`of U.S. Patent No. 8,856,539
`
`DOCKET NO.: 1033300-00304US1
`Filed on behalf of Apple Inc.
`By: Monica Grewal, Reg. No. 40,056 (Lead Counsel)
`Ben Fernandez Reg. No. 55,172 (Backup Counsel)
`Wilmer Cutler Pickering Hale and Dorr LLP
`60 State Street
`Boston, MA 02109
`Email: monica.grewal@wilmerhale.com
`
` ben.fernandez@wilmerhale.com
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`APPLE INC.,
`Petitioner,
`v.
`UNIVERSAL SECURE REGISTRY, LLC,
`Patent Owner.
`_________________________________________
`Case IPR2018-00811
`
`U.S. Patent No. 8,856,539
`_________________________________________
`
`PETITION FOR INTER PARTES REVIEW
`OF CLAIMS 1-3, 5-8, 12, 16-24, 26-31, 34, AND 37-38
`
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`Petition for Inter Partes Review
`of U.S. Patent No. 8,856,539
`TABLE OF CONTENTS
`
`Page
`
`I.
`
`MANDATORY NOTICES (37 C.F.R. § 42.8(A)(1)) .......................... 3
`A.
`Real Party-In-Interest ................................................................. 3
`B.
`Related Matters .......................................................................... 3
`C.
`Counsel ...................................................................................... 4
`D.
`Service Information ................................................................... 4
`Certification of Grounds for Standing ................................................... 5
`II.
`III. OVERVIEW OF CHALLENGE AND RELIEF REQUESTED .......... 5
`A.
`Grounds for Challenge ............................................................... 6
`IV. LEGAL PRINCIPLES .......................................................................... 6
`V.
`BACKGROUND OF THE ’539 PATENT ........................................... 7
`A.
`Priority ....................................................................................... 7
`B.
`Brief Description of the ’539 Patent Disclosure ........................ 7
`C.
`Prosecution History ................................................................. 10
`VI. LEVEL OF ORDINARY SKILL ........................................................ 11
`VII. STATEMENT OF PRECISE RELIEF REQUESTED FOR EACH
`CHALLENGED CLAIM (37 C.F.R. § 42.104(b)) ............................. 11
`A.
`Claims For Which Review Is Requested (37 C.F.R. §
`42.104(b)(1)) ............................................................................ 11
`Statutory Grounds Of Challenge (37 C.F.R. § 42.104(b)(2)) 11
`B.
`Standard For Granting A Petition For IPR Review ................. 12
`C.
`VIII. PROPOSED CLAIM CONSTRUCTIONS FOR IPR REVIEW (37
`C.F.R. § 42.104(b)(3)) ......................................................................... 12
`
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`A.
`B.
`C.
`D.
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`Petition for Inter Partes Review
`of U.S. Patent No. 8,856,539
`Provider (All Challenged Claims) ........................................... 13
`Entity (All Challenged Claims) ............................................... 14
`Time-Varying Multicharacter Code (All Challenged Claims) 15
`Indication of the Provider (Challenged Claims 1-3, 5-8, 12, 16-
`24, 26-31, and 34) .................................................................... 16
`Account Identifying Information (All Challenged Claims) .... 17
`E.
`Biometric Information (Claims 12-15, 34-36) ........................ 19
`F.
`Secure Registry (All Challenged Claims) ............................... 21
`G.
`IX. CLAIMS 1-3, 5-8, 12, 16-24, 26-31, 34, AND 37-38 OF THE ’539
`PATENT ARE UNPATENTABLE UNDER 35 U.S.C. §§ 102 AND
`103 ....................................................................................................... 22
`A.
`Overview of Primary Prior Art Reference (Schutzer) ............. 22
`B.
`Ground 1: Claims 1-3, 5-8, 16-24, 26-30 and 37-38 are
`Anticipated by Schutzer ........................................................... 24
`1.
