`
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`____________
`
`APPLE INC.,
`
`Petitioner,
`
`v.
`
`FIRSTFACE CO., LTD.,
`
`Patent Owner.
`
`____________
`
`Case IPR2019-01011
`
`U.S. Patent No. 9,633,373
`
`____________
`
`PETITION FOR INTER PARTES REVIEW
`
`
`
`
`
`
`
`
`TABLE OF CONTENTS
`
`LIST OF EXHIBITS .............................................................................................. iv
`
`I.
`
`INTRODUCTION ......................................................................................... 1
`
`II. MANDATORY NOTICES PURSUANT TO 37 C.F.R. §42.8 .................. 1
`
`A.
`
`B.
`
`C.
`
`Real Party-In-Interest ............................................................................ 1
`
`Related Matters ...................................................................................... 1
`
`Lead Counsel, Back-Up Counsel, and Service Information ................. 3
`
`III. PAYMENT OF FEES ................................................................................... 3
`
`IV. REQUIREMENTS FOR INTER PARTES REVIEW ................................ 4
`
`A. Grounds for Standing ............................................................................ 4
`
`B.
`
`Identification of Challenge .................................................................... 4
`
`1.
`
`2.
`
`Prior Art ...................................................................................... 4
`
`Grounds ....................................................................................... 6
`
`V.
`
`FACTUAL BACKGROUND ........................................................................ 7
`
`A.
`
`B.
`
`’373 Patent ............................................................................................. 7
`
`Prosecution History ............................................................................... 8
`
`VI. LEVEL OF ORDINARY SKILL IN THE ART ........................................ 8
`
`VII. CLAIM INTERPRETATION ...................................................................... 8
`
`VIII. GROUNDS OF UNPATENTABILITY ....................................................... 9
`
`A. Ground 1: Claims 10 and 18 are rendered obvious by Griffin in view
`of Davis and iOS under 35 U.S.C. §103(a) ......................................... 11
`
`i
`
`
`
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`U.S. Patent No. 9,633,373
`Petition for Inter Partes Review
`The Underlying Independent Claims 1 and 11 are obvious in
`view of Griffin, Davis, and iOS ................................................ 11
`
`Fingerprint authentication ......................................................... 11
`
`Fingerprint authentication—motivation to combine ................ 18
`
`1.
`
`a)
`
`b)
`
`c) Mobile device functions ............................................................ 19
`
`d) Mobile device functions—motivation to combine ................... 21
`
`e)
`
`f)
`
`2.
`
`a)
`
`b)
`
`3.
`
`User settings .............................................................................. 25
`
`User settings—motivation to combine ..................................... 25
`
`Dependent Claims 10 and 18 are obvious in view of Griffin,
`Davis, and iOS .......................................................................... 26
`
`Activation Sensor ...................................................................... 26
`
`User Identification Module ....................................................... 29
`
`Claim charts .............................................................................. 30
`
`B.
`
`Ground 2: Claims 10 and 18 are rendered obvious by Goertz in view
`of Davis and iOS under 35 U.S.C. §103(a) ......................................... 52
`
`1.
`
`a)
`
`b)
`
`The Underlying Independent Claims 1 and 11 are obvious in
`view of Goertz, Davis, and iOS ................................................ 52
`
`Fingerprint authentication ......................................................... 52
`
`Fingerprint authentication—motivation to combine ................ 55
`
`c) Mobile device functions ............................................................ 56
`
`d) Mobile device functions—motivation to combine ................... 58
`
`e)
`
`f)
`
`User settings .............................................................................. 62
`
`User settings—motivation to combine and expectation ........... 62
`
`
`
`
`
`
`ii
`
`
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`U.S. Patent No. 9,633,373
`Petition for Inter Partes Review
`Dependent Claims 10 and 18 are obvious in view of Goertz,
`Davis, and iOS .......................................................................... 63
`
`Activation Sensor ...................................................................... 63
`
`User Identification Module ....................................................... 65
`
`Claim charts .............................................................................. 66
`
`2.
`
`a)
`
`b)
`
`3.
`
`IX. CONCLUSION ............................................................................................ 85
`
`
`
`
`
`
`
`
`
`
`
`
`iii
`
`
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`U.S. Patent No. 9,633,373
`Petition for Inter Partes Review
`LIST OF EXHIBITS
`
`U.S. Patent No. 9,633,373 to Jung et al.
