstates:
`pre se nt inve ntion are
`Th e
`e nforce m e nt e le m e nts of th e
`e m bodie d in re positorie s. Amongotherthings, repositoriesare
`usedtostoredigitalworks, controlaccesstodigitalworks, bill
`for access to digitalworks and maintain the security and
`integrityofthesystem.
`
`Ex. 1001, 6:23p 27 (emphasisadded)) Fg[ X e eX YX eX a V X f gb r eX c b f \gb el s \a g[ X
`specificationrecitenecessaryfeaturesofrepositoriesandalsosupportthe
`
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`definitionintheglossarythatarepositoryisatrustedsystem. Forexample,
`thespecificationstates:
`Thecorerepositoryservices1302 compriseasetoffunctions
`re quire d by e ach and e ve ry re pository. Thecorerepository
`services1302 includethesessioninitiationtransactionswhich
`aredefined ingreaterdetailbelow. Thissetofservicesalso
`includesa generic ticketagentwhiV [
`\f
`h f X W
`gb
`r c h a V [ s T
`digitalticketandagenericauthorizationserverforprocessing
`authorizationspecifications.
`
`Ex. 1001, 14:8p 14 (emphasisadded). Inanotherexample, thespecification
`W \f V _b f X f g[ Tg r QTRf T c eX eX d h \f \gX gb b c X eTg\b a ’ T eX c b f \gb eywillre quire
`posse ssion ofan ide ntification ce rtificate ,s Ta W g[ Tg r \W X a g\Y\V Tg\b a
`certificates1306 arerequiredtoenableg[ X h f X b Y g[ X eX c b f \gb el )s Ex. 1001,
`13:7p 8, 14:18p 20 (emphasisadded). Inyetanotherexample, the
`specificationstatesr [p]rovisions for se curity and privacy are partofth e
`re quire m e nts forspecifyingandimplementingrepositoriesandthusform the
`neX W Yb e i Te\b h f geTa f TV g\b a f )s Ex. 1001, 26:35p 38 (emphasisadded).
`@a W X X W ’ U l h f \a Z j b eW f f h V [ Tf r eX d h \eX s Ta W r eX d h \eX ments,s these
`examplesamplysupportthedefinitionprovidedintheglossarythata
`repositoryisatrustedsystem.
`Insummary, evenapplyingtheruleofbroadestreasonable
`interpretationconsistentwiththespecification, theweightoftheevidence
`supportsthedefinitionprovidedintheglossary. W eregardassignificant
`thatthedefinitionstatesinanunequivocalmannerthatarec b f \gb el r \f T
`
`geh f gX W f l f gX ‘ )s
`
`5YX^PX^9_L\Oj] 5YX^PX^TYX]
`AccordingtoContentGuard, ourclaim \a gX ec eX gTg\b a b Y r eX c b f \gb el s
`isincorrectbecauseitistoobroadinonerespectandtoonarrow inanother.
`
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`PO Resp. 14p 17. Forthereasonsdiscussedbelow, however, the
`f c X V \Y\V Tg\b a b Y g[ X t072 patentdoesnotsupportadequatelyeither
`contention. Asaconsequence, wearenotpersuadedU l 9b a gX a g>h TeW tf
`contentions.
`W efirstTW W eX f f 9b a gX a g>h TeW tf contentionthatourconstructionis
`toobroad, andthenitscontentionthatourconstructionistoonarrow.
`1.
`ContentGuardcontendsthatourclaim constructionregarding
`
`r U X [ Ti \b eT_ \a gX Z e\gl s Tf r eX d h \e\a Z f b Ygj TeX gb \a V _h W X T W \Z \gT_ V X eg\Y\V TgX
`\a b eW X e gb U X \a f gT__X W \a g[ X eX c b f \gb el s \f r X k V X f f \i X _l U eb TW s Ta W should
`belimitedtosoftwarethatmakestherepositoryoperativeq otherwise
`knownasr eX c b f \gb el f b Ygj TeX )s Id. at14. Forconvenience,
`9b a gX a g>h TeW tf TeZ h ‘ X a g isreproducedbelow:
`
`a b g
`\f
`\g
`U X V Th f X
`U eb TW
`gb b
`V b a f geh V g\b a R \f
`QJ[ X 8b TeW tf
`t072 c TgX a g
`r eX c b f \gb el
`gb Tf
`eX YX ef
`j [ Tg
`g[ X
`eX f ge\V gX W
`gb
`f b Ygj TeX s q thatissoftwarethatmakestherepositoryoperative.
`(Se e Ex. 1001, 12:46-48.) 7V V b eW \a Z
`t072 patent
`gb
`g[ X
`sc X V \Y\V Tg\b a ’ r QU RX [ Ti \b eT_ \a gX Z e\gl
`gb
`eX YX ef
`g[ X
`\a gX Z e\gl
`\a
`(Ex. 1001, 12:40-41.) W hatrepositories
`j [ Tg eX c b f \gb e\X f W b )s
`W b ’ \a
`gh ea ’ r \f W X gX e‘ \a X W
`U l
`g[ X f b Ygj TeX g[ Tg g[ X l
`X k X V h gX )s
`(Id. at12:41-42.)