`Independent Claim 1 ...................................................... 24
`2.
`Dependent Claim 2 ......................................................... 38
`3.
`Dependent Claim 3 ......................................................... 40
`4.
`Dependent Claim 5 ......................................................... 41
`5.
`Dependent Claim 6 ......................................................... 42
`6.
`Dependent Claim 7 ......................................................... 43
`7.
`Dependent Claim 8 ......................................................... 44
`8.
`Dependent Claim 16 ....................................................... 45
`9.
`Dependent Claim 17 ....................................................... 45
`10. Dependent Claim 18 ....................................................... 46
`11. Dependent Claim 19 ....................................................... 46
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`Petition for Inter Partes Review
`of U.S. Patent No. 8,856,539
`12. Dependent Claim 20 ....................................................... 47
`13. Dependent Claim 21 ....................................................... 48
`14.
`Independent Claim 22 .................................................... 49
`15. Dependent Claim 23 ....................................................... 51
`16. Dependent Claim 24 ....................................................... 52
`17. Dependent Claim 26 ....................................................... 52
`18. Dependent Claim 27 ....................................................... 52
`19. Dependent Claim 28 ....................................................... 53
`20. Dependent Claim 29 ....................................................... 54
`21. Dependent Claim 30 ....................................................... 54
`22.
`Independent Claim 37 .................................................... 54
`23.
`Independent Claim 38 .................................................... 61
`Ground 2: Claims 12, 31, and 34 are Obvious in view of
`Schutzer ................................................................................... 63
`1.
`Dependent Claim 12 ....................................................... 63
`2.
`Dependent Claim 31 ....................................................... 67
`3.
`Dependent Claim 34 ....................................................... 68
`
`C.
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`Petition for Inter Partes Review
`of U.S. Patent No. 8,856,539
`TABLE OF AUTHORITIES
`
`Page(s)
`
`
`CASES
`In re ICON Health & Fitness, Inc.,
`496 F.3d 1374 (Fed. Cir. 2007) ..................................................................... 12
`KSR Int’l Co. v. Teleflex, Inc.,
`550 U.S. 398 (2007)......................................................................................... 7
`Verdegaal Bros. v. Union Oil Co. of California,
`814 F.2d 628 (Fed. Cir. 1987) ......................................................................... 7
`STATUTES
`35 U.S.C. § 101 ...................................................................................................... 3, 4
`35 U.S.C. § 102 .................................................................................... 4, 6, 7, 11, 226
`35 U.S.C. § 103 ...................................................................................... 4, 6, 7, 11, 22
`35 U.S.C. § 112 ........................................................................................................ 10
`35 U.S.C. § 314(a) ..................................................................................................... 6
`35 U.S.C. § 321 .................................................................................................... 1, 11
`35 U.S.C. § 324(a) ................................................................................................... 12
`Leahy-Smith America Invents Act,
`Pub. L. No. 112-29, 125 Stat. 284 (2011) ............................................. 1, 6, 11
`REGULATIONS
`37 C.F.R. § 42.8 ..................................................................................................... 3, 4
`37 C.F.R. § 42.22 ....................................................................................................... 5
`37 C.F.R. § 42.100 ............................................................................................... 1, 12
`37 C.F.R. § 42.101 ..................................................................................................... 5
`37 C.F.R. § 42.104 ................................................................................... 5, 11, 12, 22
`
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`Petition for Inter Partes Review
`of U.S. Patent No. 8,856,539
`77 Fed. Reg. 48,764 (Aug. 14, 2012) ...................................................................... 13
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`Petition for Inter Partes Review
`of U.S. Patent No. 8,856,539
`Pursuant to 35 U.S.C. § 321, Section 18 of the Leahy-Smith America
`
`Invents Act (“AIA”), and 37 C.F.R. § 42.100 et seq., the undersigned hereby
`
`requests Inter Partes review of claims 1-3, 5-8, 12, 16-24, 26-31, 34, and 37-38
`
`(“challenged claims”) of U.S. Patent No. 8,856,539 (“’539 patent”).
