Paper No. 23
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________
`
`APPLE INC.
`Petitioner,
`
`v.
`
`UNIVERSAL SECURE REGISTRY LLC
`Patent Owner
`____________
`
`Case CBM2018-00024
`U.S. Patent No. 8,577,813
`____________
`
`PATENT OWNER’S CONDITIONAL MOTION TO AMEND
`UNDER 37 C.F.R. § 42.221
`
`

`

`Case No. CBM2018-00024
`U.S. Patent No. 8,577,813
`
`TABLE OF CONTENTS
`
`Page
`
`TABLE OF AUTHORITIES .......................................................................... II
`LIST OF EXHIBITS ..................................................................................... III
`I.
`INTRODUCTION .................................................................................1
`II.
`THE SUBSTITUTE CLAIMS ARE OF NARROWER SCOPE .........2
`III.
`THE NUMBER OF SUBSTITUTE CLAIMS IS
`REASONABLE .....................................................................................2
`THE SUBSTITUTE CLAIMS ADD NO NEW SUBJECT
`MATTER ...............................................................................................2
`THE PROPOSED SUBSTITUTE CLAIMS RESPOND TO
`AND OVERCOME THE GROUNDS OF RECORD ..........................9
`VI. CONCLUSION .....................................................................................9
`APPENDIX A ..................................................................................................1
`APPENDIX B ..................................................................................................1
`
`IV.
`
`V.
`
`i
`
`

`

`Case No. CBM2018-00024
`U.S. Patent No. 8,577,813
`
`TABLE OF AUTHORITIES
`
`Page
`
`Cases
`Aqua Products, Inc. v. Joseph Matal et al.,
`Case No. 2015-1177 (Fed. Cir. Oct. 4, 2017) ............................................. 1
`
`Statutory Authorities
`
`35 U.S.C. § 326(d) ...................................................................................... 1, 2
`
`Rules and Regulations
`
`37 C.F.R. § 42.221(a)(2)(ii) ............................................................................ 2
`
`37 C.F.R. § 42.221(a)(3) ................................................................................. 2
`
`37 C.F.R. § 42.221 .................................................................................. 1, 2, 9
`
`ii
`
`

`

`Case No. CBM2018-00024
`U.S. Patent No. 8,577,813
`
`LIST OF EXHIBITS
`
`Description
`
`Declaration by Dr. Markus Jakobsson Ph.D. in Support
`of Patent Owner's Preliminary Response.
`
`Curriculum Vitae of Markus Jakobsson.
`
`Universal Secure Registry LLC v. Apple Inc., No. 17-585,
`Document 77 (D. Del., May 22, 2018)
`
`Declaration by Allan Schiffman in Support of Patent
`Owner's Preliminary Response
`
`Curriculum Vitae of Allan Schiffman
`
`Declaration ISO of Unopposed Motion for Admission
`Pro Hac Vice of Harold A. Barza.
`
`Declaration ISO of Unopposed Motion for Admission
`Pro Hac Vice of Jordan B. Kaericher.
`
`U.S. Application No. 13/237,184.
`
`U.S. Application No. 12/393,586.
`
`Declaration by Dr. Markus Jakobsson Ph.D. in Support
`of Motion to Amend.
`
`Exhibit #
`
`Ex. 2001
`
`Ex. 2002
`
`Ex. 2003
`
`Ex. 2004
`
`Ex. 2005
`
`Ex. 2006
`
`Ex. 2007
`
`Ex. 2008
`
`Ex. 2009
`
`Ex. 2010
`
`iii
`
`

`

`Case No. CBM2018-00024
`U.S. Patent No. 8,577,813
`
`I.
`
`INTRODUCTION
`
`Pursuant to 35 U.S.C. § 326(d) and 37 C.F.R. § 42.221, Patent Owner
`
`Universal Secure Registry LLC (“PO”) submits this conditional motion (“Motion”)
`
`to substitute proposed claims 27-48 shown in Appendix A for original (i.e.,
`
`existing) claims 1, 2, 4-11, 13-20, and 22-26 of U.S. Patent No. 8,577,813 (“the
`
`’813 Patent”) should any of claims 1-3, 16, 21-24, and 38 (“Challenged Claims”)
`
`be found unpatentable. That is, PO requests that for each original claim the Board
`
`deems invalid, the Board review and enter the corresponding substitute claim
`
`identified in Appendix A to replace the invalid claim. PO has conferred with the
`
`Board prior to filing this Motion, as required by 37 C.F.R. § 42.221, and the Board
`
`authorized the filing of this Motion in an Order Conduct of the Proceeding entered
`
`January 31, 2019. See Paper 17.
`
`The proposed substitute claims satisfy the requisite showing for a motion to
`
`amend, as they (1) “do not impermissibly enlarge the scope of the claims;” (2)
`
`present a “reasonable number of substitute claims;” (3) “do not introduce new
`
`subject matter;” and (4) “respond to a ground of unpatentability in the trial.” See 35
`
`U.S.C. § 326(d); 37 C.F.R. § 42.221. Patent Owner has thus met its burden of
`
`production. Aqua Products, Inc. v. Joseph Matal et al., Case No. 2015-1177 (Fed.
`
`Cir. Oct. 4, 2017) (en banc). Accordingly, should the Board find any original
`
`Challenged Claim unpatentable in this proceeding, PO respectfully requests that
`
`1
`
`

