Paper 1
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`UNITED STATES PATENT AND TRADEMARK OFFICE
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`––––––––––––––
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`––––––––––––––
`
`SAMSUNG ELECTRONICS AMERICA, INC,
`Petitioner
`
`v.
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`PROXENSE, LLC
`Patent Owner
`––––––––––––––
`IPR2021-01439
`Patent 9,235,700
`––––––––––––––
`
`PETITION FOR INTER PARTES REVIEW
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`TABLE OF CONTENTS
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`Page
`PETITION FOR INTER PARTES REVIEW .................................................. 1
`I.
`INTRODUCTION ................................................................................ 1
`II. MANDATORY DISCLOSURES ........................................................ 2
`A. Grounds for Standing (37 C.F.R. § 42.104(a)) .......................... 2
`B.
`Real Party in Interest .................................................................. 3
`C.
`Related Matters .......................................................................... 3
`D.
`Lead and Back-Up Counsel (37 C.F.R. § 42.8(b)(3)) and
`Service Information (37 C.F.R. § 42.8(b)(3)-(4)) ...................... 3
`Payment of Fees (37 C.F.R. § 42.15(a)) .................................... 4
`E.
`III. LEVEL OF SKILL IN THE ART ........................................................ 4
`IV. OVERVIEW OF THE ’700 PATENT ................................................. 5
`V.
`PROSECUTION OF THE ’700 PATENT ........................................... 6
`VI. CLAIM CONSTRUCTION ................................................................. 6
`VII. CITED ART ......................................................................................... 6
`A. Giobbi ’157 ................................................................................ 6
`B.
`Giobbi ’139 ................................................................................ 9
`C.
`Broadcom ................................................................................. 11
`D. Dua ........................................................................................... 12
`VIII. DISCRETIONARY FACTORS ......................................................... 14
`A.
`35 U.S.C. § 325(d) Does Not Favor Denial ............................. 14
`B.
`35 U.S.C. § 314(a) Does Not Favor Denial ............................. 16
`IX. GROUND 1: GIOBBI ’157, GIOBBI ’139 AND DUA
`RENDER OBVIOUS CLAIMS 1-20 ................................................. 22
`A.
`Claim 1 ..................................................................................... 22
`B.
`Claim 2 The hybrid device of claim 1, wherein at least
`one of the one or more of the application, the function,
`and the service are enabled at least in part on the hybrid
`device. ...................................................................................... 41
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`Claim 3 The hybrid device of claim 1, wherein at least
`one of the one or more of the application, the function,
`and the service are enabled at least in part on a device
`external to the hybrid device and communicatively
`coupled to the external RDC. ................................................... 41
`Claim 4 The hybrid device of claim 1, wherein the
`integrated PDK includes local, secured biometric
`information for authenticating a user, the biometric
`information based on one or more of a fingerprint,
`palmprint, a retinal scan, an iris scan, a photograph, a
`signature, a voice sample, DNA and RNA. ............................. 42
`Claim 5 The hybrid device of claim 1, wherein the
`external PDK stores local, secured financial information. ...... 42
`Claim 6 The hybrid device of claim 1, wherein the
`integrated PDK stores local, secured financial
`information and at least one of the one or more of the
`application, the function, and the service enabled
`completes a financial transaction based on the financial
`information. .............................................................................. 43
`Claim 7. The hybrid device of claim 1, wherein the
`hybrid device is a cell phone. ................................................... 43
`Claim 8. The hybrid device of claim 1, wherein the
`external PDK is included in jewelry. ....................................... 44
`Claim 9. The hybrid device of claim 1, comprising a
`storage for inheritance information. ......................................... 44
`Claim 10 The hybrid device of claim 1, wherein the
`external PDK is included in a watch ........................................ 45
`Claim 11 ................................................................................... 45
`Claim 12 The method of claim 11 further comprising:
`sending the enablement signal to the hybrid device,
`wherein at least one of the one or more of the application,
`the function, and the service are enabled at least in part
`on the hybrid device. ................................................................ 46
`M. Claim 13 The method of claim 11 further comprising:
`sending the enablement signal to the hybrid device,
`wherein at least one of the one or more of the application,
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`the function, and the service are enabled at least in part
`on a device external to the hybrid device and
`communicatively coupled to the external RDC. ...................... 47
`Claim 14 The method of claim 11, wherein the integrated
`PDK includes local, secured biometric information for
`authenticating a user, the biometric information based on
`one or more of a fingerprint, palmprint, a retinal scan, an
`iris Scan, a photograph, a signature, a Voice sample,
`DNA and RNA. ........................................................................ 47
`Claim 15 The method of claim 11, wherein the external
`PDK stores local, secured financial information. .................... 47
`Claim 16 The method of claim 11, wherein the hybrid
`device is a cell phone. .............................................................. 47
`Claim 17 The method of claim 11, wherein the external
`PDK is included in jewelry. ..................................................... 47
`Claim 18 ................................................................................... 47
`Claim 19 The method of claim 11, wherein the first
`signal includes inheritance information. .................................. 49
`Claim 20 The method of claim 11, wherein the external
`PDK is included in a watch. ..................................................... 49
`X. GROUND 2: BROADCOM RENDERS OBVIOUS CLAIMS
`1-7, 9, 11-16 AND 18-19 ................................................................... 50
`A.