`
`The ’539 patent is directed to systems and methods for anonymously
`
`authenticating users using a time-varying multicharacter code. According to the
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`patent owner, Universal Secure Registry, LLC (“USR”), the ’539 patent is directed
`
`to “an anonymous identification system that allows user verification without
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`requiring the user to share personal information with whomever is requesting
`
`verification, e.g., allows a person to purchase goods without publicly providing
`
`credit card information to the merchant, for fear that the credit card information
`
`may be stolen or used fraudulently.” Ex-1029, Pl.’s Answering Br. in Opp’n to
`
`Defs.’ Mot. to Dismiss, 17, Universal Secure Registry LLC v. Apple Inc., No. 17-
`
`cv-00585-VAC-MPT (D. Del. Sept. 29, 2017), ECF No. 30. USR further asserted
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`that in the claimed invention, authentication occurs when “the person’s device
`
`(e.g., mobile phone) retrieves a secret user code and/or time varying value from
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`memory and obtains from the person a secret personal identification code,
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`combining these values to generate a ‘one-time nonpredictable code’ that is
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`forwarded to the USR system to validate the merchant’s request.... Since the
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`person’s device can generate a time variant single-use token, credit card
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`Petition for Inter Partes Review
`of U.S. Patent No. 8,856,539
`transaction approval is obtained without the merchant’s knowledge of the user's
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`credit card number.” Id.
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`When the ’539 patent was filed, however, anonymous authentication of a
`
`user’s identity based on one-time nonpredictable codes was well known in the art.
`
`In fact, the prior art is replete with systems and methods that perform user
`
`authentication in this manner. For example, Ex-1030, EP 1,028,401 (“Schutzer”),
`
`discloses a system and method for performing a bank card transaction that includes
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`generating an “alternate card number” to replace a user’s credit card number in a
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`financial transaction, allowing the transaction to take place without providing the
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`merchant any account identifying information. The alternate card number is
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`generated by the transaction card issuer using a proprietary algorithm for
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`generating a time-varying multicharacter code. The transaction card issuer
`
`maintains a link between the alternate card number and the transaction card user’s
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`transaction card number.
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`Thus, as further explained in this Petition, the systems and methods claimed
`
`in the ’539 patent were known in the art or obvious at the time the ’539 patent was
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`filed.
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`Petition for Inter Partes Review
`of U.S. Patent No. 8,856,539
`I. MANDATORY NOTICES (37 C.F.R. § 42.8(A)(1))
`A. Real Party-In-Interest
`Pursuant to 37 C.F.R. § 42.8(b)(1), Petitioner certifies that Apple Inc.
`
`(“Apple” or “Petitioner”) is the real party-in-interest.
`
`B. Related Matters
`The ’539 patent is owned by Universal Secure Registry, LLC (“USR” or
`
`“Patent Owner”). On May 21, 2017, USR sued Apple and Visa in the District of
`
`Delaware, asserting four patents, including the ’539 patent, against Apple’s Apple
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`Pay functionality. See Ex-1003, Compl. ¶2, Universal Secure Registry LLC v.
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`Apple Inc., No. 17-cv-00585-VAC-MPT (D. Del. May 21, 2017), ECF No. 1
`
`(“USR Compl.”). The complaint was served on Petitioner on July 5, 2017.
`
`On August 25, 2017, Apple filed a Motion to Dismiss for Failure to State a
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`Claim, asserting that the asserted claims of the ’539 patent are unpatentable under
`
`35 U.S.C. § 101 because they are directed to the abstract idea of “verif[ying] an
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`account holder’s identity based on codes and/or information related to the account
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`holder before enabling a transaction.” Defs.’ Opening Br., 2, Universal Secure
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`Registry LLC v. Apple Inc., No. 17-cv-00585-VAC-MPT (D. Del. Aug. 25, 2017),
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`ECF No. 17. That motion remains pending.