`
`Prosecution History File of Application No. 14/848,156, which
`matured into U.S. Patent No. 9,633,373
`
`Declaration of Benjamin B. Bederson
`
`Declaration of Michael Hulse
`
`[intentionally left blank]
`
`[intentionally left blank]
`
`Apple iPhone OS 3.1 User Guide (September 2009)
`
`[intentionally left blank]
`
`[intentionally left blank]
`
`[intentionally left blank]
`
`[intentionally left blank]
`
`[intentionally left blank]
`
`U.S. Patent Application Publication No. 2010/0017872 to Goertz et al.
`
`German Patent Application Publication No. DE 197 10 546 A1 to
`Herfet (certified English translation + German language publication)
`
`U.S. Patent Application Publication No. 2010/0138914 to Davis et al.
`
`U.S. Patent No. 8,443,199 to Kim et al.
`
`U.S. Patent No. 8,965,449 to Rivera et al.
`
`U.S. Patent Application Publication No. 2013/0082974 to Kerr et al.
`
`U.S. Patent No. 9,703,468 to Reeves et al.
`
`
`
`iv
`
`1001
`
`1002
`
`1003
`
`1004
`
`1005
`
`1006
`
`1007
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`1008
`
`1009
`
`1010
`
`1011
`
`1012
`
`1013
`
`1014
`
`1015
`
`1016
`
`1017
`
`1018
`
`1019
`
`
`
`
`
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`U.S. Patent No. 9,633,373
`Petition for Inter Partes Review
`U.S. Patent No. 9,104,288 to Wever et al.
`
`Peter H. Lewis, THE EXECUTIVE COMPUTER; Compaq Finally
`Makes a Laptop, The New York Times (October 23, 1988)
`(https://www.nytimes.com/1988/10/23/business/the-executive-
`computer-compaq-finally-makes-a-laptop.html)
`
`J. Flinn & M. Satyanarayanan, Energy-aware adaptation for mobile
`applications, 33 SIGOPS Oper. Syst. Rev. 48-63 (December 12,
`1999) (DOI=http://dx.doi.org/10.1145/319344.319155)
`
`A. Roy, S. M. Rumble, R. Stutsman, P. Levis, D. Mazières, & N.
`Zeldovich, Energy Management in Mobile Devices with the Cinder
`Operating System, Proceedings of the sixth conference on Computer
`systems (EuroSys ’11), Pages 139-52 (April 10, 2011)
`(DOI=http://dx.doi.org/10.1145/1966445.1966459)
`
`Your Palm Treo 680 Smart Device User Guide (2006)
`(https://www.att.com/support_static_files/manuals/Palm_Treo_680.pd
`f)
`
`D. Muthukumaran, A. Sawani, J. Schiffman, B. M. Jung, & T. Jaeger,
`Measuring Integrity on Mobile Phone Systems, Proceedings of the
`13th ACM symposium on Access control models and technologies
`(SACMAT ’08), Pages 155-64 (June 11, 2008)
`(DOI=http://dx.doi.org/10.1145/1377836.1377862)
`
`M. Landman, Managing Smart Phone Security Risks, 2010
`Information Security Curriculum Development Conference
`(InfoSecCD ’10), Pages 145-55 (October 1, 2010)
`(DOI=http://dx.doi.org/10.1145/1940941.1940971)
`
`U.S. Patent Application Publication No. 2012/0133484 to Griffin
`
`[intentionally left blank]
`
`[intentionally left blank]
`
`[intentionally left blank]
`
`Declaration of Yosh Moriarty
`
`
`
`v
`
`1020
`
`1021
`
`1022
`
`1023
`
`1024
`
`1025
`
`1026
`
`1027
`
`1028
`
`1029
`
`1030
`
`1031
`
`
`
`
`
`
`1032
`
`1033
`
`1034
`
`1035
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`1036
`
`1037
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`1038
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`U.S. Patent No. 9,633,373
`Petition for Inter Partes Review
`
`iPhone 3G Finger Tips (2009)
`
`P. Tarr, W. Harrison, H. Ossher, A. Finkelstein, B. Nuseibeh, & D.
`Perry, Workshop on Multi-Dimensional Separation of Concerns in
`Software Engineering, Proceedings of the 2000 International
`Conference on Software Engineering: ICSE 2000 the New
`Millennium, Pages 809-810 (2000)
`(DOI=https://doi.org/10.1145/337180.337827)
`
`[intentionally left blank]
`
`Joint Claim Construction and Prehearing Statement, Docket No. 57,
`Firstface Co., Ltd. v. Apple Inc., Case No. 3:18-cv-02245 (N.D. Cal.)