`

`Case No. CBM2018-00024
`U.S. Patent No. 8,577,813
`the Board grant this Motion to Amend with respect to each corresponding
`
`substitute claim presented herein.
`
`II.
`
`THE SUBSTITUTE CLAIMS ARE OF NARROWER SCOPE
`
`Sections 326(d)(3) and 41.221(a)(2)(ii) require that an amendment not
`
`“enlarge the scope of the claims of the patent . . . .” Here, the proposed substitute
`
`claims do not broaden the scope of the original claims. As shown in Appendix A
`
`below, all substitute claims include the same substantive claim limitations found in
`
`the original claims, and further
`
`include additional substantive features.
`
`Consequently, substitute claims 27-48 narrow the scope of the original claims.
`
`III. THE NUMBER OF SUBSTITUTE CLAIMS IS REASONABLE
`
`Sections 326(d)(1)(B) and 42.221(a)(3) require that, for each Challenged Claim,
`
`Patent Owner “propose a reasonable number of substitute claims.” There exists a
`
`“presumption…that only one substitute claim would be needed to replace each
`
`challenged claim.” § 42.221(a)(3). Consistent with this presumption, the present
`
`Motion provides only 22 substitute claims for 23 Challenged Claims.
`
`IV. THE SUBSTITUTE CLAIMS ADD NO NEW SUBJECT MATTER
`
`The chart below includes a non-exhaustive list of citations where support
`
`can be found for the substitute claims from the original filing of the ’813 Patent
`
`2
`
`

`

`Case No. CBM2018-00024
`U.S. Patent No. 8,577,813
`(i.e., Ex. 2008 U.S. Appl. No. 13/237,184 (“’184 Application”)).1 The chart also
`
`provides support to a priority document, namely, U.S. non-provisional application
`
`12/393,586 (“’586 Application”).2 Ex. 2009.
`
`For example, with respect to claim limitations 27[c] and 47[b], the ’184
`
`Application describes a system that allows a user to select a financial account to
`
`complete a financial transaction, where a multi-factor authentication process can
`
`employ an “identification of the account selected by the user” as part of the
`
`authentication protocol. See, e.g., ’184 Application at 62:17-24, 67:5-19; Ex. 2010,
`
`Jakobsson at ¶ 33. The ’184 Application also describes financial transactions that
`
`can utilize codes in place of sensitive information pertaining to the user and her
`
`account, which can be used by the secure registry to identify the user and to shield
`
`such sensitive information from a provider. See, e.g., ’184 Application at 17:25-
`
`1 Appendix B maps the substitute claims provided in Appendix A to the
`
`corresponding claim notations used in the chart below.
`
`2 Support to the ’586 Application is mapped herein only for the purposes of this
`
`Motion to Amend and the proposed amendments to the ’813 patent’s claims.
`
`Nothing herein shall be construed as limiting the priority date of the ’813 patent’s
`
`existing claims to the ’586 Application’s filing date or any other date. Patent
`
`Owner reserves the right to cite support for the ’813 patent’s claims to the earliest
`
`effective priority date, Feb. 21, 2006.
`
`3
`
`

`

`Case No. CBM2018-00024
`U.S. Patent No. 8,577,813
`18:15, 23:14-24:27, 25:17-22; Ex. 2010, Jakobsson at ¶ 33. Thus, the ’184
`
`Application provides support for limitations 27[c] and 47[b]. Id.
`
`As to claim limitations 27[e], 40[g], and 46[e], the ’184 Application
`
`describes how encrypted authentication information may be generated from a non-
`
`predictable value, information associated with a portion of a biometric, identifying
`
`information, and secret information. See, e.g., ’184 Application at Abstract, 9:29-
`
`10:3, 65:25-30, 67:5-16, 72:23-30, 73:13-15, Cl. 1, FIG. 31; Ex. 2010, Jakobsson
`
`at ¶ 34.
`
`With respect to limitations 27[g], 40[b], and 46[c], the ’184 Application
`
`describes that the electronic ID device may be de-activated without generating the
`
`encrypted authentication information, and that doing so can initiate a lockout
`
`period when authentication of the user is unsuccessful. See, e.g., ’184 Application
`
`at 67:26-68:19; Ex. 2010, Jakobsson at ¶ 35.
`
`As to limitations 28[b], 30[b], 37[b], 41[b], 42[b], and 44[b], the ’184
`
`Application describes how a first device (e.g., electronic ID device) may generate
`
`and transmit a signal 300 (e.g., encrypted authentication information) that includes
`
`various separable fields, including a header field 302, a public ID field 304, digital
`
`signature field 306, one-time time varying code field 308, encrypted biometric data
`
`312, and/or other ID data field 314. See, e.g., ’184 Application at 44:3-20, FIG. 23;
`
`Ex. 2010, Jakobsson at ¶ 36. Concurrently, the ’184 Application describes how
`
`4
`
`