`
`In addition to the Motion to Dismiss, Apple is filing the following petitions
`
`for CBM/IPR with respect to the four asserted patents:
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`U.S. 9,530,137
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`
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`U.S. 9,100,826
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`
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`U.S. 8,856,539
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`
`
`U.S. 8,577,813
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`IPR
`
`IPR
`
`IPR
`
`IPR
`
`CBM
`
`IPR
`
`IPR
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`CBM
`
`CBM
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`CBM
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`Petition for Inter Partes Review
`of U.S. Patent No. 8,856,539
`35 U.S.C. § 103
`
`35 U.S.C. § 103
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`35 U.S.C. § 103
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`35 U.S.C. §§ 102, 103
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`35 U.S.C. § 101
`
`35 U.S.C. § 103
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`35 U.S.C. § 102, 103
`
`35 U.S.C. § 101
`
`35 U.S.C. § 103
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`35 U.S.C. § 103
`
`C. Counsel
`Pursuant to 37 C.F.R. § 42.8(b)(3)-(4), Petitioner identifies the following
`
`lead and backup counsels, to whom all correspondence should be directed.
`
`Lead Counsel: Monica Grewal (Reg. No. 40,056),
`
`Backup Counsel: Ben Fernandez (Reg. No. 55,172).
`
`D.
`Service Information
`Email: monica.grewal@wilmerhale.com; ben.fernandez@wilmerhale.com;
`
`Post and hand delivery address: Wilmer Cutler Pickering Hale and Dorr LLP, 60
`
`State Street, Boston, MA 02109.
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`Petition for Inter Partes Review
`of U.S. Patent No. 8,856,539
`Telephone: (617) 526-6223; Facsimile: (617) 526-5000.
`
`Petitioner consents to electronic service.
`
`II. Certification of Grounds for Standing
`Petitioner certifies pursuant to Rule 42.104(a) that the patent for which
`
`review is sought is available for inter partes review and that Petitioner is not
`
`barred or estopped from requesting an inter partes review challenging the patent
`
`claims on the grounds identified in this Petition. See 37 C.F.R. § 42.101(a-c).
`
`Petitioner certifies that it (1) has not filed a civil action challenging the
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`validity of a claim of the patent, 37 C.F.R. § 42.101(a), (2) has complied with the
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`timing requirements set forth in 37 C.F.R. § 42.101(b), and (3) is not estopped
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`from challenging the claims on the grounds identified in this Petition, 37 C.F.R.
`
`§ 42.101(c).
`
`III. OVERVIEW OF CHALLENGE AND RELIEF REQUESTED
`Pursuant to Rules 42.22(a)(1) and 42.104(b)(1)-(2), Petitioner challenges
`
`claims 1-3, 5-8, 12, 16-24, 26-31, 34, and 37-38 of the ’539 patent and requests
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`that they be canceled.
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`The sole reference at issue in this petition is European Patent Application EP
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`1,028,401 (Ex-1030), which was filed on February 10, 2000, claiming priority to
`
`two provisional applications 60/119818 filed on February 2, 1999, 60/144927 filed
`
`on July 21, 1999, and published on August 16, 2000, which is before the priority
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`Petition for Inter Partes Review
`of U.S. Patent No. 8,856,539
`date of the ’539 patent. Therefore, Schutzer is prior art under at least 35 U.S.C. §
`
`102(a). Schutzer was not considered during the prosecution of the ’539 patent.
`
`Like the ’539 patent, Schutzer relates to a system for anonymous authentication of
`
`a party to a transaction via an alternate card number that the issuing institution can
`
`recognize as representing a user’s actual account number. Ex-1030, Schutzer,
`
`Abstract.
