`________________
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`________________
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`NISSAN NORTH AMERICA, INC.
`Petitioner,
`v.
`JOAO CONTROL & MONITORING SYSTEMS, LLC
`Patent Owner
`________________
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`Case IPR2015-01508
`Patent 6,542,076
`________________
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`PATENT OWNER’S RESPONSE TO PETITION
`FOR INTER PARTES REVIEW UNDER 37 C.F.R. § 42.107
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`Patent Owner’s Response to Petition
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`Case IPR2015-01508
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`TABLE OF CONTENTS
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`Page
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`I. INTRODUCTION ............................................................................................... 1
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`II. BACKGROUND ................................................................................................. 2
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` A. Overview of the ‘076 Patent .......................................................................... 2
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` B. Prosecution History of the ‘076 Patent .......................................................... 3
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` C. Representative Claims .................................................................................... 4
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`III. CLAIM CONSTRUCTION ............................................................................... 8
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` A. Legal Standards .............................................................................................. 8
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` B. “control device” ............................................................................................ 10
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` C. “first signal,” “second signal” and “third signal” ......................................... 11
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`IV. DAVID McNAMARA’S DECLARATION IS FUNDAMENTALLY
` FLAWED ......................................................................................................... 12
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` A. David McNamara did not Review the Materials Required to Properly Reach
` his Conclusions and Opinions ..................................................................... 12
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` B. David McNamara has an Erroneous Understanding of the Standards to Use
` In Construing Patent Claims ........................................................................ 13
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` C. David McNamara’s Testimony Should Be Given Little or No Weight ....... 15
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`V. RESPONSE TO PROPOSED GROUNDS OF INVALIDITY ........................ 15
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` A. Ground 1 is Deficient ................................................................................... 15
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` B. Ground 2 is Deficient ................................................................................... 22
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` C. Ground 3 is Deficient ................................................................................... 22
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` D. Ground 4 is Deficient ................................................................................... 24
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` E. Ground 5 is Deficient ................................................................................... 24
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` F. Ground 6 is Deficient .................................................................................... 27
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` 1. Frossard fails to disclose the “A to B to C” control system/method of
` claims 3, 73 and 205 ............................................................................... 16
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` 1. Pagliaroli fails to disclose the “A to B to C” control system/method of
` claims 3, 73 and 205 ................................................................................ 28
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` 2. Pagliaroli fails to disclose a “first control device” that determines an
` “operating status” as required by claim 93 .............................................. 34
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` G. Ground 7 is Deficient ................................................................................... 35
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` H. Ground 8 is Deficient ................................................................................... 36
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` I. Ground 9 is Deficient ................................................................................... 36
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`VI. CONCLUSION................................................................................................ 40
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`LIST OF EXHIBITS
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`Exhibit
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`EX2001
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`Description
`“Preliminary Remarks” filed by Applicant on November 26, 2006
`during prosecution of the patent application that issued as related U.S.
`Patent No. 7,277,010
`“Supplement to the Remarks for the Amendment filed on October 24,
`2007” filed on November 23, 2007 during prosecution of the patent
`application that issued as related U.S. Patent No. 7,397,363
`EX2003 Declaration of Steven W. Ritcheson
`August 26, 2015 Opinion and Order Construing Disputed Claim Terms
`in the matter of JCMS v. Chrysler Group LLC, Case No. 13-cv-13957
`(E.D. Mich.)
`EX2005 Transcript of March 15, 2016 Deposition of David McNamara
`EX2006 Transcript of March 16, 2016 Deposition of David McNamara
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`EX2002
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`EX2004
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`I.
`INTRODUCTION
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`In response to the Petition for Inter Partes Review (“Petition”) filed by
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`Petitioner, the Board has instituted inter partes review (Paper 10, the “Decision”)
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`of claims 3, 20, 65, 73, 93, 103, 104, 108 and 205 (“Challenged Claims”) of U.S.
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`Patent No. 6,542,076 (“the ‘076 Patent”) based on the following grounds:
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`Ground
`1
`2
`3
`4
`5
`6
`7
`8
`9
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`Claims
`3, 20, 73, 103
`and 205
`65
`93
`104
`108
`3, 20, 65, 73, 93
`and 205
`103
`104
`108
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`Proposed Rejections
`anticipated by Frossard
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`obvious in view of Frossard and Pagliaroli
`obvious in view of Frossard and Drori
`obvious in view of Frossard and LeBlanc
`obvious in view of Frossard and Simms
`anticipated by Pagliaroli
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`obvious in view of Pagliaroli and Frossard
`obvious in view of Pagliaroli and LeBlanc
`obvious in view of Pagliaroli and Simms
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`The nine proposed grounds of rejection are substantively flawed, in that
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`none of the cited references teach important properly construed claim limitations.