`

`Case No. CBM2018-00024
`U.S. Patent No. 8,577,813
`encrypted authentication information may be generated from a non-predictable
`
`value, information associated with a portion of a biometric,
`
`identifying
`
`information, and secret information. See, e.g., ’184 Application at Abstract, 9:29-
`
`10:3, 65:25-30, 67:5-16, 72:23-30, 73:13-15, Cl. 1, FIG. 31; Ex. 2010, Jakobsson
`
`at ¶ 36. When they are included in the encrypted authentication information, one or
`
`more of these values and fields may be separate from one another and/or may be
`
`separable from one another once the encrypted authentication information is
`
`received and decrypted by the secure registry. See, e.g., ’184 Application at 7:3-10,
`
`7:21-29, 44:21-47:23, 66:19-67:19, 74:3-5; Ex. 2010, Jakobsson at ¶ 36.
`
`With respect to limitations 38[b], 39[b], and 45[b], the ’184 Application
`
`describes how software may be downloaded to the electronic ID device through a
`
`network where the software is employed in financial transactions with the secure
`
`registry. ’184 Application at 65:4-66:13; Ex. 2010, Jakobsson at ¶ 37. In some
`
`cases, the software remains inoperative until the electronic ID device is activated.
`
`’184 Application at 65:25-66:13; Ex. 2010, Jakobsson at ¶ 37.
`
`Similar support for the claim limitations above and other limitations can be
`
`found in the ’586 Application, as shown below.
`
`Claims Exemplary Support in ’184 App. Exemplary Support in ’586 App.
`Proposed Claim 27
`Abstract, 9:12-13, 18:9-10, 61:1-8,
`27[pre] Abstract, 9:23-24, 18:21-23, 62:17-
`24, Cl. 1, FIG. 31; Ex. 2010 at ¶39.
`Cl. 1, FIG. 31; Ex. 2010 at ¶39.
`27[a] Abstract, 63:7-11, Cl. 1, FIG. 31; Ex.
`Abstract, 62:22-26, Cl. 1, FIG. 31;
`2010 at ¶40.
`Ex. 2010 at ¶40.
`
`5
`
`

