`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________
`
`EMC Corporation,
`Petitioner,
`
`v.
`
`Actividentity, Inc.,
`Patent Owner.
`____________
`
`Case IPR2017-00338
`Patent 9,098,685 B2
`____________
`
`Record of Oral Hearing
`Held: April 9, 2018
`____________
`
`
`
`
`Before JAMES B. ARPIN (via Videolink), LYNNE E. PETTIGREW, and
`KEVIN C. TROCK (via Videolink), Administrative Patent Judges.
`
`
`
`
`Case IPR2017-00338
`Patent 9,098,685 B2
`
`
`
`APPEARANCES:
`
`ON BEHALF OF THE PETITIONER:
`
`
`THOMAS A. BROWN, ESQUIRE
`EMC Corporation
`176 South Street
`Hopkinton, MA 01748
`
`
`
`ON BEHALF OF THE PATENT OWNER:
`
`
`BYRON I. PICKARD, ESQUIRE
`Sterne Kessler Goldstein Fox
`1100 New York Ave., N.W.
`Washington, D.C. 20005
`
`
`
`
`
`The above-entitled matter came on for hearing on Monday, April 9,
`2018, commencing at 12:59 p.m., at the U.S. Patent and Trademark Office,
`600 Dulany Street, Alexandria, Virginia.
`
`
`
`
`
`
`2
`
`
`
`Case IPR2017-00338
`Patent 9,098,685 B2
`
`
`P R O C E E D I N G S
`- - - - -
`JUDGE PETTIGREW: Good afternoon. This is a hearing for
`IPR 2017-00338. The Petitioner is EMC Corporation and Intellectual
`Ventures is the exclusive licensee arguing on behalf of the patent owner.
`Judge Arpin is joining us by video from our Denver office, and
`Judge Trock is joining us by video from our Silicon Valley office. Please
`make sure you speak into the microphone to ensure that they can hear you.
`Also, they won’t have the benefit of the visual cues in the room. So as you
`move through your demonstratives, please identify specific slide numbers.
`We also remind you that the demonstratives are not evidence,
`but instead are aids to facilitate the panel’s understanding of the arguments
`presented at the hearing.
`Each side will have 30 minutes to argue. Petitioner has the
`ultimate burden of establishing unpatentability and will argue first. The
`exclusive licensee then will present its opposing arguments. And finally
`petitioner may use any time it has reserved for rebuttal to respond to the
`exclusive licensee’s argument.
`Before we begin the arguments, we have a brief housekeeping
`item. Last week, Intellectual Ventures filed a motion to withdraw and
`substitute lead counsel. This morning a decision granting that motion was
`entered into PTAB end-to-end after the wrong paper, last week,
`inadvertently was entered. So now Mr. Pickard is recognized as lead
`counsel.
`
`Counsel, when you begin your argument please identify
`
`
`
`
`
`3
`
`1
`2
`3
`4
`5
`6
`7
`8
`9
`10
`11
`12
`13
`14
`15
`16
`17
`18
`19
`20
`21
`22
`23
`24
`
`
`
`1
`2
`3
`4
`5
`6
`7
`8
`9
`10
`11
`12
`13
`14
`15
`16
`17
`18
`19
`20
`21
`22
`23
`24
`25
`
`Case IPR2017-00338
`Patent 9,098,685 B2
`
`yourself and the party you represent for the record. And counsel for
`petitioner, please indicate how much time you’d like to reserve for rebuttal.
`Now petitioner, when you are ready?
`MR. BROWN: Thank you, Your Honor. My name is Thomas
`Brown. I represent Petitioner EMC Corporation. I’d like to reserve ten
`minutes for rebuttal.
`Good afternoon and may it please the Board, my name is
`Thomas Brown. I represent Petitioner EMC Corporation. Turning to slide
`two of our presentation, the 685 patent is entitled Flexible Method of User
`Authentication purportedly in contrast with prior art systems disclosing
`static methods of user identification. The inventor of the 685 patent believed
`he came up with a novel way of flexibly determining a security policy based
`on environment conditions that include time, location, and connection type.