`
`Declaration of Victor Cheung
`
`U.S. Patent 7,423,557 to Kang
`
`Declaration of Scott A. McKeown
`
`
`
`
`
`
`
`
`
`
`vi
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`
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`U.S. Patent No. 9,633,373
`Petition for Inter Partes Review
`
`I.
`
`INTRODUCTION
`
`Petitioner Apple Inc. respectfully requests inter partes review of claims 10
`
`and 18 of U.S. Patent 9,633,373 (“’373 patent,” Ex. 1001) in accordance with 35
`
`U.S.C. §§311-319 and 37 C.F.R. §42.100 et seq.
`
`This Petition demonstrates that claims 10 and 18 are unpatentable over the
`
`prior art and that Petitioner has a reasonable likelihood of prevailing with respect to
`
`the same.
`
`II. MANDATORY NOTICES PURSUANT TO 37 C.F.R. §42.8
`
`A. Real Party-In-Interest
`
`Apple Inc. is the real party-in-interest.
`
`B. Related Matters
`
`Petitioner previously filed a petition for inter partes review of different claims
`
`of the ’373 patent (IPR2019-00613). As set forth below, IPR2019-00613 challenged
`
`claims 1-2, 4-6, and 11-14 of the ’373 patent. The present Petition challenges
`
`dependent claims 10 and 18. Petitioner has filed petitions for inter partes review of
`
`related U.S. Patent Nos. 8,831,557 and 9,779,419, and is concurrently filing an
`
`additional petition for inter partes review challenging a single dependent claim of
`
`U.S. Patent No. 9,779,419. Each inter partes review proceeding is at the pre-
`
`institution stage:
`
`
`
`
`
`
`1
`
`
`
`IPR
`
`Patent
`
`Filing Date
`
`U.S. Patent No. 9,633,373
`Petition for Inter Partes Review
`Claim(s)
`
`IPR2019-00611
`
`8,831,557
`
`1/23/2019
`
`IPR2019-00612
`
`8,831,557
`
`1/23/2019
`
`1, 8-9, 15
`
`1, 8-9, 15
`
`IPR2019-00613
`
`9,633,373
`
`1/23/2019
`
`1-2, 4-6, 11-14
`
`IPR2019-00614
`
`9,779,419
`
`1/23/2019
`
`1-4, 6-7, 10-13, 15-17
`
`9,779,419
`
`4/24/2019
`
`IPR2019-01012
`
`The ’373 patent is the subject of pending litigation in the following cases:
`
`9
`
`Name
`
`Case No.
`
`Filing Date
`
`Firstface Co., Ltd. v.
`Apple Inc.
`
`3-18-cv-02245 (N.D. Cal.)
`
`4/13/2018
`
`
`Further, the following applications remain pending at the USPTO and may
`
`contain, or may be amended to contain, patentably indistinct claims:
`
`Title
`
`Application No.
`
`Filing Date
`
`Activating Display and
`Performing Additional Function
`in Mobile Terminal with One-
`time User Input
`
`
`
`15/938,702
`
`3/28/2018
`
`
`
`
`
`
`2
`
`
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`U.S. Patent No. 9,633,373
`Petition for Inter Partes Review
`C. Lead Counsel, Back-Up Counsel, and Service Information
`
`Lead Counsel
`Gabrielle E. Higgins
`Reg. No. 38,916
`ROPES & GRAY LLP
`1900 University Avenue, 6th Floor
`East Palo Alto, CA 94303-2284
`Phone: +1-650-617-4015
`Fax: +1-617-235-9492
`gabrielle.higgins@ropesgray.com
`
`Mailing address for all PTAB
`correspondence:
`ROPES & GRAY LLP
`IPRM—Floor 43
`Prudential Tower
`800 Boylston Street
`Boston, Massachusetts 02199-3600
`
`
`III. PAYMENT OF FEES
`
`Backup Counsel
`Scott A. McKeown
`Reg. No. 42,866
`ROPES & GRAY LLP
`2099 Pennsylvania Avenue, NW
`Washington, D.C. 20006-6807
`Phone: +1-202-508-4740
`Fax: +1-617-235-9492
`scott.mckeown@ropesgray.com
`
`Christopher M. Bonny
`Reg. No. 63,307
`ROPES & GRAY LLP
`1900 University Avenue, 6th Floor
`East Palo Alto, CA 94303-2284
`Phone: +1-650-617-4011
`Fax: +1-617-235-9492
`christopher.bonny@ropesgray.com
`
`Victor Cheung
`Reg. No. 66,229
`ROPES & GRAY LLP
`2099 Pennsylvania Avenue, NW
`Washington, D.C. 20006-6807
`Phone: +1-202-508-4641
`Fax: +1-617-235-9492
`victor.cheung@ropesgray.com
`
`The undersigned authorizes the Office to charge the fee required by 37 C.F.R.