`Claim 1 ..................................................................................... 50
`B.
`Claim 2 The hybrid device of claim 1, wherein at least
`one of the one or more of the application, the function,
`and the service are enabled at least in part on the hybrid
`device. ...................................................................................... 60
`Claim 3 The hybrid device of claim 1, wherein at least
`one of the one or more of the application, the function,
`and the service are enabled at least in part on a device
`external to the hybrid device and communicatively
`coupled to the external RDC. ................................................... 60
`Claim 4 The hybrid device of claim 1, wherein the
`integrated PDK includes local, secured biometric
`information for authenticating a user, the biometric
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`E.
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`F.
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`G.
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`H.
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`information based on one or more of a fingerprint,
`palmprint, a retinal scan, an iris scan, a photograph, a
`signature, a voice sample, DNA and RNA. ............................. 61
`Claim 5 The hybrid device of claim 1, wherein the
`external PDK stores local, secured financial information. ...... 61
`Claim 6 The hybrid device of claim 1, wherein the
`integrated PDK stores local, secured financial
`information and at least one of the one or more of the
`application, the function, and the service enabled
`completes a financial transaction based on the financial
`information. .............................................................................. 61
`Claim 7. The hybrid device of claim 1, wherein the
`hybrid device is a cell phone. ................................................... 62
`Claim 9. The hybrid device of claim 1, comprising a
`storage for inheritance information. ......................................... 62
`Claim 11 ................................................................................... 63
`Claim 12 The method of claim 11 further comprising:
`sending the enablement signal to the hybrid device,
`wherein at least one of the one or more of the application,
`the function, and the service are enabled at least in part
`on the hybrid device. ................................................................ 64
`Claim 13 The method of claim 11 further comprising:
`sending the enablement signal to the hybrid device,
`wherein at least one of the one or more of the application,
`the function, and the service are enabled at least in part
`on a device external to the hybrid device and
`communicatively coupled to the external RDC. ...................... 64
`Claim 14 The method of claim 11, wherein the integrated
`PDK includes local, secured biometric information for
`authenticating a user, the biometric information based on
`one or more of a fingerprint, palmprint, a retinal scan, an
`iris scan, a photograph, a signature, a voice sample, DNA
`and RNA. .................................................................................. 64
`M. Claim 15 The method of claim 11, wherein the external
`PDK stores local, secured financial information. .................... 65
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`Claim 16 The method of claim 11, wherein the hybrid
`device is a cell phone. .............................................................. 65
`Claim 18 ................................................................................... 65
`Claim 19 The method of claim 11, wherein the first
`signal includes inheritance information. .................................. 66
`XI. GROUND 3: BROADCOM AND GIOBBI ’157 RENDER
`OBVIOUS CLAIMS 8, 10, 17 AND 20 ............................................ 66
`A.