`As you’ll see, the inventor was mistaken. Determining a security policy
`based on these criteria was well known in the prior art.
`Turning to slide three, the 685 patent discloses a system that
`includes a user work station, shown in red; a security server, shown in blue;
`and a server with information resources, shown in green. In the 685 patent,
`the security server ensures that only authorized users are able to access
`secure resources from the data server.
`Turning to slide four, in the 685 patent, the way the security
`server works is through the use of security policies that determine an
`appropriate authorization method. You can think of a security policy
`broadly for the purpose of this proceeding as a set of rules governing access
`to resources. And shown on this slide, slide four, is an example of the
`
`
`4
`
`
`
`
`
`1
`2
`3
`4
`5
`6
`7
`8
`9
`10
`11
`12
`13
`14
`15
`16
`17
`18
`19
`20
`21
`22
`23
`24
`25
`
`Case IPR2017-00338
`Patent 9,098,685 B2
`
`security policy in the 685 patent. The security policy here is deny access.
`And it’s selected based on time on day, between midnight and 6:00 a.m.
`And we note that the exclusive licensee at page nine of its preliminary
`response relied on this example in its construction, its proposed construction
`of security policy.
`Turning to slide five, the 685 patent also provides examples of
`security policies that are determined based on location. For example, a
`security policy may apply if a general is trying to access data from a non-
`allied country. In this example, you see that heightened authorization
`methods are required in which the general is required to provide a
`fingerprint every three minutes.
`Now turning to slide six, on this slide, we have a hypothetical
`example provided by the exclusive licensee’s expert Dr. Goldschlag of
`another security policy within the meaning of the 685 patent. Again, here
`the security policy is allowing access by employees, and it would be selected
`based on location, from work.
`On slide seven we show that the 685 patent discloses that
`different security levels, high or normal, might apply in different
`environmental conditions.
`And on slide eight we have an excerpt from the 685 patent that
`shows that these thresholds are referred to in the 685 patent as security
`levels. Now the security levels in the 685 patent describe the policy, and
`we’ll get into it a little more, the security policy itself. But they describe
`that, for example, if you have an access coming in from North Korea, you’ll
`want to apply a security policy that’s more stringent.
`
`
`5
`
`
`
`
`
`Case IPR2017-00338
`Patent 9,098,685 B2
`
`
`Now, in slide nine, we turn to a discussion of Wood. Like the
`685 patent, Wood uses security policies that take into account environment
`information, like time of day, location, and connection type, the exact same
`environment information that’s described, that are claimed in the 685 patent.
`On slide ten, we show that Wood has a structural diagram that’s
`remarkably similar to that of the 685 patent. Like the 685 patent, figure one
`of the Wood patent shows a system involving a user work station, shown in
`red; a security server shown in blue; and information resources shown in
`green. And again, the security server ensures that only authorized users are
`able to access secure resources.
`On slide 11, we have an example from Wood of a security
`policy selected based on time of access. Here the security policy is refuse,
`refuse access, and it’s selected when the, based on time of day, when the
`time of day is outside working hours.
`On slide 12, we have an example from Wood of another
`security policy. This one depends on geographic location. In this example a
`salary tool is accessible, that’s the policy, and it’s selected when the --
`JUDGE ARPIN: Counselor?
`MR. BROWN: Yes, Your Honor?
`JUDGE ARPIN: If you go back to slide 11 for a moment,
`
`please?
`
`MR. BROWN: Yes?
`JUDGE ARPIN: You said that refuse was a security policy.
`Isn’t refuse the response to a security policy?
`
`1
`2
`3
`4
`5
`6
`7
`8
`9
`10
`11
`12
`13
`14
`15
`16
`17
`18
`19
`20
`21
`22
`23
`24
`
`
`
`
`
`6
`
`
`
`1
`2
`3
`4
`5
`6
`7
`8
`9
`10
`11
`12
`13
`14
`15
`16
`17
`18
`19
`20
`21
`22
`23
`24
`25
`
`Case IPR2017-00338
`Patent 9,098,685 B2
`
`
`
`
`MR. BROWN: Your Honor, the 685 patent, when the 685
`patent describes its own examples of subject matter that satisfies the claim.