`
`A. Grounds for Challenge
`Petitioner requests cancellation of claims 1-3, 5-8, 12, 16-24, 26-31, 34, and
`
`37-38 of the ’539 patent as unpatentable under 35 U.S.C. §§ 102, 103. This
`
`Petition, supported by the declaration of Dr. Victor Shoup (Ex-1002) filed
`
`herewith, demonstrates that there is a reasonable likelihood that Petitioner will
`
`prevail with respect to cancellation of at least one of the challenged claims. See 35
`
`U.S.C. § 314(a).
`
`IV. LEGAL PRINCIPLES
`The challenged patent was filed prior to the effective date of the Leahy-
`
`Smith America Invents Act, Pub. L. No. 112-29, 125 Stat. 284 (2011), and
`
`therefore should be analyzed for patentability under pre-AIA 35 U.S.C. §§ 102 and
`
`103. A claim is invalid if it would have been “anticipated.” or “obvious.” See 35
`
`U.S.C. §§ 102, 103(a). A claim is anticipated if “each and every element as set
`
`forth in the claim is found, either expressly or inherently described, in a single
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`Petition for Inter Partes Review
`of U.S. Patent No. 8,856,539
`prior art reference.” Verdegaal Bros. v. Union Oil Co. of California, 814 F.2d 628,
`
`631 (Fed. Cir. 1987). A claim is invalid if it would have been “obvious.” See 35
`
`U.S.C. § 103(a). The key inquiry to determine obviousness is whether an
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`“improvement is more than the predictable use of prior art elements according to
`
`their established functions.” KSR Int’l Co. v. Teleflex, Inc., 550 U.S. 398, 415,
`
`417, 420-21 (2007).
`
`V. BACKGROUND OF THE ’539 PATENT
`A.
`Priority
`Entitled “Universal Secure Registry,” the ’539 patent issued on October 7,
`
`2014 from an application filed on June 26, 2007. The ’539 patent is a continuation
`
`of U.S. Application No. 09/810,703, which was filed on March 16, 2001 (now U.S.
`
`Patent No. 7,237,117, Ex-1004).
`
`B.
`Brief Description of the ’539 Patent Disclosure
`The ’539 patent describes a secure database called a “Universal Secure
`
`Registry,” which is “a universal identification system … used to selectively
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`provide personal, financial or other information about a person to authorized
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`users.” Ex-1001, ’539 patent, 3:5-9. The patent states that the USR database is
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`designed to “take the place of multiple conventional forms of identification” when
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`conducting financial transactions to minimize the incidence of fraud. E.g., id.,
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`3:22-24. The patent states that various forms of information can be stored in the
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`database to verify a user’s identity and prevent fraud: (1) algorithmically generated
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`Petition for Inter Partes Review
`of U.S. Patent No. 8,856,539
`codes, such as a time-varying multicharacter code or an uncounterfeitable
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`“tokens,” (2) “secret user code,” like a PIN or password, and/or (3) a user’s
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`“biometric identification,” such as fingerprints, voice prints, an iris or facial scan,
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`DNA analysis, or a photograph. See id., 4:4-12, 8:17-47, Fig. 3. The patent does
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`not, however, describe any new technology for generating or combining such
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`information. Ex-1002, Shoup-Decl. ¶29.
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`Instead, the patent emphasizes that the USR database can be implemented in
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`“a general purpose computer system” using “a commercially available
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`microprocessor” running “any commercially available operating system.” Ex-
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`1001, ’539 patent, 5:63-6:17. The alleged invention is also “not limited to a
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`particular computer platform, particular processor, or particular high-level
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`programming language.” Id., 6:51-53. The USR database itself “may be any kind
`
`of database” and communication with the database may take place over “any
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`[network] protocol.” Id., 6:18-20, 7:12-22, Fig. 1. This generic database is
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`encrypted using known methods, and may be accessed by providing information
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`sufficient to verify the user’s identity. Id., 3:5-12; Ex-1002, Shoup-Decl. ¶30.