`
`§42.15(a) for this Petition for inter partes review to Deposit Account No. 18-1945.
`
`Any additional fees that might be due are also authorized.
`
`
`
`
`
`
`3
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`Petition for Inter Partes Review
`IV. REQUIREMENTS FOR INTER PARTES REVIEW
`
`A. Grounds for Standing
`
`Pursuant to 37 C.F.R. §42.104(a), Petitioner certifies that the ’373 patent is
`
`available for inter partes review and that the Petitioner is not barred or estopped
`
`from requesting inter partes review challenging the claims of the ’373 patent on the
`
`grounds identified herein.
`
`B.
`
`Identification of Challenge
`
`Pursuant to 37 C.F.R. §§42.104(b) and (b)(1), Petitioner requests inter partes
`
`review of claims 10 and 18 of the ’373 patent, and that the Board cancel the same as
`
`unpatentable. The ’373 patent matured from U.S. Patent Application 14/848,156
`
`(filed 9/8/2015). The ’373 patent claims foreign priority to Korean Application 10-
`
`2011-0106839 (filed 10/19/2011).1
`
`1.
`
`Prior Art
`
`Petitioner relies upon the following prior art:
`
`
`
`Ex. 1027 – U.S. 2012/0133484 (“Griffin”) published on 5/31/2012 and is the
`
`Pre-Grant Publication of U.S. Application 12/955,350 (filed 11/29/2010).
`
`
`
` 1
`
` Petitioner takes no position as to the propriety of the priority claims since the art
`
`presented herein predates the earliest filing. Petitioner reserves the right to challenge
`
`these priority claims.
`
`
`
`
`
`
`4
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`U.S. Patent No. 9,633,373
`Petition for Inter Partes Review
`Ex. 1007 – Apple iPhone OS 3.1 User Guide (September 2009) (“iOS”) was
`
`
`
`published and accessible to the public by at least 9/9/2009. See Declaration of
`
`Michael Hulse (Ex. 1004) and Declaration of Yosh Moriarty (Ex. 1031).
`
`
`
`
`
`Ex. 1013 – U.S. 2010/0017872 (“Goertz”) published on 1/21/2010.
`
`Ex. 1015 – U.S. 2010/0138914 (“Davis”) published on 6/3/2010.
`
`Griffin is prior art to the ’373 patent under 35 U.S.C. §102(e). Goertz, Davis,
`
`and iOS are prior art to the ’373 patent under §102(b).
`
`Griffin and an excerpt from a later revision of an iOS User Guide (for iOS
`
`4.2 and 4.3) were presented to the USPTO in IDSs during the original prosecution
`
`of the ’373 patent but were not considered by the USPTO with any specificity.
`
`Therefore, Griffin and iOS present new teachings for consideration with respect to
`
`the ’373 patent.2
`
`Goertz and Davis were not considered during the original prosecution of the
`
`’373 patent, and they are not cumulative of any prior art considered by the original
`
`patent examiner.
`
`
`
` 2
`
` Grounds based on a reference cited in an IDS but not considered at any length (such
`
`as Griffin and iOS) should not be barred under 35 U.S.C. §325(d). See, e.g.,
`
`IPR2017-00178, Paper 6 at 12-13 (PTAB April 25, 2017) and IPR2016-01876,
`
`Paper 8 at 7-9 (PTAB April 3, 2017).
`
`
`
`
`
`
`5
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`U.S. Patent No. 9,633,373
`Petition for Inter Partes Review
`Griffin and Goertz each disclose mobile devices that turn on a touch screen
`
`display and initiate unlock functions based on one-time pressings of a button, and
`
`Davis discloses displaying a fingerprint unlock dialog while fingerprint scanning is
`
`performed—the combination of which was deemed missing from the prior art
`
`identified during prosecution.