`Remember, so the claim is determining a security policy based on
`environment information. This is precisely the formulation that it uses. So
`if I may, I’m going to turn back to slide four which is an undisputed
`example, again, of an embodiment of the patent.
`So when the patent itself, when the 685 patent discusses its own
`claimed subject matter, it says no access is to be provided between midnight
`and 6:00 a.m. So if you read this as a disclosure of the claimed subject
`matter, then you have to read this as the security policy is no access is to be
`provided and it’s selected between midnight and 6:00 a.m. And this is
`consistent, Your Honor, with both sides’ proposed constructions. The Board
`didn’t construe any terms here, but both sides interpreted understood
`security policy to broadly mean rules that relate to accessing a resource.
`And so there’s this ample expert testimony as well showing that deny access
`is an example of a security policy within the meaning of the 685 patent.
`JUDGE ARPIN: Well counselor, I understand that security
`policy to say that if it’s, if access is sought during a certain time period, the
`system will look and see what time it is, compare it to that security policy
`time period, and then determine whether the response is going to be access
`granted or access refused. Am I wrong?
`MR. BROWN: No, you’re not wrong, Your Honor. But I guess
`the point I’m trying to convey is that this security policy is selected based on
`time of day, between midnight and 6:00 a.m., as the claim language requires
`in the 685 patent.
`
`
`7
`
`
`
`1
`2
`3
`4
`5
`6
`7
`8
`9
`10
`11
`12
`13
`14
`15
`16
`17
`18
`19
`20
`21
`22
`23
`24
`25
`
`Case IPR2017-00338
`Patent 9,098,685 B2
`
`
`
`
`JUDGE ARPIN: Okay. Please continue, counselor.
`MR. BROWN: Thank you, Your Honor. Now turning to I
`think we’re on slide 12, again, the examples in Wood are substantively
`identical, as we’ll get into more detail, to those in the 685 patent.
`Now Your Honor, while we’re on the subject of Wood, I want
`to turn, if I may, to paragraph 60 of the Neuman declaration. And we don’t
`have a slide on this. But it’s important to stress, because as we were
`reviewing IV’s material, we realized that IV really is very much
`mischaracterizing our position on what the security policy is in Wood.
`Now the examples of security policies we’ve gone through so
`far are examples in Wood. But Wood has a very robust description of what
`a security policy is. And so this paragraph, paragraph 60, of Neuman’s
`declaration, which is discussed in our petition at page 25, explains that a
`security policy in Wood is a set of mapping rules that identify those
`authentication themes that are sufficient to achieve a given trust level based
`on environment information.
`In other words, in Wood, a security policy is a mapping
`function that takes two inputs: a required trust level and current environment
`information. And it returns a list of authorization methods that are sufficient
`to achieve the required trust level. And the reason I want to pause and
`emphasize this is that IV’s position in their reply, they spent a lot of time
`arguing that the current trust level is not a security policy, and the required
`trust level is not a security policy. Neither of those has been our position.
`Our position has always been that the general disclosure in Wood of a
`security policy is a mapping rule that identifies authentication schemes
`
`
`8
`
`
`
`Case IPR2017-00338
`Patent 9,098,685 B2
`
`sufficient to achieve a given trust level. And the mapping rule, as the
`following sentence in Wood points out, is dependent on the current trust
`level and the environment information. And Wood is very explicit about
`this.
`
`If there are no questions about that point, I’d like to turn back to
`
`slide 13.
`
`Now just like the 685 patent, Wood teaches that security
`policies may be associated with different security levels, which Wood calls
`trust levels. Again, in Wood, a trust level, it may describe the level of
`security that is desirable. So for example, again, if a request comes in from
`North Korea, then you want to apply a high security policy. But it’s not
`itself the security policy, just like in the 685 patent there are security levels
`that describe a category of security policy.