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`For example, none of the cited references teach an “A to B to C” control
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`system/method, as required by the challenged claims and as will be explained in
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`more detail below.
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`Further, as will be discussed below, it became apparent during cross-
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`examination that Petitioner’s expert, David McNamara: (1) did not review the
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`materials required to properly reach his conclusions and opinions; and (2) has an
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`erroneous understanding of the proper standards to use in construing patent
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`claims. For at least these reasons, the Board should give Mr. McNamara’s
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`testimony little or no weight.
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`Accordingly, Joao Control & Monitoring Systems, LLC (“JCMS” or
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`“Patent Owner”) submits this Response to Petitioner’s Petition and the Board’s
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`Decision.
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`II. BACKGROUND
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`A. Overview of the ‘076 Patent
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`The ‘076 Patent is directed to a novel and unconventional system for, inter
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`alia, remotely-controlling and/or monitoring systems located at vehicles and
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`premises. EX1001 at 23. The Challenged Claims are directed to a specially
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`assembled and programmed distributed control system/method for vehicles,
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`wherein control functions for a vehicle or for a vehicle system, vehicle equipment
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`system, vehicle component, vehicle device, vehicle equipment, or vehicle
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`appliance, of a vehicle, can be distributed among three separate and distinct
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`control devices, each of which can generate or transmit a separate and distinct
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`signal in order to control a separate fourth device of or at the vehicle, which is
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`the respective vehicle system, vehicle equipment system, vehicle component,
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`vehicle device, vehicle equipment, or vehicle appliance.
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`A separate
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`interface device can be optionally used
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`to facilitate
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`communications between one of the control devices and the separate fourth
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`device of or at the vehicle, which is the respective vehicle system, vehicle
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`equipment system, vehicle component, vehicle device, vehicle equipment, or
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`vehicle appliance.
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`B.
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`Prosecution History of the ‘076 Patent
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`The patent application that issued as the ‘076 patent was filed on April, 17,
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`2000. EX1001. The ‘076 patent issued on April 1, 2003. Id. The ‘076 patent
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`expired on June 8, 2013.
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`During prosecution of related U.S. Patent Applications that issued as U.S.
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`Patent Nos. 7,397,363 and 7,277,010 (hereinafter “the ‘363 Patent” and “the ‘010
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`Patent,” respectively), the Applicant chose to be his own lexicographer and
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`provided explicit definitions for, inter alia, the terms “control device,” “remote,”
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`and “located at” in “Preliminary Remarks” filed by Applicant on November 26,
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`2006 during prosecution of the patent application that issued as the ‘010 patent
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`(see EX2001, hereinafter “Preliminary Remarks”) and in “Supplement to the
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`Remarks for the Amendment filed on October 24, 2007” filed on November 23,
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`2007 during prosecution of the patent application that issued as the ‘363 Patent
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`(see EX2002, hereinafter “First Remarks”).
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`C. Representative Claims
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`Claims 3, 73 and 205 are the only independent claims being challenged.
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`They are reproduced below:
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`3.
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`A control apparatus, comprising:
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`a first control device, wherein the first control device at least one of
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`generates a first signal and transmits a first signal for at least one of activating,
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`de-activating, disabling, and re-enabling, at least one of a vehicle system, a
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`vehicle equipment system, a vehicle component, a vehicle device, a vehicle
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`equipment, and a vehicle appliance, of a vehicle, wherein the first control device
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`is located at the vehicle,
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`wherein the first control device at least one of generates the first
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`signal and transmits the first signal in response to a second signal, wherein the
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`second signal is at least one of generated by a second control device and
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`transmitted from a second control device, wherein the second control device is
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`located at a location which is remote from the vehicle, wherein the second signal
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`is transmitted from the second control device to the first control device, wherein
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`the second signal is automatically received by the first control device, and further
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`wherein the second control device at least one of generates the second signal and
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`transmits the second signal in response to a third signal,
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`wherein the third signal is at least one of generated by a third control
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`device and transmitted from a third control device, wherein the third control
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`device is located at a location which is remote from the vehicle and remote from
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`the second control device, wherein the third signal is transmitted from the third
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`control device to the second control device, and further wherein the third signal is
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`automatically received by the second control device.