`

`27[c]
`
`27[e]
`
`29
`
`Case No. CBM2018-00024
`U.S. Patent No. 8,577,813
`Abstract, 9:15-17, 61:9-12, 71:4-18,
`27[b] Abstract, 9:26-28, 62:25-28, 72:18-
`Cl. 1, FIG. 31; Ex. 2010 at ¶41.
`30, Cl. 1, FIG. 31; Ex. 2010 at ¶41.
`17:12-18:2, 22:26-24:9, 24:28-25:2,
`17:25-18:15, 23:14-24:27, 25:17-22,
`61:1-8, 65:21-66:4, FIGS. 7-9, FIG.
`62:17-24, 67:5-19, FIGS. 7-9, FIG.
`31; Ex. 2010 at ¶42.
`31; Ex. 2010 at ¶42.
`Abstract, 51:1-3, 61:9-21, 71:4-18,
`27[d] Abstract, 52:8-10, 62:25-63:1, 72:18-
`Cl. 1, FIG. 31; Ex. 2010 at ¶43.
`30, Cl. 1, FIG. 31; Ex. 2010 at ¶43.
`Abstract, 9:18-23, 64:8-13, 65:21-
`Abstract, 9:29-10:3, 65:25-30, 67:5-
`30, 71:9-16, 71:31-72:1, Cl. 1, FIG.
`16, 72:23-30, 73:13-15, Cl. 1, FIG.
`31; Ex. 2010 at ¶44.
`31; Ex. 2010 at ¶44.
`Abstract, 9:23-25, 71:15-17, Cl. 1,
`27[f] Abstract, 10:4-5, 72:29-30, Cl. 1,
`FIG. 31; Ex. 2010 at ¶45.
`FIG. 31; Ex. 2010 at ¶45.
`64:8-15, 68:24-69:2, 71:31-72:5,
`27[g] 65:25-66:2, 70:8-17, 73:13-19, 74:1-
`72:17-21, Cl. 17; Ex. 2010 at ¶46.
`3, Cl. 17; Ex. 2010 at ¶46.
`71:19-22, Cl. 2, FIG. 31; Ex. 2010 at
`27[h] 73:1-3, Cl. 2, FIG. 31; Ex. 2010 at
`¶47.
`¶47.
`Proposed Claim 28
`28[a] 67:26-68:19; Ex. 2010 at ¶49.
`66:11-67:3; Ex. 2010 at ¶49.
`Abstract, 9:29-10:3, 44:3-20, 44:23-
`Abstract, 9:18-23, 43:1-16, 43:18-
`45:27, 65:25-30, 67:5-16, 72:23-30,
`44:25, 64:8-13, 65:21-30, 71:9-16,
`73:13-15, Cl. 1, FIGS. 23, 31; Ex.
`71:31-72:1, Cl. 1, FIGS. 23, 31; Ex.
`2010 at ¶50.
`2010 at ¶50.
`Proposed Claim 29
`72:31, Cl. 6; Ex. 2010 at ¶52.
`71:17-18, Cl. 6; Ex. 2010 at ¶52.
`Proposed Claim 30
`30[a] 73:8-10, Cl. 7; Ex. 2010 at ¶54.
`71:26-28, Cl. 7; Ex. 2010 at ¶54.
`30[b] 44:3-20, FIG. 23; Ex. 2010 at ¶55.
`43:1-16, FIG. 23; Ex. 2010 at ¶55.
`Proposed Claim 31
`73:10-12, Cl. 8; Ex. 2010 at ¶57.
`71:28-30, Cl. 8; Ex. 2010 at ¶57.
`Proposed Claim 32
`73:13-15, Cl. 9; Ex. 2010 at ¶59.
`71:31-72:1, Cl. 9; Ex. 2010 at ¶59.
`Proposed Claim 33
`73:15-17, Cl. 10; Ex. 2010 at ¶61.
`72:1-3, Cl. 10; Ex. 2010 at ¶61.
`Proposed Claim 34
`73:17-19, Cl. 11; Ex. 2010 at ¶63.
`72:3-5, Cl. 11; Ex. 2010 at ¶63.
`Proposed Claim 35
`66:23-28, 67:26-68:9, Cl. 12; Ex.