`Turning to slide 14, here we introduce the Neuman reference,
`which is our second ground, our obviousness ground. Neuman discloses a
`highly rigorous way of expressing multiple security policies. Neuman
`shows that the claimed subject matter was not only well known, especially
`the determining a security policy step, for which we rely on Neuman, that
`was not only very well-known but in fact was even in the process of being
`formalized and standardized.
`Skipping now to slide 17, where we identify five issues the
`patent owner contests in this matter. Your Honors, I’m happy to address any
`that the Board may be interested in hearing about in particular. If Your
`Honors have no preference, I would address issue number one.
`
`1
`2
`3
`4
`5
`6
`7
`8
`9
`10
`11
`12
`13
`14
`15
`16
`17
`18
`19
`20
`21
`22
`23
`24
`
`
`
`
`
`9
`
`
`
`1
`2
`3
`4
`5
`6
`7
`8
`9
`10
`11
`12
`13
`14
`15
`16
`17
`18
`19
`20
`21
`22
`23
`24
`25
`
`Case IPR2017-00338
`Patent 9,098,685 B2
`
`
`
`
`I will move on then to slide 18. On slide 18, we discuss the
`determining a security policy step, which is what IV seems to spend most of
`its, exclusive licensee seems to spend most of its time on. They argue that
`the Wood reference fails to disclose determining a security policy from a
`plurality of security policies. However, they are mistaken.
`On slide 19, once again we have an excerpt from the 685 patent,
`the one you’ve seen before, on the top, and an excerpt from the Wood patent
`on the bottom. When the 685 patent discloses an example of the claimed
`subject matter, they say no access is to be provided between midnight and
`6:00 a.m. A user requesting access during this period of time is
`automatically denied. Again, in our view, reading this in light of the claim
`language, the security policy is deny access and it’s selected between
`midnight and 10:00 a.m. since this is indisputably a disclosure of the
`claimed subject matter. You have the exact same disclosure in Wood.
`Wood says that when a request is received outside of working hours, the
`security policy will dictate a refuse response. If the first excerpt from the
`685 patent supports the claimed subject matter, then the second excerpt
`anticipates it.
`Turning to slide 20, we have Dr. Goldschlag’s hypothetical
`example of a security policy within the meaning of the 685 patent. Again,
`allow access by employees could be a security policy and it would be
`selected from the work location. And again, if that’s within the scope of the
`685 patent then so is the excerpt from Wood at the bottom. A salary tool is
`accessible. There’s the policy from within the company’s internal network,
`that’s the geographic location. Turning to slide -- yes, Your Honor?
`
`
`10
`
`
`
`1
`2
`3
`4
`5
`6
`7
`8
`9
`10
`11
`12
`13
`14
`15
`16
`17
`18
`19
`20
`21
`22
`23
`24
`25
`
`Case IPR2017-00338
`Patent 9,098,685 B2
`
`
`JUDGE TROCK: So Counsel?
`MR. BROWN: Yes, Your Honor?
`JUDGE TROCK: Going back to slide 19, this is your example
`of a comparison between 685 and Wood.
`MR. BROWN: Yes.
`JUDGE TROCK: And you are addressing this issue of
`determining a policy for a plurality of pre-determined security policies, is
`that right?
`
`MR. BROWN: Well, this is determining that that’s the claim
`language. Yes, Your Honor.
`JUDGE TROCK: Okay. So can you point out to me where in
`Wood there is a disclosure of the plurality of pre-determined security
`policies?
`
`MR. BROWN: Yes, definitely. Thank you, Your Honor. On
`this example itself our expert testified -- well, actually both experts for the
`685 patent testified that that excerpt itself discloses multiple policies because
`a person of ordinary skill in the art would understand that a different policy
`applies between 6:00 a.m. and midnight. And our expert likewise testified
`that in the Wood expert, the Wood excerpt, excuse me, a person of ordinary
`skill in the art would understand that a different policy applies inside
`working hours. However, there are more explicit --
`JUDGE TROCK: So, not to interrupt you. So it’s not a
`disclosure of Wood. It’s an understanding of someone of ordinary skill in
`the art, is that what you’re saying?