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`73. A control apparatus, comprising:
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`a first control device, wherein the first control device is capable of at
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`least one of activating, de-activating, disabling, and re-enabling, one or more of a
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`plurality of at least one of a vehicle system, a vehicle equipment system, a
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`vehicle component, a vehicle device, a vehicle equipment, and a vehicle
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`appliance, of a vehicle, wherein the first control device at least one of generates a
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`first signal and transmits a first signal for at least one of activating, de-activating,
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`disabling, and re-enabling, the at least one of a vehicle system, a vehicle
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`equipment system, a vehicle component, a vehicle device, a vehicle equipment,
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`and a vehicle appliance, wherein the first control device is located at the vehicle,
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`wherein the first control device at least one of generates the first
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`signal and transmits the first signal in response to a second signal, wherein the
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`second signal is at least one of generated by a second control device and
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`transmitted from a second control device, wherein the second control device is
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`located at a location which is remote from the vehicle, wherein the second signal
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`is transmitted from the second control device to the first control device, and
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`further wherein the second signal is automatically received by the first control
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`device,
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`wherein the second control device at least one of generates the
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`second signal and transmits the second signal in response to a third signal,
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`wherein the third signal is at least one of generated by a third control device and
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`transmitted from a third control device, wherein the third control device is
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`located at a location which is remote from the vehicle and remote from the
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`second control device, wherein the third signal is transmitted from the third
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`control device to the second control device, and further wherein the third signal is
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`automatically received by the second control device.
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`205. A control method, comprising:
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`transmitting a first signal from a first control device to a second
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`control device, wherein the first control device is located at a location remote
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`from the second control device and remote from a vehicle, and further wherein
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`the first signal is automatically received by the second control device;
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`transmitting a second signal from the second control device to a
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`third control device, wherein the third control device is capable of at least one of
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`activating, de-activating, disabling, and re-enabling, one or more of a plurality of
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`at least one of a vehicle system, a vehicle equipment system, a vehicle
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`component, a vehicle device, a vehicle equipment, and a vehicle appliance, of the
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`vehicle, wherein the third control device is located at the vehicle, and further
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`wherein the second control device is located at a location remote from the
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`vehicle, and further wherein the second signal is automatically received by the
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`third control device;
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`at least one of generating a third signal with the third control device
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`and transmitting a third signal from the third control device, wherein the third
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`control device is located at the vehicle, and further wherein the third signal is at
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`least one of generated and transmitted in response to the second signal; and
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`at least one of activating, de-activating, disabling, and re-enabling, the at
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`least one of a vehicle system, a vehicle equipment system, a vehicle component, a
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`vehicle device, a vehicle equipment, and a vehicle appliance.
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`III. CLAIM CONSTRUCTION
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`Legal Standards
`A.
`The ‘076 Patent is expired. Claim terms in an expired patent are generally
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`given their “ordinary and customary meaning” as understood by a person of
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`ordinary skill in the art in question at the time of the invention. Phillips v. AWH
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`Corp., 415 F.3d 1303,1327 (Fed. Cir. 2005). However, it is important to note that
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`the Manual of Patent Examining Procedure (MPEP) and controlling case law
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`make it clear that the determination of the ordinary and customary meaning of a
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`term or phrase does not occur in a vacuum, but instead it must be made in light of
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`the patent’s specification and the intrinsic evidence. MPEP §2111.01 is clear and
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`unequivocal on this point. The pertinent portion of the MPEP §2111.01 recites:
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`The ordinary and customary meaning of a term may be
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`evidenced by a variety of sources, including “the words
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`the remainder of
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`specification, the prosecution history, and extrinsic
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`evidence concerning relevant scientific principles, the
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`meaning of technical terms, and the state of the art.”
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`Phillips v. AWH Corp., 415 F.3d at 1314, 75 USPQ2d
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`at 1327. If extrinsic reference sources, such as
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`dictionaries, evidence more than one definition for the
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`term, the intrinsic record must be consulted to identify
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`which of the different possible definitions is most
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`consistent with Applicant’s use of the terms. Brookhill-
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`Wilk 1, 334 F.3d at 1300, 67 USPQ2d at 1137; see also
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`Renishaw PLC v. Marposs Societa' per Azioni, 158
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`F.3d 1243, 1250, 48 USPQ2d 1117, 1122 (Fed. Cir.