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`In its district court complaint against Apple, USR identified ’539 patent
`
`claim 22 as “exemplary” of the other claims of the patent. Ex-1003, USR Compl.
`
`¶65. Claim 22, which is described by, for example, Figure 8 (shown below), is a
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`“method for providing information to a provider [merchant] to enable transactions
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`Petition for Inter Partes Review
`of U.S. Patent No. 8,856,539
`between the provider and entities [purchaser] that have secure data stored in a
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`[USR] in which each entity is identified by a time-varying multicharacter code.”
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`Id., 20:4-8. The claimed method includes six steps, which are also depicted in
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`Figure 8: (1) the database receiving a request (e.g., from a merchant) that includes
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`the “time-varying multicharacter code” for the entity whose account data is stored
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`in the USR (804); (2) comparing and mapping the time-varying multicharacter
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`code for that customer with a time-varying multicharacter code stored in the
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`database (806); (3) determining whether the merchant is in compliance with any
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`access restrictions; (4) accessing the relevant information regarding the customer’s
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`account if the merchant is in compliance (808); (5) providing the customer’s
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`account identifying information to a third party that will determine whether to
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`authorize the transaction (808); and (6) authorizing or declining the transaction
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`without providing the credit card account number to the merchant (810/812/814).
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`Id., 12:19-54; Ex-1002, Shoup-Decl. ¶31.
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`Petition for Inter Partes Review
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`C.
`Prosecution History
`The ’539 patent was filed as U.S. Application No. 11/768,729 (“’539
`
`application”) on June 26, 2007. The ’539 application claims priority, as a
`
`continuation application, to U.S. Application No. 09/810,703, now U.S. Patent No.
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`7,237,117 (“’117 patent”). During a lengthy prosecution, the asserted claims were
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`rejected numerous times over prior art and under 35 U.S.C. § 112 for lack of
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`written description. See Exs. 1005, 1007, 1010, 1012, 1015, 1017, 1021; see also
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`Ex-1002, Shoup-Decl, ¶¶32-64. The ’539 patent subsequently issued on October
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`7, 2014.
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`VI. LEVEL OF ORDINARY SKILL
`A person of ordinary skill in the relevant field (“POSITA”) is a hypothetical
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`Petition for Inter Partes Review
`of U.S. Patent No. 8,856,539
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`person to whom an expert in the relevant field could assign a routine task with
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`reasonable confidence that the task would be successfully carried out. The level of
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`skill in the art is evidenced by prior art references. The prior art demonstrates that
`
`a POSITA, at the time the ’539 patent was effectively filed, would have a
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`Bachelor’s Degree in electrical engineering, computer science, or a related
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`scientific field, and approximately two years of work experience in the computer
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`science field including, for example, operating systems, database management,
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`encryption, security algorithms, and secure transaction systems, though additional
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`education can substitute for less work experience and vice versa. See Ex-1002,
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`Shoup-Decl. ¶¶65-66.
`
`VII. STATEMENT OF PRECISE RELIEF REQUESTED FOR EACH
`CHALLENGED CLAIM (37 C.F.R. § 42.104(b))
`A. Claims For Which Review Is Requested
`(37 C.F.R. § 42.104(b)(1))
`Petitioner respectfully requests review under 35 U.S.C. § 321 and AIA § 18
`
`of claims 1-3, 5-8, 12, 16-24, 26-31, 34, and 37-38 of the ’539 patent, and the
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`cancellation of these claims for being unpatentable.
`
`B.
`
`Statutory Grounds Of Challenge
`(37 C.F.R. § 42.104(b)(2))
`The challenged claims are unpatentable under 35 U.S.C. §§ 102, 103. On
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`Petition for Inter Partes Review
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`these grounds and in light of the evidence submitted herein, Petitioner has
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`established that it is more likely than not that it will prevail in establishing
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`unpatentability of the challenged claims and requests institution of Inter Partes
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`review and cancellation of these claims.