`MR. BROWN: Yes, Your Honor.
`
`
`
`
`
`11
`
`
`
`Case IPR2017-00338
`Patent 9,098,685 B2
`
`
`JUDGE TROCK: Okay.
`MR. BROWN: But under Microsoft, under the Biscotti case,
`Microsoft v. Biscotti, a reference anticipates where the claimed subject
`matter would be immediately envisaged by a person of ordinary skill in the
`art.
`
`JUDGE TROCK: Okay.
`MR. BROWN: But there are more explicit disclosures in Wood.
`And so for example on page 24 of our petition, we cite to column nine, lines
`21 through 26 of Wood, which says for some requested accesses and
`security policies... even a session without authenticated logging credentials
`may be authorized. And it says, for others a more substantial trust level may
`be required. So that’s a very clear example in Wood where it talks about the
`notion of having multiple security policies within a given system. Does that
`answer your question? Thank you.
`JUDGE TROCK: Yes, thank you.
`JUDGE ARPIN: Counselor, back to slide 19, is it your position
`or is it Petitioner’s position that midnight to 6:00 a.m. is one policy and 6:00
`a.m. to midnight is another policy?
`MR. BROWN: Yes. So --
`JUDGE ARPIN: Why isn’t that one policy?
`MR. BROWN: Thank you, Your Honor. The --
`JUDGE ARPIN: Or should I say, using the Wood example, is
`outside of working hours one policy and inside of working hours another
`policy?
`
`1
`2
`3
`4
`5
`6
`7
`8
`9
`10
`11
`12
`13
`14
`15
`16
`17
`18
`19
`20
`21
`22
`23
`24
`
`
`
`
`
`12
`
`
`
`1
`2
`3
`4
`5
`6
`7
`8
`9
`10
`11
`12
`13
`14
`15
`16
`17
`18
`19
`20
`21
`22
`23
`24
`25
`
`Case IPR2017-00338
`Patent 9,098,685 B2
`
`
`MR. BROWN: Your Honor, it’s our view that under the
`broadest reasonable construction of security policy, those represent two
`different security policies because they are two rules, because they are rules
`that are selected at different times of day. Now one can imagine that they
`might fall within a larger rubric, a larger set of policies, in much the same
`way that different rules for immigration to this country might fall within the
`rubric of an immigration policy. There’s nothing inconsistent with saying
`that there is a set of policies which you might call itself a policy. But, as
`long as there are multiple rules within that policy, then the reference
`discloses a plurality of policies.
`JUDGE ARPIN: So are you saying a rule is a policy?
`MR. BROWN: Under the broadest reasonable interpretation,
`that’s a fair summary of both sides’ proposed constructions.
`Now turning to slide 21, Dr. Neuman states the obvious when
`he says that Wood has remarkably similar examples to those of the 685
`patent.
`
`On slide 22, just very briefly, exclusive licensee argues that
`Wood’s security policies are determined based on the resource being
`accessed. Wood operates exactly the same way as the 685 patent in this
`regard. So the top excerpt on this slide shows that in the 685 patent,
`previously stored policy data is used to determine security policy. And the
`middle excerpt shows that that previously stored policy data depends on the
`data, the secure data being requested from the data server. So in the 685
`patent what kind of data you are requesting from the data server influences
`the determination of the 685 patent. The Board itself recognized on page 16,
`
`
`13
`
`
`
`
`
`1
`2
`3
`4
`5
`6
`7
`8
`9
`10
`11
`12
`13
`14
`15
`16
`17
`18
`19
`20
`21
`22
`23
`24
`25
`
`Case IPR2017-00338
`Patent 9,098,685 B2
`
`that to say that Wood depends in part on the resource being accessed is not a
`distinction over the 685 patent. And the Board also recognized on page 17
`of its institution decision that whether or not Wood considers the resource
`being accessed when determining a security policy doesn’t place it outside
`the scope of the claim. The claim doesn’t say -- well, the Board put it better
`than I can so I’ll just read the development excerpt. “The determining a
`security policy step of claim one is not exclusionary, i.e. it does not
`expressly preclude considerations of other parameters in addition to the
`conditions.”