`
`2. Grounds
`
`# Claims
`
`35 U.S.C. §
`
`Prior Art
`
`1 10 and 18
`
`2 10 and 18
`
`103(a)
`
`103(a)
`
`Griffin, Davis, and iOS
`
`Goertz, Davis, and iOS
`
`
`
`Pursuant to 37 C.F.R. §42.104(b)(4), Petitioner provides in Section VIII
`
`below an explanation of how claims 10 and 18 of the ’373 patent are unpatentable
`
`under the statutory grounds identified above, including an identification of where
`
`each element of the claim is found in the prior art, and demonstrates that Petitioner
`
`has at least a reasonable likelihood of prevailing on these grounds. Pursuant to 37
`
`C.F.R. §42.104(b)(5), the exhibit numbers of the supporting evidence relied upon to
`
`support the challenges and the relevance of the evidence to the challenges raised,
`
`including identifying specific portions of the evidence that support the challenges,
`
`are provided in Section VIII.
`
`
`
`
`
`
`6
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`U.S. Patent No. 9,633,373
`Petition for Inter Partes Review
`
`V.
`
`FACTUAL BACKGROUND
`
`A.
`
`’373 Patent
`
`The ’373 patent claims a simple combination of well-known consumer
`
`electronics functions: activating a display via a button and performing different
`
`functions based on how long the button is pressed. (Ex. 1001, Abstract, claim 1.)
`
`Fig. 1 of the ’373 patent shows an example of a mobile communication
`
`terminal 100:
`
`FIG. 1
`
`100
`
`Terminal 100 includes a display unit
`
`110 and an activation button 120. (Id., 3:42-
`
`48.) Display unit 110 can be switched from an
`
`OFF state (an “inactive state”) to an ON state
`
`(an “active state”) by pressing the activation
`
`110
`
`button 120. (Id., 3:21-40, 4:22-27.) A lock
`
`screen can be displayed when the terminal
`
`changes from the inactive state to the active
`
`state. (Id., 4:45-48.)
`
`The
`
`activation
`
`button
`
`120
`
`is
`
`configurable for other functions in addition to
`
`120
`
`switching to the active state. (Id., 4:30-40,
`
`5:51-57, 10:1-6.) The operation performed can depend on how the activation button
`
`
`
`
`
`
`7
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`U.S. Patent No. 9,633,373
`Petition for Inter Partes Review
`120 is pressed. (Id., 4:51-5:13.) Examples of operations include a user authentication
`
`function, a hands-free function, or playing music. (Id., 7:14-8:20, 9:22-28, 10:7-10.)
`
`At issue in this Petition, claims 10 and 18 recite a smartphone, an activation
`
`sensor configured to detect pressing of the activation button, and a user identification
`
`module configured to perform fingerprint authentication.
`
`B.
`
`Prosecution History
`
`U.S. Patent Application 14/848,156, which matured into the ’373 patent, was
`
`filed on 9/8/2015 (followed by two preliminary amendments). (Ex. 1002, 1-73.)
`
`The Examiner’s statement of reasons for allowance related to “displaying the
`
`lock screen during the authentication.” (Id., 671-672.)
`
`VI. LEVEL OF ORDINARY SKILL IN THE ART
`
`The prior art demonstrates that a person of ordinary skill in the art
`
`(“POSITA”), at the time the ’373 patent was filed, would have been a person with
`
`bachelor’s degree in Computer Science, Computer Engineering, or equivalent and
`
`have at least two years of relevant experience in the fields of user interface design
`
`and mobile devices, or otherwise equivalent industry experience in the relevant field.
`
`(Ex. 1003 ¶¶29-30.)
`
`VII. CLAIM INTERPRETATION
`
`Claim terms subject to IPR are to be “construed…in accordance with the
`
`ordinary and customary meaning of such claim as understood by one of ordinary
`
`
`
`
`
`
`8
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`
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`U.S. Patent No. 9,633,373
`Petition for Inter Partes Review
`skill in the art and the prosecution history pertaining to the patent.” (37 C.F.R.
`
`§42.100(b))3
`
`VIII. GROUNDS OF UNPATENTABILITY
`
`Although the ’373 patent alleges to have invented a button that turns on a
`
`display and causes a function to be performed based on a press duration, such
`
`techniques—and elements such as a smartphone, an activation sensor and user
`
`identification module—were known in the communications device art prior to the
`
`earliest possible priority date of the ’373 patent. As demonstrated below, the prior
`
`art references render claims 10 and 18 unpatentable.