`j [ Tg
`\a
`\a gX Z e\gl
`g[ X
`r gb
`eX _TgX f
`8h g a b g T__ f b Ygj TeX
`(Ex. 1001, 12:40-41[.]) Repositories, along
`eX c b f \gb e\X f W b )s
`withusagerights, areusedtomanagetheuseanddistribution
`ofdigitalcontent. (Ex. 1001, 51:65-67.) Allowingthem todo
`so, repositoriescanperform severalfunctionstoimplementthe
`(E.g., Ex. 1001,
`transmission ofcontentand usage rights.
`13:29 -34.) Butcontentitselfdoesnotnecessarilysupplythat
`function to a repository.
`(Ex. 2013, [Declaration of Dr.
`M ichael T. Goodrich] ¶ 48.) Rather, repository software
`implementstherepositoryfunctionsthatareusedtomanagethe
`useanddistributionofthecontent.
`(Ex. 1001, 4:26-27;6:38-
`
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`7:2;11:58-67;13:15-41;51:34-38.) Thus, sincer QU RX [ Ti \b eT_
`\a gX Z e\gl
`eX YX ef
`gb
`g[ X
`\a gX Z e\gl
`\a
`j [ Tg eX c b f \gb e\X f
`W b ’s
`g[ X
`eX _X i Ta g f b Ygj TeX \f a b g Ta l r f b Ygj TeX ) ) ) gb U X \a f gT__X W \a g[ X
`eX c b f \gb el ’s U h g g[ X f b Ygj TeX g[ X eX c b f \gb el h f X f gb ‘ Ta TZ X g[ X
`useanddistributionofcontent.
`
`PO Resp. 14p 15.
`W ithrespecttowhatrepositoriesdo, ContentGuardoverlooksand
`failstodiscusstheportionsofthespecificationwhichindicatethat
`repositories, themselves, alsocanberenderingdevicesthatrunandexecute
`thesoftware- typedigitalworks, theusagerightsofwhichtheycontrol. For
`\a f gTa V X ’ g[ X t072 patentstatesthefollowingwithregardtosoftwarecapable
`ofbeingrunonarepository:
`An Installtransaction isarequestto installadigitalwork as
`runnable
`softw are on a re pository.
`In a typicalcase, the
`requesterrepositoryisare nde ring re pository andthesoftware
`wouldbeanew kindorne w ve rsion ofa playe r.
`
`Ex. 1001, 41:64p 67 (emphasesadded). Thisdisclosureinthespecification
`W b X f a b g f h c c b eg 9b a gX a g>h TeW tf V b a gX a g\b a g[ Tg T repositorymerely
`managestheuseanddistributionofdigitalcontent, suchassoftware, and
`doesnotperform, run, orexecutethatdigitalcontent. Thedisclosurequoted
`aboveeX YX ef gb T W \Z \gT_ j b e^ g[ Tg \f r eh a a TU _X f b Ygj TeX b a T eX c b f \gb el ’s
`andstatesthat, inatypicalcase, therepositoryaskingforthedigitalworkis
`itselfarenderingrepositorythatidentifiesthesoftwaredigitalworkas
`applicationsoftwareq notasoperatingsoftware. Assuch, thespecification
`conveysinformationcontrarygb 9b a gX a g>h TeW tf V b a gX a g\b a ) ContentGuard
`doesnotexplainthedisclosureidentifiedabove, nordoesitpointtoany
`testimonyofitsexpertwitnessthataddressessuchdisclosureinlightofits
`r X k V X f f \i X _l U eb TW s V b a gX a g\b a .
`
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`Becausearepository, itself, mayrunandexecutesoftware, theusage
`anddistributionofwhichismanagedbytherepository, wearenotpersuaded
`g[ Tg g[ X eX YX eX a V X gb r eX c b f \gb el f b Ygj TeX s \a g[ eportionofthespecification
`W \f V h f f \a Z r U X [ Ti \b eT_ \a gX Z e\gl s %<k ) +**+’ 12:40p 56)isrestrictedto
`softwarethatonlymanagesusagerights. Indeed, inthecontextofinstalling
`i X ef \b a b Y T c _Tl X e’s j [ \V [ does
`^ \a W b e a X j
`f b Ygj TeX \W X a g\Y\X W Tf r T a X j
`notcontrolusagerights, thespecificationdiscussesextractingacopyofthe
`digitalcertificateforthatsoftware(Ex. 1001, 42:9 p 12), inthesamemanner
`thatthespecificationdescribesrequiringadigitalcertificateinthedigital
`worktoensurebehavioralintegrityoftherepository(Ex. 1001, 12:46-48).
`M oreover, somerepositoriesarerenderingrepositories. Ex. 1001, 41:64p 67.