`
`Now if we turn --
`JUDGE ARPIN: Counselor, on your slide 21?
`MR. BROWN: Yes, Your Honor?
`JUDGE ARPIN: Did I hear you earlier say that outside the
`company’s network is a geographic reference?
`MR. BROWN: Are you referring to slide 20?
`JUDGE ARPIN: Twenty-one. I’m looking at the highlighted
`
`last line --
`
`MR. BROWN: Got it.
`JUDGE ARPIN: -- of paragraph 85 --
`MR. BROWN: I see it.
`JUDGE ARPIN: -- on Dr. Neuman’s declaration.
`MR. BROWN: Yes, Your Honor. Yes, it is.
`JUDGE ARPIN: Well Judge Trock, Judge Pettigrew, and I are
`all on the same network, and we’re clearly not in the same geographic
`location.
`
`
`14
`
`
`
`
`
`Case IPR2017-00338
`Patent 9,098,685 B2
`
`
`MR. BROWN: Yes, Your Honor. But a person of ordinary
`skill in the art would understand that at least in some circumstances a
`company’s network might refer to an internet that is geographically based.
`Your Honor, I do take your point --
`JUDGE ARPIN: -- to it in Wood?
`MR. BROWN: Your Honor, I’m not familiar with that, with a
`more specific example in Wood at this moment. I can take a look during our
`break. But in any event, our argument doesn’t depend on location based
`security policies. The claim is equally invalid if Wood discloses time-based
`or connection-based policies. And outside the company’s network could
`equally be understood as a connection-based policy.
`JUDGE ARPIN: Thank you. Please continue, counselor.
`MR. BROWN: Okay. Turning to slide 24 -- actually, Your
`Honor, I’ll reserve the 30 seconds I have remaining for rebuttal, please.
`JUDGE PETTIGREW: Okay. Thank you.
`MR. BROWN: Thank you.
`JUDGE PETTIGREW: And now we’ll hear from Intellectual
`Ventures, the exclusive licensee.
`MR. PICKARD: Good afternoon. Byron Pickard on behalf of
`Intellectual Ventures. Just for the Board’s information, I’m joined by Lestin
`Kenton, backup counsel, and James Heitala from Intellectual Ventures.
`I want to focus on the determining step with my time today. I
`think there is a fundamental problem with the petitioner’s case.
`JUDGE TROCK: Which determining step, counsel?
`
`1
`2
`3
`4
`5
`6
`7
`8
`9
`10
`11
`12
`13
`14
`15
`16
`17
`18
`19
`20
`21
`22
`23
`24
`
`
`
`
`
`15
`
`
`
`1
`2
`3
`4
`5
`6
`7
`8
`9
`10
`11
`12
`13
`14
`15
`16
`17
`18
`19
`20
`21
`22
`23
`24
`25
`
`Case IPR2017-00338
`Patent 9,098,685 B2
`
`
`MR. PICKARD: Oh, I’m sorry. Determining the security
`policy from a pre-determined set of secured policies. I apologize.
`JUDGE ARPIN: Counselor, is there a slide I should be looking
`
`at?
`
`MR. PICKARD: I will direct your attention to Patent Owner’s
`slide five in a moment.
`The petitioner focuses largely on content of the security policies
`that are in Wood and in Neuman. But that’s not really what the dispute is
`about on this determining step. There’s not a dispute that Wood discloses
`security policies and it’s not relevant whether those security policies are
`time-based or location-based. If we look at the claim language, again patent
`owner’s slide five which shows independent claim one, the determining a
`security policy step, this deals with a threshold issue. That is, what set of
`rules are we going to apply for this particular security access? And it does,
`the patent, the 685 patent does so in a very particular way. It determines that
`security from a plurality of pre-determined security policies. So there’s
`going to be a set of them. And then it’s going to choose among them based
`on two things. The stored policy data, and the 685 says that could be things
`like user ID, but relevant for purposes here it will do so on these, what we
`have called the computing conditions in our paper. That’s received
`indications of the type of link, the location from which the access attempt is
`being made, and the time at which the access attempt is being made.