`65:7-12, 66:11-25, Cl. 12; Ex. 2010
`2010 at ¶65.
`at ¶65.
`Proposed Claim 36
`
`28[b]
`
`31
`
`32
`
`33
`
`34
`
`35
`
`6
`
`

`

`36
`
`6:2-7, 18:26-28, 63:7-9, Cl. 13; Ex.
`2010 at ¶67.
`
`Case No. CBM2018-00024
`U.S. Patent No. 8,577,813
`61:22-26, Cl. 13; Ex. 2010 at ¶67.
`
`Proposed Claim 37
`51:16-20, 53:18-30, 63:8-17, 63:30-
`37[a] 52:22-26, 54:24-55:5, 64:25-65:3,
`65:16-24, 70:24-31; Ex. 2010 at ¶69.
`64:7, 63:9-17; Ex. 2010 at ¶69.
`37[b] 7:3-10, 7:21-29, 66:19-67:19, 74:3-5,
`6:23-30, 7:9-17, 65:3-66:4, 72:19-
`Cl. 19; Ex. 2010 at ¶70.
`21, Cl. 19; Ex. 2010 at ¶70.
`Proposed Claim 38
`38[a] 65:16-24, 71:9-14; Ex. 2010 at ¶72. 63:30-64:7, 69:18-70:6; Ex. 2010 at
`¶72.
`38[b] 65:4-66:13; Ex. 2010 at ¶73.
`63:18-64:28; Ex. 2010 at ¶73.
`Proposed Claim 39
`39[a] 65:16-24, 71:9-14; Ex. 2010 at ¶75. 63:30-64:7, 69:18-70:6; Ex. 2010 at
`¶75.
`39[b] 65:25-66:13; Ex. 2010 at ¶76.
`64:8-28; Ex. 2010 at ¶76.
`Proposed Claim 40
`40[pre] 73:20-21, Cl. 15; Ex. 2010 at ¶78.
`72:6-7, Cl. 15; Ex. 2010 at ¶78.
`40[a] Abstract, 10:4-5, 72:29-30, 73:21-23,
`Abstract, 9:23-25, 71:15-17, 72:7-9,
`Cl. 15, FIG. 31; Ex. 2010 at ¶79.
`Cl. 15, FIG. 31; Ex. 2010 at ¶79.
`40[b] 65:25-66:2, 70:8-17, 73:13-19, 74:1-
`64:8-15, 68:24-69:2, 71:31-72:5,
`3, Cl. 17; Ex. 2010 at ¶80.
`72:17-21, Cl. 17; Ex. 2010 at ¶80.
`40[c] 65:25-26; Ex. 2010 at ¶81.
`64:8-9; Ex. 2010 at ¶81.
`40[d] 73:23-24, Cl. 15; Ex. 2010 at ¶82.
`72:9-10, Cl. 15; Ex. 2010 at ¶82.
`40[e] 73:24-25, Cl. 15; Ex. 2010 at ¶83.
`72:10-12, Cl. 15; Ex. 2010 at ¶83.
`40[f] 73:26-27, Cl. 15; Ex. 2010 at ¶84.
`72:12-13, Cl. 15; Ex. 2010 at ¶84.
`40[g] 74:11-13; Ex. 2010 at ¶85.
`72:28-30; Ex. 2010 at ¶85.
`Proposed Claim 41
`51:16-20, 53:18-30, 63:8-17, 63:30-
`41[a] 52:22-26, 54:24-55:5, 64:25-65:3,
`65:16-24, 70:24-31; Ex. 2010 at ¶87.
`64:7, 63:9-17; Ex. 2010 at ¶87.
`Abstract, 9:29-10:3, 44:3-20, 44:23-
`Abstract, 9:18-23, 43:1-16, 43:18-
`45:27, 65:25-30, 67:5-16, 72:23-30,
`44:25, 64:8-13, 65:21-30, 71:9-16,
`73:13-15, Cl. 1, FIGS. 23, 31; Ex.
`71:31-72:1, Cl. 1, FIGS. 23, 31; Ex.
`2010 at ¶88.
`2010 at ¶88.
`Proposed Claim 42
`
`41[b]
`
`7
`
`