`
`r HX c b f \gb el f b Ygj TeX ’s Tf h f X W \a g[ X f c X V \Y\V Tg\b a ’ \f U eb TW X a b h Z [ gb V b i X e
`
`Tc c _\V Tg\b a f b Ygj TeX ’ f h V [ Tf g[ X r c _Tl X es eX YX eX a V X W \a g[ X f c X V \Y\V Tg\b a
`(Ex. 1001, 41:64p 67), aswellaswhatContentGuardeX YX ef gb Tf r b c X eTg\a Z
`software,s j [ \V [ X a TU _X f g[ X eX c b f \gb el gb eX Z h _TgX h f TZ X e\Z [ gf )
`W edonotcreditthetestimonyofContentGuardtf expert, Dr. M ichael
`T. Goodrich, inparagraph48 ofhisDeclaration(Ex. 2013). Inthat
`paragraph, Dr. Goodrichatteststhat, inhisopinion, apersonofordinary
`skillintheartin19 9 4 wouldhaveunderstoodg[ Tg g[ X gX e‘
`r eX c b f \gb el
`f b Ygj TeX s \a g[ X t072 patentidentifiesandreferstotheoperatingsoftwareof
`therepository, andnotthesoftwaredigitalworks, theusagerightsofwhich
`arecontrolledbytherepository. ;e) >b b W e\V [ tf testimonyisunpersuasive
`becauseitdoesnotaccountforthedisclosureofthespecification, discussed
`above, whichconveysthatsomerepositoriesarerenderingdepositoriesthat
`runandexecutethesoftwaredigitalworkstherightsofwhichtheycontrol,
`
`f h V [ Tf T a X j
`
`i X ef \b a b Y T r c _Tl X e)s
`
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`2.
`ContentGuardcontendsthatourclaim constructionregarding
`
`r U X [ Ti \b eT_ \a gX Z e\gl s Tf r eX d h \e\a Z f b Ygj TeX gb \a V _h W X T W \Z \gT_ V X eg\Y\V TgX
`\a b eW X e gb U X \a f gT__X W \a g[ X eX c b f \gb el s \f r excessivelya Teeb j s U X V Th f X \g
`h a a X V X f f Te\_l eX d h \eX f g[ X \a V _h f \b a b Y T r W \Z \gT_ V X eg\Y\V TgX s gb maintain
`behavioralintegrity. PO Resp. 15p 16. AccordingtoContentGuard, inorder
`tomaintainbehavioralintegrity, itisnecessaryonlythatthebroaderpurpose
`ofarepositorydoingwhatitissupposedtodoissatisfied. Id. at15.
`Cb a gX a g>h TeW tf V b a gX a g\b a g[ Tg b h e constructionistoonarrow is
`inconsequentialtotheoutcomeofthisproceedingbecauseabroader
`interpregTg\b a b Y r U X [ Ti \b eT_ \a gX Z e\gl s j b h _W a b g eX a W X e \a Tc c _\V TU _X Ta l
`teachingofthepriorartwhichwasappliedunderthenarrowerconstruction.
`Forcb a i X a \X a V X ’ 9b a gX a g>h TeW tf TeZ h ‘ X a g \f eX c eb W h V X W U X _b j :
`
`\g
`U X V Th f X
`a Teeb j
`gb b
`\f T_f b
`J[ X 8b TeW tf V b a f geh V g\b a
`X k c _T\a \a Z
`g[ Tg
`7YgX e
`eX d h \eX f
`r T
`W \Z \gT_
`V X eg\Y\V TgX )s
`g[ X
`\a gX Z e\gl
`\a
`j [ Tg
`r QU RX [ Ti \b eT_
`\a gX Z e\gl
`eX YX ef
`gb
`g[ Tg r Qj Rhatrepositoriesdoisdetermined
`eX c b f \gb e\X f W b s Ta W
`t072 patentsaysthat
`U l
`g[ X
`f b Ygj TeX
`g[ Tg g[ X l
`X k X V h gX ’s
`g[ X
`r QgR[ X
`\a gX Z e\gl
`b Y g[ X
`f b Ygj TeX
`\f
`Z X a X eT__l Tf f h eX W
`b a _l
`U l
`(Ex. 1001, 12:42[-]43.) Although
`^ a b j _X W Z X
`b Y \gf f b h eV X )s
`r U X [ Tvioral integrity is
`g[ X
`f c X V \Y\V Tg\b a
`W b X f
`f Tl
`g[ Tg
`maintained by requiring thatrepository software be certified
`andbedistributedwithproofofsuchcertification, i.e., adigital
`V X eg\Y\V TgX ’s
`g[ X
`f c X V \Y\V Tg\b a
`V b a g\a h X f
`U l
`X k c _T\a \a Z
`g[ X
`(Id., 12:46-48.)
`broader purpose of the certificate.
`r J[ X
`purposeofthecertificateistoauthenticatethatthesoftwarehas
`been tested by an authorized organization, which attests th at
`th e softw are does w h atitis supposed to do andthatitdoesnot
`(Id.,
`compromise the behavioralintegrity ofa repos\gb el )s
`12:48-52 (emphasis added).) So, as long as there is some
`Tf f h eTa V X
`g[ Tg r g[ X
`f b Ygj TeX
`W b X f j [ Tg \g \f f h c c b f X W
`gb
`W b ’s
`
`19
`
`GOOG