`The petitioner has confused a security policy that considers
`whether it fails or satisfies the grant or deny access that looks at time with
`the threshold issue of how do we select which rules we apply? The 685
`
`
`16
`
`
`
`
`
`1
`2
`3
`4
`5
`6
`7
`8
`9
`10
`11
`12
`13
`14
`15
`16
`17
`18
`19
`20
`21
`22
`23
`24
`25
`
`Case IPR2017-00338
`Patent 9,098,685 B2
`
`could select rules that have nothing to do with time-based or location-based
`rules. Once those rules are determined, that security policy, then it turns to
`the next step of determining an authorization method. How will we
`authenticate or authorize the user?
`Wood works in a fundamentally different way, and I think we
`see that from the examples that the petitioner has presented to the Board.
`JUDGE TROCK: Can I stop you right there for a second,
`
`counsel?
`
`MR. PICKARD: Of course.
`JUDGE TROCK: I believe what you just said was that -- well,
`here is my question. My question is you’re indicating here that the
`procedure you want to follow in this determining step is a consideration of
`two things. One is the stored policy data and the computing conditions, is
`that correct?
`MR. PICKARD: Correct.
`JUDGE TROCK: Okay. And then the computing conditions
`also include the time of access, is that correct?
`MR. PICKARD: That is correct.
`JUDGE TROCK: Okay. Isn’t that what Wood does?
`MR. PICKARD: No, that’s not what Wood does. Wood has
`rules that would grant or deny access based on time, but that’s different than
`the approach of the 685 patent. The determining step first asks what rules
`are we going to invoke for this particular access attempt? And, in the
`example of the roving general, it gives the example of locations in those.
`And so if it’s in a non-allied country it’s going to invoke a security policy
`
`
`17
`
`
`
`
`
`1
`2
`3
`4
`5
`6
`7
`8
`9
`10
`11
`12
`13
`14
`15
`16
`17
`18
`19
`20
`21
`22
`23
`24
`25
`
`Case IPR2017-00338
`Patent 9,098,685 B2
`
`that has a particularly high set of authorization methods. And I’ll give you
`an example that we’re going to do a --
`JUDGE TROCK: All right. So you agree with prior counsel’s
`statement that the security policies are essentially rules to apply?
`MR. PICKARD: That’s right. And I don’t think there’s a
`dispute in this case that’s relevant for deciding the issues about what a
`security policy is. But that’s not the issue.
`JUDGE TROCK: Right. So, my understanding then of how
`this portion of the claim operates then is that you’re going to determine what
`rules to apply, which is the security policy. That’s going to come from a set
`of policies that have already been pre-determined, correct?
`MR. PICKARD: Correct.
`JUDGE TROCK: And you’re going to look at two separate
`parameters in order to make that choice. One is going to be stored policy
`data and the other is going to be the computing conditions, is that correct?
`MR. PICKARD: That’s correct.
`JUDGE TROCK: And one of those conditions can be time, is
`that correct?
`MR. PICKARD: That is correct.
`JUDGE TROCK: Okay. So the only thing that’s left here is the
`stored policy data, is that where you’re going to --
`MR. PICKARD: No, we haven’t --
`JUDGE TROCK: -- in terms of the distinction?
`MR. PICKARD: I’m sorry to have interrupted you. No, we
`have not argued that. And I want to go to the example of the time-based
`
`
`18
`
`
`
`
`
`1
`2
`3
`4
`5
`6
`7
`8
`9
`10
`11
`12
`13
`14
`15
`16
`17
`18
`19
`20
`21
`22
`23
`24
`25
`
`Case IPR2017-00338
`Patent 9,098,685 B2
`
`security policy that the petitioner has offered for the Board’s consideration.
`If we look at their reply at, bear with me a moment, I believe it’s at page
`four. They offer --
`JUDGE TROCK: Yes, I have it at page four.