`
`This Petition is supported by the Bederson Declaration, which describes the
`
`scope and content of the prior art at the time of the alleged invention of the ’373
`
`patent. (Ex. 1003 ¶¶1-113.)
`
`The Board’s discretion under 35 U.S.C. §§314(a) or 325(d) should not be used
`
`to deny institution of this Petition. General Plastic factors 1 and 3-7 favor institution,
`
`
`
` 3
`
` The parties have proposed constructions for certain terms in district court (Ex.
`
`1035). Construction of these terms does not impact the outcome of this proceeding—
`
`the claims are invalid under both parties’ proposed constructions and thus do not
`
`need to be construed here. Nidec Motor v. Zhongshan Broad Ocean Motor, 868 F.3d
`
`1013, 1017 (Fed. Cir. 2017).
`
`
`
`
`
`
`9
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`U.S. Patent No. 9,633,373
`Petition for Inter Partes Review
`and factor 2 is neutral. IPR2016-01357, Paper 19 at 16 (PTAB Sept. 6, 2017). Claims
`
`10 and 18 are the only claims challenged in this Petition, and no party has previously
`
`filed a petition challenging these claims (factor one). As explained in the
`
`accompanying declaration (Ex. 1038), claims 10 and 18 were inadvertently omitted
`
`from IPR2019-00613, filed January 23, 2019 (factor five). Petitioner first learned of
`
`this omission on April 12, 2019 and thereupon immediately and diligently prepared
`
`the instant petition (factor four). Id. IPR2019-00613 is still in its early stages—the
`
`Board has not issued a decision on institution and Patent Owner has not filed its
`
`preliminary response (due by May 21, 2019) (factor three).4
`
`Moreover, review of dependent claims 10 and 18 introduces minimal
`
`additional work for the Board (factor six), and the Board will be able to timely issue
`
`a final determination (factor seven). Dependent claims 10 and 18 recite identical
`
`limitations: a smartphone, an activation sensor, and a user identification module.
`
`These elements are disclosed by the same prior art relied on in IPR2019-00613—
`
`Griffin, Goertz, and Davis. Petitioner is introducing no new grounds, and the
`
`
`
` 4
`
` Pursuant to §315(d), Petitioner requests that the Board consolidate this proceeding
`
`with IPR2019-00613, or at minimum decide to coordinate the schedules of the
`
`proceedings. Petitioner is amenable to any reasonable request for extension of time
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`to accommodate coordination of schedules between the two proceedings.
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`10
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`U.S. Patent No. 9,633,373
`Petition for Inter Partes Review
`discussions of independent claims 1 and 11 below mirror those presented in
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`IPR2019-00613. It is irrelevant whether Petitioner previously knew of the art (factor
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`two) because Petitioner is challenging different claims, and therefore this factor is
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`neutral.
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`Accordingly, Petitioner respectfully requests that the Board grant this Petition
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`and institute an inter partes review of the ’373 patent. The Board has instituted and
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`declined to exercise its discretion under §§314(a) and 325(d) in similar
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`circumstances. See, e.g., IPR2018-01121, Paper 8 at 40-44 (PTAB Nov. 20, 2018)
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`(instituting where Petitioner challenged different claims and had not yet received
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`Patent Owner’s preliminary response); IPR2018-01563, Paper 11 at 7-15 (PTAB
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`Feb. 26, 2019) (same); IPR2017-01781, Paper 9 at 4-6 (PTAB Jan. 9, 2018) (same).
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`A. Ground 1: Claims 10 and 18 are rendered obvious by Griffin in
`view of Davis and iOS under 35 U.S.C. §103(a)
`1.
`
`The Underlying Independent Claims 1 and 11 are obvious in
`view of Griffin, Davis, and iOS
`a)
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`Fingerprint authentication
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`Griffin discloses methods for transitioning between locked and unlocked
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`states of a device. (Ex. 1027, Abstract.)
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`Griffin discloses that mobile devices typically entered into a sleep mode or
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`inactive mode to reduce power consumption and preserve battery life. (Id. ¶24.) In
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`the sleep mode, functions, peripherals, and display screens were disabled until the
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`11
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`devices received “wake up” signals from the user. For example, pressing a
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`convenience key would reactivate a device, its monitor, and other processes. (Id.
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`¶¶24-25, see also ¶29.)