`
`C.
`Standard For Granting A Petition For IPR Review
`To institute a IPR proceeding, the Board must determine that the IPR
`
`petition establishes that it is more likely than not that at least one of the challenged
`
`claims is unpatentable. See 35 U.S.C. § 324(a).
`
`VIII. PROPOSED CLAIM CONSTRUCTIONS FOR IPR REVIEW (37
`C.F.R. § 42.104(b)(3))
`A claim in Inter Partes review is given the “broadest reasonable
`
`construction in light of the specification.” 37 C.F.R. § 42.100(b)1; In re ICON
`
`Health & Fitness, Inc., 496 F.3d 1374, 1379 (Fed. Cir. 2007).
`
`The following discussion proposes constructions for certain terms and
`
`support for those constructions. Any claim terms not included are given their
`
`broadest reasonable interpretation in light of the specification as commonly
`
`understood by those of ordinary skill in the art. Should the Patent Owner contend
`
`that the claim has a construction different from its broadest reasonable
`
`
`1 Petitioner adopts this standard and reserves the right to pursue different
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`constructions in district court, where a different standard applies.
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`interpretation, the appropriate course is for the Patent Owner to seek to amend the
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`claim to expressly correspond to its contentions in this proceeding. See Office
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`Patent Trial Practice Guide, 77 Fed. Reg. 48,756, 48,764 (Aug. 14, 2012).
`
`A.
`Provider (All Challenged Claims)
`Under the broadest reasonable construction standard, the term “provider” as
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`used in the ’539 patent means “the party to a transaction, such as a merchant, that
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`provides a good or service to an entity.”
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`This construction is consistent with the ’539 claims and specification, which
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`recite a “provider” and an “entity” engaging in a transaction. The claims state that
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`the entity has “secure data stored in a secure registry.” The claims also state that
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`the provider “request[s] the transaction.” Thus, describing the provider as the
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`“merchant” providing the good or service to the entity is consistent with the claim
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`as a whole. Moreover, according to the examiner’s summary of an interview with
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`the patent holder, the patent holder represented that the claimed “first party” is
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`“intended to represent a merchant.” Ex-1023, ’539 Patent File History, 02/04/2014
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`Examiner Interview Summary. The term “first party” was later changed to
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`“provider” via amendment. Ex-1024, ’539 Patent File History, 01/31/2014
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`Supplemental Amendment, 2-10; Ex-1002, Shoup-Decl. ¶70.
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`B.
`Entity (All Challenged Claims)
`Under the broadest reasonable construction standard, the term “entity” as
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`Petition for Inter Partes Review
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`used in the ’539 patent means “the purchasing party to a transaction who has data
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`stored in the secure registry.”
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`Again, this construction is consistent with the claim language as a whole,
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`which describes the “entity” as the party to a transaction with “secure data stored
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`in a secure registry,” such as a credit card number. This construction is further
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`supported by the ’539 patent specification, which describes “entities” as a user, a
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`person, or a company with information stored in the USR database. See, e.g., Ex-
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`1001, ’539 patent, Abstract (“A secure registry system and method for the use
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`thereof are provided which permits secure access to a database containing selected
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`data on a plurality of entities....”), 2:28-31 (“For example, when there is a need to
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`locate a person or other entity where only limited biographical data is known….”),
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`7:30-39 (“[T]he USR system 10 or USR database 24 may be able to authenticate
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`its identity to a user or other entity accessing the system....”). The patent
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`consistently uses the term “entity” to refer to the person requiring identification.
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`Id., 3:24-27 (“[T]he user’s identity to be confirmed or verified without providing
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`any identifying information about the person to the entity requiring
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`identification.”), 7:30-36 (“In one embodiment, the USR system 10 or USR
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`database 24 may be able to authenticate its identity to a user or other entity….”);
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`Ex-1002, Shoup-Decl. ¶72.