`

`43
`
`Case No. CBM2018-00024
`U.S. Patent No. 8,577,813
`65:7-12, 66:11-25, Cl. 18; Ex. 2010
`42[a] 66:23-28, 67:26-68:9, Cl. 18; Ex.
`at ¶90.
`2010 at ¶90.
`43:1-16, FIG. 23; Ex. 2010 at ¶91.
`42[b] 44:3-20, FIG. 23; Ex. 2010 at ¶91.
`Proposed Claim 43
`74:3-5, Cl. 19; Ex. 2010 at ¶93.
`72:19-21, Cl. 19; Ex. 2010 at ¶93.
`Proposed Claim 44
`44[a] 65:16-24, 71:9-14; Ex. 2010 at ¶95. 63:30-64:7, 69:18-70:6; Ex. 2010 at
`¶95.
`6:23-30, 7:9-17, 65:3-66:4, 72:19-
`44[b] 7:3-10, 7:21-29, 66:19-67:19, 74:3-5,
`Cl. 19; Ex. 2010 at ¶96.
`21, Cl. 19; Ex. 2010 at ¶96.
`Proposed Claim 45
`45[a] 65:16-24, 71:9-14; Ex. 2010 at ¶98. 63:30-64:7, 69:18-70:6; Ex. 2010 at
`¶98.
`45[b] 65:4-66:13; Ex. 2010 at ¶99.
`63:18-64:28; Ex. 2010 at ¶99.
`Proposed Claim 46
`46[pre] 74:6-7, Cl. 20; Ex. 2010 at ¶101.
`74:22-23, Cl. 20; Ex. 2010 at ¶101.
`46[a] Abstract, 9:26-28, 62:25-28, 72:18-
`Abstract, 9:15-17, 61:9-12, 71:4-18,
`30, Cl. 1, FIG. 31; Ex. 2010 at ¶102.
`Cl. 1, FIG. 31; Ex. 2010 at ¶102.
`46[b] Abstract, 10:4-5, 72:29-30, 73:21-23,
`Abstract, 9:23-25, 71:15-17, 72:7-9,
`Cl. 15, FIG. 31; Ex. 2010 at ¶103.
`Cl. 15, FIG. 31; Ex. 2010 at ¶103.
`46[c] 65:25-66:2, 70:8-17, 73:13-19, 74:1-
`64:8-15, 68:24-69:2, 71:31-72:5,
`3, Cl. 17; Ex. 2010 at ¶104.
`72:17-21, Cl. 17; Ex. 2010 at ¶104.
`46[d] 73:23-24, 74:7-8, Cl. 15, Cl. 20; Ex.
`72:9-10, 72:23-24, Cl. 15, Cl. 20;
`2010 at ¶105.
`Ex. 2010 at ¶105.
`46[e] 74:7-11, Cl. 20; Ex. 2010 at ¶106.
`72:23-26, Cl. 20; Ex. 2010 at ¶106.
`46[f] 74:11-13, Cl. 20; Ex. 2010 at ¶107.
`72:28-30, Cl. 20; Ex. 2010 at ¶107.
`46[g] 74:13-16, Cl. 20; Ex. 2010 at ¶108.
`72:30-32, Cl. 20; Ex. 2010 at ¶108.
`46[h] 74:16-18, Cl. 20; Ex. 2010 at ¶109.
`72:32-73:2, Cl. 20; Ex. 2010 at ¶109.
`Proposed Claim 47
`47[a] 65:16-24, 71:9-14; Ex. 2010 at ¶111. 63:30-64:7, 69:18-70:6; Ex. 2010 at
`¶111.
`17:25-18:15, 23:14-24:27, 25:17-22,
`17:12-18:2, 22:26-24:9, 24:28-25:2,
`62:17-24, FIGS. 7-9, FIG. 31; Ex.
`61:1-8, FIGS. 7-9, FIG. 31; Ex. 2010
`2010 at ¶112.
`at ¶112.
`Proposed Claim 48
`65:16-24, 71:9-14; Ex. 2010 at ¶114. 63:30-64:7, 69:18-70:6; Ex. 2010 at
`¶114.
`
`47[b]
`
`48
`
`8
`
`