`MR. PICKARD: Yeah, they offer a time-based policy. And if
`you look over to page five of the reply, they have the disclosure from Wood.
`And they give it, so I think the important language there is a given security
`policy and associated trust level mappings may dictate a refuse response.
`That disclosure in Wood has nothing to do with how we determine which
`rule applies. That talks about a given security policy and how that given
`security policy will work, how it will grant or refuse access. The location-
`based example that they give at page --
`JUDGE TROCK: Well let me stop you right there.
`MR. PICKARD: Yes?
`JUDGE TROCK: So are you arguing that Wood, in this
`example Wood has already selected the policy? And is it your argument that
`in the 685 you have to, you are considering time before you make the
`selection? Is that your position?
`MR. PICKARD: Essentially yes. In order to satisfy the
`limitations of the 685 you have to consider one of those computing
`conditions to select which rules to apply. That a rule considers location or
`time is of no moment. The 685 could invoke a set of rules that considers
`those things or it might not. The critical part for that determining a security
`policy is at the threshold what set of rules are we going to apply? We have
`to consider one of these things. And the example of Wood that’s on page
`
`
`19
`
`
`
`
`
`Case IPR2017-00338
`Patent 9,098,685 B2
`
`five, at four to five of petitioner’s reply, somehow it’s been selected. It
`doesn’t say how that rule has been selected, whether it’s a fixed rule that was
`set by the administrator. It just doesn’t provide that necessary disclosure.
`The same problems present themselves at pages eight and nine
`of the reply where they give what they call the location-based access
`attempt. And if you look, I think, you know, they have the handwritten rule
`from Dr. Goldschlag; access is allowed from work by employees. And the
`unremarkable thing about that note is all Dr. Goldschlag has done is state a
`rule. But they haven’t tied it back to how that rule was determined, how it
`was selected from a plurality of security policies. As a fundamental --
`JUDGE ARPIN: Counselor?
`MR. PICKARD: Yes?
`JUDGE ARPIN: Turning to your slide five, which is the
`language of claim one --
`MR. PICKARD: Yes?
`JUDGE ARPIN: Where do you see in this language that that
`order of selection is improper?
`MR. PICKARD: I’m not sure I quite understand Your Honor’s
`point. The order --
`JUDGE ARPIN: Well I think Judge Trock asked you a question
`about whether or not you are selecting the policy based on the received
`indication of time. And I’m not seeing in the claim language where it
`matters whether you select the policy and then look at time, or whether you
`know that time is an issue and then select a policy.
`
`1
`2
`3
`4
`5
`6
`7
`8
`9
`10
`11
`12
`13
`14
`15
`16
`17
`18
`19
`20
`21
`22
`23
`24
`
`
`
`
`
`20
`
`
`
`Case IPR2017-00338
`Patent 9,098,685 B2
`
`
`MR. PICKARD: I think if you look at the language of the
`claim, determining a security policy based on previously stored policy data
`and the received indications as to the computing conditions. So the
`determination has to be based on that. So there has to be a consideration
`before it is chosen from among that plurality of security policies.
`JUDGE ARPIN: Is that because the stored policy data comes
`before the received indication?
`MR. PICKARD: I don’t think that’s the critical point. I think
`the critical point is you can’t make a decision based on something if that
`thing occurs in the future and you’re not, you can’t know what that
`indication is, the received indication is, until it is received. In fact, it uses
`the past tense there, based on received indications. It’s suggesting that that,
`those indications, the three computing conditions, have been received. Not
`on to be received indications, but received indications.
`JUDGE TROCK: But the rules are already set, is that correct?
`I mean these are pre-determined policies. So you’re not making up new
`rules, you’re just selecting amongst a plurality of rules that already exist.
`MR. PICKARD: That’s right.
`JUDGE TROCK: So, all right, logically then you would have
`considered all of these conditions. And based upon what the conditions are
`telling you, you’re going to select a policy from it or a set of rules from that,
`is that correct?
`MR. PICKARD: Right. That’s how that claim language