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`Griffin discloses using a “home” button as a convenience key, which is
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`depressed to initiate an unlock action and reactivate the device, its monitor, and other
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`processes. (Id. ¶¶24-25, see also ¶¶29, 86.) An example of a user device 100 having
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`a touchscreen display 510 and a convenience button 520 is shown in Fig. 5B:
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`FIG.SB
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`
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`(Id. ¶¶86-88.)
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`Griffin discloses configuring unlock procedures to use two or more input
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`mechanisms. Griffin’s non-limiting list of example input mechanisms include
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`buttons, keyboards, touchpads, touchscreens, capacitive buttons, capacitive input
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`surfaces, force sensors, touch-sensitive surfaces, and infrared fingerprint detectors.
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`(Ex. 1027 ¶¶35, 57-59, 77, 85.) Griffin’s technique of using a combination of input
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`U.S. Patent No. 9,633,373
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`mechanisms and keeping components unpowered, inactivated, or otherwise disabled
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`until needed, conserves power and reduces accidental activations. (Id. ¶¶33, 50, 54,
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`85, 87.)
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`Fig. 11 of Griffin, reproduced and annotated below, shows one possible flow
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`of steps for unlocking a device. At step 1100, the system detects actuation of a first
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`input mechanism. Then, it activates a second input mechanism so that a second input
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`can be detected, at steps 1105 through 1120. (Id. ¶121.) When the proper inputs are
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`received, the device is unlocked, at step 140. (Id. ¶122.)
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`Detect actuation
`of first input
`mechanism 11.QQ
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`Activate second
`input mechanism
`~
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`Start timer and
`count 1110
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`FIG. 11
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`Deactivate second
`input mechanism
`~
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`Wipe device
`1165
`
`Count=
`count +1
`1155
`
`no
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`Detect complete
`input.1.UQ
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`Unlock device
`1HQ
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`Reset count
`1lli
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`
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`Griffin provides an open-ended system for choosing “first” and “second”
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`input mechanisms. (Id. ¶85.) Specific examples include using the home button to
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`wake the device followed by a touchscreen path trace (id. ¶¶85-88) and using a
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`trackball and space key (id. ¶103). See also id. ¶¶93, 102, 106, 107. Griffin also
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`discloses that the device includes a fingerprint detector. (Id. ¶77.)
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`However, while Griffin discloses pressing the home/convenience button to
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`initiate an unlock action and to turn on the display, Griffin does not explicitly
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`disclose using the fingerprint detector as the second input mechanism for unlocking
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`the device—and therefore does not explicitly disclose the display and timing
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`requirements claimed in the ’373 patent. (Ex. 1003 ¶¶51-56.)
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`Davis teaches using biometric inputs to unlock a device and launch
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`applications. (Ex. 1015, Abstract, ¶1.) Davis explains that a variety of input
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`mechanisms were used to provide varying levels of security to the unlock process,
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`including basic unlock commands (simple/no security), passwords (higher security),
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`smart cards (even higher security), and biometric authentication (even higher
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`security). (Id. ¶¶46-47.)
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`In the example of Fig. 4, below, Davis teaches using a combination of
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`procedures to unlock a device.
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`START
`
`404
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`402
`
`RECEIVE UNLOCK
`COMMAND
`
`PRESENT UNLOCK
`DIALOG
`
`406
`
`408
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`416
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`418
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`RECEIVE DEVICE
`PASSWORD
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`RECEIVE SMART
`CARD PASSWORD
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`PRESENT FINGER-
`PRINT DIALOG
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`RECEIVE LIVE
`SCAN FROM SCR
`
`YES
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`YES
`
`N
`
`INDICATE FAILURE
`TO VERIFY
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`414
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`INDICATE FAILURE
`TO VERIFY
`
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`In Fig. 4, when an unlock command is received (step 402), an unlock dialog is
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`FIG.4
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`presented (i.e., a lock screen), and password and smart card entry functions are
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`performed (steps 406-414). (Id. ¶¶48-50.) Higher security in the form of fingerprint
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`authentication is then performed, including presenting a fingerprint dialog (step 416;
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`i.e., a lock screen), scanning a user’s finger (step 418), and unlocking the device if
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`the fingerprint is valid (steps 420-422). (Id. ¶¶50-53.)