`

`Case No. CBM2018-00024
`U.S. Patent No. 8,577,813
`THE PROPOSED SUBSTITUTE CLAIMS RESPOND TO AND
`OVERCOME THE GROUNDS OF RECORD
`
`V.
`
`The proposed substitute claims also “respond to a ground of unpatentability
`
`involved in the trial.” 37 C.F.R. § 42.221(a)(2). Substitute independent claims 27,
`
`40, and 46 respond to Ground 1 of unpatentability set forth in the Petition. Paper 3
`
`at 27-68. Specifically, the amendments included in those substitute claims further
`
`differentiate the claims from art cited in Ground 1: Maes in view of Jakobsson. Ex.
`
`2010, Jakobsson at ¶ 115. Substitute dependent claims 31-35 respond to Ground 2
`
`of unpatentability. Paper 3 at 69-82. Specifically, the amendments included in
`
`those substitute claims further differentiate the claims from art cited in Ground 2:
`
`Maes in view of Jakobsson further in view of Maritzen. Ex. 2010, Jakobsson at
`
`¶ 115. Substitute dependent claims 38, 39, 44, 45, 47, and 47 respond to Ground 3
`
`of unpatentability. Paper 3 at 83-90. Specifically, the amendments included in
`
`those substitute claims further differentiate the claims from art cited in Ground 3:
`
`Maes in view of Jakobsson further in view of Labrou. Ex. 2010, Jakobsson at
`
`¶ 115. Thus, substitute claims 27, 40, and 46, and claims depending therefrom, are
`
`novel and nonobvious over the cited art. Id.
`
`VI. CONCLUSION
`
`It is respectfully submitted that the above conditional substitute claims should
`
`be found patentable.
`
`Date: February 15, 2019
`
` Respectfully submitted,
`
`9
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`Case No. CBM2018-00024
`U.S. Patent No. 8,577,813
`
`By: /s/ James M. Glass, Reg. No. 46,729
` James M. Glass (Reg. No. 46,729)
`QUINN EMANUEL URQUHART &
`SULLIVAN, LLP
`51 Madison Avenue, 22nd Floor
`New York, NY 10010
`Tel: (212) 849-7000
`Fax: (212) 849-7100
`Email: jimglass@quinnemanuel.com
`
`Lead Attorney for Patent Owner –
`Universal Secure Registry LLC
`
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`Case No. CBM2018-00024
`U.S. Patent No. 8,577,813
`
`APPENDIX A
`CLAIM LISTING
`
`27. (Proposed Substitute for Claim 1) An electronic ID device configured to allow
`a user to select any one of a plurality of financial accounts associated with the user
`to employ in a financial transaction, comprising:
`a biometric sensor configured to receive a biometric input provided by the
`
`user;
`
`a user interface configured to receive a user input including secret
`information known to the user and identifying information concerning a financial
`[[an ]]account selected by the user from the plurality of financial accounts, the
`identifying information not including an account number of the selected financial
`account;
`a communication interface configured to communicate with a secure
`registry;
`a processor coupled to the biometric sensor to receive information
`concerning the biometric input, the user interface and the communication interface,
`the processor being programmed to
`activate the electronic ID device based on successful authentication by
`the electronic ID device of at least one of the biometric input and the secret
`information, the processor also being programmed such that once the
`electronic ID device is activated the processor is configured to
`generate a non-predictable value and to
`generate encrypted authentication information from the non-
`predictable value, information associated with at least a portion of the
`biometric input, the identifying information, and the secret information, and
`to
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`Case No. CBM2018-00024
`U.S. Patent No. 8,577,813
`communicate the encrypted authentication information via the
`communication interface to the secure registry; and
`wherein the processor is further programmed to de-activate the electronic ID
`device, without generating the encrypted authentication information, thereby
`initiating a lockout period for the electronic ID device when authentication by the
`electronic ID device is unsuccessful;
`wherein the communication interface is configured to wirelessly transmit the
`encrypted authentication information to a point-of-sale (POS) device, and
`wherein the secure registry is configured to receive at least a portion of the
`encrypted authentication information from the POS device.
`
`28. (Proposed Substitute for Claim 2) The electronic ID device of claim 27[[1]],
`wherein the electronic ID device comprises a discrete code associated with the
`electronic ID device, and the encrypted authentication information includes
`separable fields that include at least two of the non-predictable value, the
`information associated with at least the portion of the biometric input, the
`identifying information, and the secret information.
`
`29. (Proposed Substitute for Claim 4) The electronic ID device of claim 27[[1]],
`wherein the secret information includes the identifying information.
`
`30. (Proposed Substitute for Claim 5) The electronic ID device of claim 27[[1]],
`further comprising a memory coupled to the processor, wherein the memory stores
`information employed by the electronic ID device to authenticate the biometric
`received by the biometric sensor, and the encrypted authentication information
`includes a digital signature generated using a private key associated with the
`electronic ID device.
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`Case No. CBM2018-00024
`U.S. Patent No. 8,577,813
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`31. (Proposed Substitute for Claim 6) The electronic ID device of claim 30[[5]],
`wherein the electronic ID device does not permit the entry of the user input if the
`biometric input received by the biometric sensor is determined to not belong to an
`authorized user of the electronic ID device.
`
`32. (Proposed Substitute for Claim 7) The electronic ID device of claim 31[[6]],
`wherein the secret information known to the user includes a PIN, and wherein the
`authentication of both the secret information and the biometric input activate the
`electronic ID device for a financial transaction.
`
`33. (Proposed Substitute for Claim 8) The electronic ID device of claim 32[[7]],
`further comprising a memory coupled to the processor, wherein data stored in the
`memory is unavailable to an individual in possession of the electronic ID device
`until the electronic ID device is activated.
`
`34. (Proposed Substitute for Claim 9) The electronic ID device of claim 33[[8]],
`wherein the data is subject to a mathematical operation that acts to modify the data
`such that it is unintelligible until the electronic ID device is activated.
`
`35. (Proposed Substitute for Claim 10) The electronic ID device of claim 33[[8]],
`further comprising a memory coupled to the processor and configured to store an
`electronic serial number of the electronic ID device, wherein the processor is
`configured to generate a seed using at least two of the electronic serial number, a
`discrete code associated with the electronic ID device, the PIN, a time value, and
`the biometric input to generate the encrypted authentication information, and
`wherein the seed is employed by the processor to generate the non-predictable
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`value.
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`Case No. CBM2018-00024
`U.S. Patent No. 8,577,813
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`36. (Proposed Substitute for Claim 11) The electronic ID device of claim 27[[1]],
`wherein the biometric sensor is configured to receive and process at least one of a
`fingerprint, a speech/voice input, an iris scan, a retina scan, a facial scan, written
`information and a DNA input.
`
`37. (Proposed Substitute for Claim 13) The electronic ID device of claim 27[[1]],
`wherein the processor is configured to display indicators for the plurality of
`accounts in the user interface, and the user interface is configured to accept user