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`1998) (“Where there are several common meanings for
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`a claim term, the patent disclosure serves to point away
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`from the improper meanings and toward the proper
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`meanings.”) and Vitronics Corp. v. Conceptronic Inc.,
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`90 F.3d 1576, 1583, 39 USPQ2d 1573, 1577 (Fed. Cir.
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`1996) (construing the term “solder reflow temperature”
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`to mean “peak reflow temperature” of solder rather than
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`the “liquidus temperature” of solder in order to remain
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`consistent with the specification.). (Emphasis added).
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`“[A] patentee may choose to be his own lexicographer” and assign special
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`definitions to the words in the claim, as long as those definitions are clearly
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`stated in the patent specification or file history. Vitronics Corp. v. Conceptronic,
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`Inc., 90 F.3d 1576, 1582 (Fed. Cir. 1996) (citing Hoechst Celanese Corp. v. BP
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`Chems. Ltd., 78 F.3d 1575, 1578 (Fed. Cir. 1996)). Therefore, “it is always
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`necessary to review the specification to determine whether the inventor has used
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`any terms in a manner inconsistent with their ordinary meaning. The
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`specification acts as a dictionary when it expressly defines terms used in the
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`claims or when it defines terms by implication.” Id. Because the specification
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`must contain a description sufficient to those of ordinary skill in the art to make
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`and use the invention, the specification “is the single best guide to the meaning of
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`a disputed claim term.” Id.
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`B.
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`“control device”
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`For purposes of its Decision, the Board adopted the express definition of
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`“control device” provided during prosecution of the patent application that issued
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`as related U.S. Patent No. 7,397,363, which is “a device or a computer, or that
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`part of a device or a computer, which performs an operation, an action, or a
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`function, or which performs a number of operations, actions, or functions.”
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`Decision at 14.
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`JCMS respectfully submits that this construction should be adopted for the
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`remainder of this IPR.
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`C.
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`“first signal,” “second signal” and “third signal”
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`JCMS respectfully submits that construction of these terms is necessary at
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`this time, as will become apparent below.
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`In litigation involving the ‘076 Patent, the U.S. District Court for the
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`Eastern District of Michigan issued an Opinion and Order Construing Disputed
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`Claim Terms in which they construed the terms “first signal,” “second signal”
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`and “third signal” as follows:
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`“The Court does, however, find that Defendant’s
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`proposed alternative constructions are consistent with
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`the normal understanding of the claim terms. In fact,
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`the parties agree that the “first signal” is a signal sent
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`by the first device, the “second signal” is sent by the
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`second device, and the “third signal” is sent by the
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`third device.” EX2004 at 23. (emphasis added).
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`JCMS respectfully submits that, for purposes of this proceeding, these
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`constructions should be adopted, as they are required to evaluate the merits of
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`Petitioner’s arguments, namely:
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`• “first signal” is “a signal sent by a first device”
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` •
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` “second signal” is “a signal sent by a second
` device”
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` •
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` “third signal” is “a signal sent by a third
` device”
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`IV. DAVID McNAMARA’S DECLARATION IS FUNDAMENTALLY
` FLAWED
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`A. Mr. McNamara did not Review the Materials Required to
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` Properly Reach his Conclusions and Opinions
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`During David McNamara’s cross-examination, it became apparent that Mr.
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`McNamara had not reviewed the materials required for him to properly reach his
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`conclusions and opinions. In his Declaration, Mr. McNamara indicated that he
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`“read” the prosecution history of the ‘076 Patent, as is required in order to
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`properly construe the claims. EX1003 at ¶ 16. Yet, during cross-examination, Mr.
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`McNamara testified that, in fact, he did not review the prosecution history of the
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`‘076 Patent, as evidenced by the following exchange:
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`EX2005 at 153
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`Q: You have testified previously, I think, that you did
` not review the prosecution histories for the four
` JCMS patents at issue correct?
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`A: That’s correct.
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`Q: Is it necessarily true, then, that you, in reaching the
` conclusions or opinions expressed in Exhibits 1
` through 4, you did not apply the, any definitions that
` may have been provided by Mr. Joao during
` prosecution of those patents, correct?