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`Davis further teaches that unlocking procedures were customizable—
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`rearranging the order in which functions are performed or using only a subset of the
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`functions. (Id. ¶71.) Thus, a POSITA would have implemented an unlocking
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`procedure that included an unlock command followed by a fingerprint dialog and a
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`fingerprint unlock function (steps 416-422; see modified Fig. 4 below), but without
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`any intervening input mechanisms. In this way, a single biometric input mechanism
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`may have been used to unlock a device and launch an application. (Id., claim 1.)
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`STA!RT
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`418
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`RECEIVE ILIVE
`SC'Ar:.J FROM SCR
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`FIG. 4
`(modified)
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`(Ex. 1003 ¶¶57-60.)
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`
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`Thus, Griffin, as modified by the teachings of Davis would have been
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`implemented by a POSITA as follows:
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`(1) User presses the home/convenience button, a first input mechanism (Griffin,
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`Fig. 11 step 1100),
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`(1a) which is the initiation of an unlock command (Griffin ¶86), and
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`(1b) which wakes the screen (Griffin ¶¶24-25, 29) to display a fingerprint dialog
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`(i.e., a lock screen) (as taught by Davis, modified Fig. 4 steps 402 and 416);
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`(2)
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`the second input mechanism is activated (Griffin Fig. 11 step 1105);
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`(2a) Davis teaches that the second input is a fingerprint unlock function, including
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`scanning a fingerprint and unlocking the device if the fingerprint is valid
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`(Davis, modified Fig. 4 steps 418-422), wherein
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`(2b) the fingerprint dialog (lock screen) is displayed while the fingerprint function
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`is performed, such that, for example, a message is displayed if the fingerprint
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`is not valid (Davis, modified Fig. 4 step 424).
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`Therefore, Griffin as modified by the teachings of Davis would have indicated to a
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`POSITA that a lock screen would have been displayed while the fingerprint function
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`was performed. This would have allowed the user to remain informed about what is
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`happening with the device, whether that is an indication that the fingerprint scan is
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`taking place or that the fingerprint is invalid. (Ex. 1015 ¶53; see also Ex. 1017,
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`10:61-65 and Fig. 13, Ref. Nos. 162-164, showing a fingerprint dialog known in the
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`art.) The use of a lock screen to display a lock/unlock dialog on a device would have
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`been little more than the use of a known technique in an existing device to yield the
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`predictable result of displaying the device status to the user.
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`(Ex. 1003 ¶¶61-62.)
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`b)
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`Fingerprint authentication—motivation to combine
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`It would have been obvious to a POSITA to use a fingerprint function, as
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`taught by Davis, for the second unlock input mechanism of Griffin. A POSITA
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`would have been motivated to do so because biometric inputs provided higher levels
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`of security against unauthorized users and increased user convenience. See, e.g., Ex.
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`1014, 1:24-37. Because Griffin discloses a fingerprint detector in its device and
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`discloses that a variety of inputs may be used for the multiple-input unlock
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`procedures, the use of the fingerprint detector, as explicitly taught by Davis, would
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`have required little more than a design decision to use the fingerprint detector as one
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`of the inputs in Griffin’s unlock routine. A POSITA would have had a reasonable
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`expectation of success in choosing an input for Griffin’s unlock routine, as Griffin’s
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`“first” and “second” input mechanisms were designed to be chosen from available
`
`input mechanisms. And, as discussed above, Davis shows that fingerprint
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`authentication was an existing and well-known unlock input at the time of the ’373
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`patent.
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`(Ex. 1003 ¶¶63, 36-41.)
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`c) Mobile device functions
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`With respect to other limitations claimed in the ’373 patent, such as the device
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`including a camera, a power button separate from an activation button, or a duration-
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`based function of the activation button to activate a camera, play music, or a hands-
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`free function, these were standard or otherwise well-known features of mobile
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`devices prior to the ’373 patent.
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`For example, Davis teaches functions and applications that devices activated,
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`including capturing a photo and playing music. (Ex. 1015 ¶78.)
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`Furthermore, the iPhone User Guide for iPhone OS 3.1 Software discloses the
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`following diagram of an iPhone available in 2009, showing a camera and a
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`sleep/wake button that functioned as a power button and was separate from the home
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`button (i.e., activation button) and used to turn the mobile device on/off:
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`iPhone at a Glance
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`Headset jack
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`icons
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`Dock
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`Speaker - -~
`
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`(Ex. 1007 (“iOS”), pp. 20 (annotated), 27.) iOS further discloses that one of the
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`functions served by the home button was to activate Voice Control to make phone
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`calls and play music