`selection of a respective one of the plurality of accounts, and wherein the secure
`registry is further configured to decrypt the encrypted authentication information to
`obtain the identifying information.
`
`38. (Proposed Substitute for Claim 14) The electronic ID device of claim 27[[1]],
`wherein the user interface is configured to display options for purchase, and the
`processor is further programmed to:
`download software to the electronic ID device through a network, the
`software configured to be employed in conducting financial transactions with the
`secure registry.
`
`39. (Proposed Substitute for Claim 15) The electronic ID device of claim 38[[14]],
`wherein the user interface is configured to accept selection of at least one product
`or service, and the software is configured to remain inoperative until the electronic
`ID device is activated.
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`Case No. CBM2018-00024
`U.S. Patent No. 8,577,813
`40. (Proposed Substitute for Claims 16 and 18) A method of generating
`authentication information comprising acts of:
`authenticating an identity of a user to an electronic ID device based on at
`least one of biometric data received by the electronic ID device from the user and
`secret information known to the user and provided to the electronic ID device;
`de-activating the electronic ID device, without generating encrypted
`authentication information, thereby initiating a lockout period for the electronic ID
`device when authentication of the identity of the user to the electronic ID device is
`unsuccessful;
`activating the electronic ID device when based on successful authentication
`of the identity of the user to the electronic ID device is successful;
`generating, responsive to activating, a non-predictable value with the
`electronic ID device;
`receiving, in a user interface, identifying information from the user
`concerning a selected one of a plurality of user accounts;
`generating the encrypted authentication information from the non-
`predictable value, information associated with at least a portion of the biometric
`data, the identifying information, and the secret information; and
`communicating, by a communication interface, the encrypted authentication
`information from the electronic ID device to a secure registry via a point-of-sale
`(POS) device to authenticate the electronic ID device with the secure registry.
`
`41. (Proposed Substitute for Claim 17) The method of claim 40[[16]], further
`comprising an act of displaying, on the user interface indicators for the plurality of
`user accounts stored in a memory of the electronic ID device, and
`wherein the encrypted authentication information includes separable fields
`that include at least two of the non-predictable value, the information associated
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`Case No. CBM2018-00024
`U.S. Patent No. 8,577,813
`with at least the portion of the biometric input, the identifying information, and the
`secret information.
`
`42. (Proposed Substitute for Claim 19) The method of claim 40[[16]], further
`comprising an act of generating a seed from which the authentication information
`is generated by employing at least two of the biometric data, the secret information
`known to the user, and an electronic serial number of the electronic ID device, and
`wherein the encrypted authentication information includes a digital signature
`generated using a private key associated with the electronic ID device.
`
`43. (Proposed Substitute for Claim 20) The method of claim 40[[16]], further
`comprising an act of generating encrypted authentication information in a manner
`that allows the identification of the user and the selected one of the plurality of user
`accounts by a secure registry.
`
`44. (Proposed Substitute for Claim 22) The method of claim 40[[16]], further
`comprising:
`displaying options for purchase on the user interface; and
`decrypting at the secure registry the encrypted authentication information to
`obtain the identifying information.
`
`45. (Proposed Substitute for Claim 23) The method claim 44[[22]], further
`comprising:
`selecting with the user interface at least one product or service for purchase;
`
`and
`
`downloading software to the electronic ID device through a network, the
`software configured to be employed in conducting financial transactions with the
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`Case No. CBM2018-00024
`U.S. Patent No. 8,577,813
`secure registry, the software further configured to remain inoperative until the
`electronic ID device is activated.
`
`46. (Proposed Substitute for Claim 24) A method of controlling access to a
`plurality of accounts, the method comprising acts of:
`receiving from a user, at a user interface of an electronic ID device,
`identifying information concerning a selected one of a plurality of user accounts
`and secret information known to the user;
`authenticating an identity of the user at the electronic ID device based on at
`least one of biometric data received from the user and the secret information;
`de-activating the electronic ID device, without generating encrypted
`authentication information, to initiate a lockout period for the electronic ID device
`when authentication of the identity of the user is unsuccessful;
`generating, with the [[an ]]electronic ID device, a non-predictable value;
`generating, with the electronic ID device, the encrypted authentication
`information from the non-predictable value generated by the electronic ID device,
`information associated with at least a portion of the [[a ]]biometric data of the user
`received by the electronic ID device, the identifying information, and the secret
`information provided to the electronic ID device by the user;
`communicating the encrypted authentication information from the electronic
`ID device to a secure registry via a point-of-sale (POS) device to authenticate or
`not authenticate the electronic ID device with the secure registry;
`authorizing the POS device to initiate a financial transaction involving a
`transfer of funds to or from the account selected by the user when the encrypted
`authentication information is successfully authenticated; and
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`Case No. CBM2018-00024
`U.S. Patent No. 8,577,813
`denying the POS device from initiation of the financial transaction involving
`a transfer of funds to or from the account selected by the user when the encrypted
`authentication information is not successfully authenticated.
`
`47. (Proposed Substitute for Claim 25) The method of claim 46[[24]], further
`comprising displaying options for purchase on the user interface, and wherein the
`identifying information does not include a financial account number of the selected
`account.
`
`48. (Proposed Substitute for Claim 26) The method claim 47[[25]], further
`comprising selecting with the user interface at least one product or service for
`purchase.
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`Case No. CBM2018-00024
`U.S. Patent No. 8,577,813
`
`APPENDIX B
`CLAIM NOTATION CHART
`
`Claims
`Proposed Claim 27
`[[1]]27. An electronic ID device configured to allow a user to
`select any one of a plurality of financial accounts associated
`with the user to employ in a financial transaction, comprising:
`a biometric sensor configured to receive a biometric input
`provided by the user;
`a user interface configured to receive a user input including
`secret information known to the user and identifying
`information concerning a financial [[an ]]account selected by the
`user from the plurality of financial accounts,
`the identifying information not including an account number of
`the selected financial account;
`a communication interface configured to communicate with a
`secure registry;
`a processor coupled to the biometric sensor to receive
`information concerning the biometric input, t