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`A: That’s correct.
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` B. David McNamara has an Erroneous Understanding of the
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` Standards to Use in Construing Patent Claims
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`Mr. McNamara is not at all versed in the proper standards to use when
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`construing patent claims. For example, Mr. McNamara admitted during cross-
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`examination that he used the wrong standard when construing the challenged
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`claims in a related inter partes review brought by the same Petitioner (IPR2015-
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`01645), as evidenced by the following exchange:
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`EX2005 at 151-152
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`Q: . . . With respect to the '363 patent, if you turn
` to that declaration which should be Exhibit 4,
` you have Paragraph 9 that the, you identify
` the claim construction, or the, it states the
` following, "The claim of an unexpired patent
` is to be given the broadest reasonable
` construction in light of the specification of the
` patent in which it appears, which is what I
` have done when performing my analysis in
` this declaration." Do you see that?
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`A: Which paragraph are we reading?
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`Q: I am at paragraph 9 of Exhibit 4?
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` . .
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` .
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`Q: Okay. Are you aware that the PTAB has indicated or
` stated that that is, in fact, the wrong standard for the
` ‘363 patent and that, in fact, the standard is the
` standard that you articulated in the, for example, in
` Exhibit 1?
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`A: I’m recently aware of that, yes.
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`Q: Okay. How does the use of the wrong claim
` construction standard affect your opinions in this
` case?
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`A: I don't think I used the wrong standard because I used
` the same standard through all of the four patents. I
` used the one of ordinary and customary
` understanding. (emphasis added)
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`Q: Is that notwithstanding the fact that you say in
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`A: Well, I think that the, put it this way, I can’t
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`Thus, by Mr. McNamara’s own testimony, he admitted that he cannot tell
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`the difference between the standards used to construe claims in expired and
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`unexpired patents, and so he simply uses the same standard regardless of whether
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`the patent is expired or not. Specifically, Mr. McNamara testified that he uses the
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`“plain and ordinary meaning” standard for all patents, although, given his
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`testimony, it is not clear that he even knows what this standard is or should be.
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`C. David McNamara’s Testimony Should Be Given Little or No
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` Weight
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`The Board should give Mr. McNamara’s testimony little or no weight
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`because, as discussed in detail above: (1) despite his statements in his sworn
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`Declaration to the contrary, he did not even review the materials required to
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`properly reach his conclusions and opinions; and (2) he has an erroneous
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`understanding of the proper standards to use in construing patent claims.
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`V. RESPONSE TO PROPOSED GROUNDS OF INVALIDITY
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`A. Ground 1 is Deficient
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`Ground 1 alleges that claims 3, 20, 73, 103 and 205 are anticipated by
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`Frossard. However, Patent Owner respectfully submits that Frossard fails to
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`disclose, teach or suggest every claimed element of claims 3, 20, 73, 103 and
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`205, as required under § 102, when the claim elements are properly construed.
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`At the outset, Patent Owner disagrees with the Petitioner’s interpretation of
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`“control device” that would allow the receiver/decoder circuits 4 of Frossard to
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`serve as the “first control device” of claims 3 and 73 and the “third control
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`device” of claim 205. Patent Owner maintains that the receiver/decoder circuits
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`4 of Frossard is merely an interface as taught by the specification of the ‘076
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`Patent, and not a “control device.” Petitioner’s arguments and the constructions
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`and interpretations that have been adopted by the Board, notwithstanding,
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`Petitioner’s arguments with respect to Frossard still fail with regards to each of
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`independent claims 3, 73 and 205.
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`Frossard fails to disclose the “A to B to C” control
`1.
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` system/method of claims 3, 73 and 205
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`As discussed supra in Section III.C, the “first signal,” “second signal” and
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`“third signal” recited in claims 3, 73 and 205, are properly construed as:
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`• “first signal” is “a signal sent by a first device”
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`• “second signal” is “a signal sent by a second device”
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`• “third signal” is “a signal sent by a third device”
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`Petitioner alleges that the claimed first control device (claims 3 and 73)
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`and the claimed third control device (claim 205) at the vehicle is satisfied by
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`Frossard’s “receiver-decoder circuits 4.” See Paper 1 at 10 and 18-19. Petitioner
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`further alleges that the claimed intermediate second control device of each of
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`claims 3, 73 and 205 is satisfied by the “resource 2” and “server 1” of Frossard.