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`C. Time-Varying Multicharacter Code (All Challenged Claims)
`Under the broadest reasonable construction standard, the term “time-varying
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`multicharacter code” as used in the ’539 patent means “a sequence of numbers that
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`varies with time.”
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`The ’539 patent specification consistently describes the time-varying
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`multicharacter code as a “number” and/or a “value” that can be combined with
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`other values using a predetermined algorithm to produce a nonpredictable code that
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`can be used to provide secure access to the database. Ex-1001, ’539 patent, 8:22-
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`35 (“Specifically, to access the USR database, the card retrieves a secret user code
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`and/or time varying value from memory and obtains from the user a secret
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`personal identification code. The card mathematically combines these three
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`numbers using a predetermined algorithm to generate a one-time nonpredictable
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`code” (emphasis added)), 13:43-51 (“Where the number from the electronic ID
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`device is a time varying number, the merchant may also need to input the time the
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`number was received. Alternatively, the electronic ID device may encode or
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`encrypt the time with the number, the USR software being able to extract time
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`when receiving the number from the merchant. This may not be required where
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`the time varying number varies slowly, for example changing every hour rather
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`than every minute as for some existing such devices.” (emphasis added)); see also
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`id., 7:36-39 (“A comparison by the user or the code generator between the
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`provided number and an expected number can validate, to the user (or other
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`entity) or the code generator, that communication is with the database and not an
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`imposter.” (emphasis added)); see also 8:36-40; Ex-1014, ’539 Patent File History,
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`11/29/2011 Response to Office Action, 9-10 (contrasting “static” with “time-
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`varying” codes); Ex-1002, Shoup-Decl. ¶74.
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`D.
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`Indication of the Provider (Challenged Claims 1-3, 5-8, 12, 16-24,
`26-31, and 34)
`Under the broadest reasonable construction standard, the term “indication of
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`the provider” as used in the ’539 patent means “information corresponding to a
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`provider.”
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`In the ’539 claims 1 and 22, the “indication of the provider” is transmitted as
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`part of a “transaction request.” Although the term “indication of the provider” is
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`not used in the ’539 patent specification, the specification does describe the
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`information transmitted with a transaction request in Figures 7-10. Elements 704,
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`804, 904, and 1102 all contain the identical disclosure that at the outset of a
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`transaction, a merchant transmits to the USR database information including a
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`“code from SecureID,” “store number,” and “amount of purchase.” Ex-1001, ’539
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`patent, Figs. 7-10. The specification explains that the code from SecureID is
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`verified in order to grant access to the database. See, e.g., id., 12:24-29. Once the
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`code has been verified, the user’s credit card information, the store number, and
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`amount of purchase are passed on to the credit card company to process the
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`transaction, including by transferring funds from the customer’s account to the
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`merchant’s account. E.g., id., 12:40-43. The only piece of information described
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`by the ’539 patent sufficient to identify the correct merchant account is the store
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`number, which corresponds to the specific merchant (provider) involved in the
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`transaction. Moreover, during prosecution, the patent holder acknowledged that
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`the claimed invention required transmission of a merchant identifier. Ex-1023,
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`’539 Patent File History, 02/04/2014 Examiner Interview Summary (“Applicant’s
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`representatives discussed the instant invention, noting that ... the invention
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`provides an identifier of the merchant associated with a time-varying
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`multicharacter code of the customer.”); Ex-1002, Shoup-Decl. ¶76.
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`E. Account Identifying Information (All Challenged Claims)
`Under the broadest reasonable construction standard, the term “account
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`identifying information” as used in the ’539 patent means “personal information
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`about an entity such as name, address, or account number.”
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`This construction is supported by the patent specification, which consistently
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`describes employing the USR system to protect a user’s (purchaser’s) account
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`information, including a user’s name, address, bank or credit card account
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`numbers, and other personal information. See Ex-1001, ’539 patent, 3:44-50 (“In a
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