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`Id. at 14 and 17. Finally, Petitioner asserts that the claimed remote third control
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`device (claims 3 and 73) or first control device (claim 205) is satisfied by the
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`“telephone” or “minitel” shown in Fig. 1 of Frossard. Id. at 14-15 and 17-18. See
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`also EX1004 at Fig. 1.
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`Even though Petitioner asserts that the claimed second control device of
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`each of claims 3, 73 and 205 is satisfied by the “resource 2” and “server 1” of
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`Frossard, the “resource 2” and “server 1” are actually at least two separate and
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`distinct devices. Claims 3 and 73 require that the second control device receives a
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`third signal from the claimed third control device. Claim 205 requires that the
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`second control device receives a first signal from the claimed first control device.
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`The device in Frossard that receives a signal from the “telephone” or
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`“minitel,” which Petitioner asserts is the claimed first control device of claims 3
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`and 73 and the claimed third control device of claim 205, is actually the server 1
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`of Frossard. Thus, based on Petitioner’s anticipation arguments, the server 1 of
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`Frossard must be the component that corresponds to the claimed second control
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`device of claims 3, 73 and 205 because it receives a third signal from the claimed
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`third control device (in the case of claims 3 and 73) and a first signal from the
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`claimed first control device (in the case of claim 205).
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`As noted above, claims 3 and 73 require that the second control device
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`receives a third signal from the claimed third control device and claim 205
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`requires that the second control device receives a first signal from a first control
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`device.
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`In Frossard, the telephone/minitel transmits a signal (a first generated
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`signal) to the server 1 which, in turn, transmits a new signal (a second generated
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`signal) to the resource 2 which, in turn, transmits yet another new signal (a third
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`generated signal) to the receiver/decoder circuits 4. The receiver/decoder circuits
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`4 of Frossard, which is located at the vehicle, receives that third sent signal.
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`With regards to claims 3 and 73, and using the proper construction of “first
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`signal,” “second signal” and “third signal,” the telephone/minitel (a third control
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`device) transmits a third signal to the server 1 (a second control device) which, in
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`turn, transmits a second signal to the resource 2 (a first control device).
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`However, the resource 2 is not located at the vehicle and, therefore, the resource
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`2 cannot be the “first control device” of claims 3 and 73. Thus, by virtue of the
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`definition of “first signal”, “second signal” and “third signal”, Frossard fails to
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`disclose the “first control device” of claims 3 and 73, which must be located at
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`the vehicle and which must also generate or transmit yet another signal at the
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`vehicle.
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`To be sure, with regards to each of claims 3 and 73, the “first control
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`device,” which is located at the vehicle (and which Petitioner asserts is the
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`receiver-decoder circuits 4 of Frossard), must receive and be responsive to the
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`second signal sent from the “second control device” which, as discussed above,
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`must necessarily be a signal sent from server 1. However, based on the proper
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`construction of “first signal,” “second signal” and “third signal,” there is an
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`intermediate device, which is the resource 2 of Frossard, located between the
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`server 1 of Frossard and the receiver-decoder circuits 4 of Frossard that receives
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`the “second signal” from the server 1 of Frossard and that generates a separate
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`third signal.
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`After receiving the “second signal” from the server 1, the resource 2 of
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`Frossard, in turn, generates a “third signal.” Thus, the receiver-decoder circuits 4
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`is not receiving a “second signal” from the intermediate second control device
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`(server 1), but rather, the receiver/decoder circuits 4 of Frossard is receiving a
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`“third signal” from a device positioned between the server 1 and the receiver-
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`decoder circuits 4.
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`Although Patent Owner disagrees with Petitioner’s arguments, and the
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`construction and interpretation for “control device” adopted by the Board, which
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`would allow the receiver/decoder circuits 4 of Frossard to serve as the “first
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`control device” of claims 3 and 73 and the “third control device” of claim 205,
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`Petitioner’s arguments still fail. Since Petitioner maintains that the mobile
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`telephone signal transmitter 46 of Pagliaroli is a “control device” in and of itself
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`which transmits its own signal (see discussion infra at Section V.F.), then, under
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`Petitioner’s own arguments, Petitioner cannot here deny that the resource 2 of
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`Frossard would also serve as a “control device” in and of itself which also
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`transmits its own signal.
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`Thus, Frossard teaches a first control device remote from the ve