`Claim 8. The hybrid device of claim 1, wherein the
`external PDK is included in jewelry. ....................................... 66
`Claim 10 The hybrid device of claim 1, wherein the
`external PDK is included in a watch ........................................ 67
`Claim 17 The method of claim 11, wherein the external
`PDK is included in jewelry. ..................................................... 67
`Claim 20 The method of claim 11, wherein the external
`PDK is included in a watch. ..................................................... 67
`XII. SECONDARY CONSIDERATIONS ................................................ 67
`XIII. CONCLUSION .................................................................................. 68
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`Paper 1
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`LIST OF EXHIBITS
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`Exhibit
`1001
`1002
`1003
`1004
`1005
`1006
`1007
`
`Description
`U.S. Patent No. 9,235,700 (“’700 patent”)
`File History for U.S. Patent No. 9,235,700
`Declaration of Andrew Wolfe
`U.S. Patent Pub. No. 2007/0245157 A1 (“Giobbi ’157”)
`U.S. Patent Pub. No. 2004/0255139 A1 (“Giobbi ’139”)
`U.S. Patent No. 9,042,819 (“Dua”)
`European Patent No. 1536306 A1 (“Broadcom”)
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`LIST OF CHALLENGED CLAIMS
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`Claim
`1pre
`
`U.S. Patent No. 9,235,700
`A hybrid device comprising:
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`1A
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`1B
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`1C
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`1D
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`1E
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`2
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`3
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`4
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`5
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`6
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`an integrated personal digital key (PDK) for storing local,
`secured financial information a user and capable of
`communicating wirelessly with an external receiver-decoder
`circuit (RDC); and
`an integrated RDC for communicating wirelessly with at least
`one external PDK within a proximity zone,
`the integrated RDC coupled to the integrated PDK by a first
`signal line for communication,
`the integrated RDC coupled to at least one other component of
`the hybrid device by a second signal line,
`one or more of the integrated RDC and integrated PDK
`enabling one or more of an application, a function, and a
`service.
`The hybrid device of claim 1, wherein at least one of the one
`or more of the application, the function, and the service are
`enabled at least in part on the hybrid device.
`The hybrid device of claim 1, wherein at least one of the one
`or more of the application, the function, and the service are
`enabled at least in part on a device external to the hybrid
`device and communicatively coupled to the external RDC.
`The hybrid device of claim 1, wherein the integrated PDK
`includes local, secured biometric information for
`authenticating a user, the biometric information based on one
`or more of a fingerprint, palmprint, a retinal scan, an iris scan,
`a photograph, a signature, a voice sample, DNA and RNA.
`The hybrid device of claim 1, wherein the external PDK stores
`local, secured financial information.
`The hybrid device of claim 1, wherein the integrated PDK
`stores local, secured financial information and at least one of
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`7.
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`8.
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`9.
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`10
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`11B
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`11C
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`11D
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`11E
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`the one or more of the application, the function, and the
`service enabled completes a financial transaction based on the
`financial information.
`The hybrid device of claim 1, wherein the hybrid device is a
`cell phone.
`The hybrid device of claim 1, wherein the external PDK is
`included in jewelry.
`The hybrid device of claim 1, comprising a storage for
`inheritance information.
`The hybrid device of claim 1, wherein the external PDK is
`included in a watch
`11pre A method comprising:
`11A
`creating a first wireless link between an integrated receiver-
`decoder circuit (RDC) of a hybrid device and an external
`personal digital key (PDK),
`the hybrid device including an integrated PDK and the
`integrated RDC,
`wherein the integrated PDK stores local, secured financial
`information,
`receiving a first signal at the integrated RDC via the first
`wireless link from the external PDK;
`generating an enablement signal enabling one or more of an
`application, a function and a service.
`The method of claim 11 further comprising: sending the
`enablement signal to the hybrid device, wherein at least one of
`the one or more of the application, the function, and the
`service are enabled at least in part on the hybrid device.
`The method of claim 11 further comprising: sending the
`enablement signal to the hybrid device, wherein at least one of
`the one or more of the application, the function, and the
`service are enabled at least in part on a device external to the
`hybrid device and communicatively coupled to the external
`RDC.
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`12
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`13
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`14
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`15
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`16
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`17
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`18A
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`18B
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`18C
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`19
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`20
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`The method of claim 11, wherein the integrated PDK includes
`local, secured biometric information for authenticating a user,
`the biometric information based on one or more of a
`fingerprint, palmprint, a retinal scan, an iris scan, a
`photograph, a signature, a voice sample, DNA and RNA.
`The method of claim 11, wherein the external PDK stores
`local, secured financial information
`The method of claim 11, wherein the hybrid device is a cell
`phone.
`The method of claim 11, wherein the external PDK is included
`in jewelry.
`
`The method of claim 11, wherein the integrated PDK is
`electrically coupled to the integrated RDC, and the method
`further comprises:
`
`creating a second wireless link between the integrated PDK
`and an external RDC; and
`sending the enablement signal from the integrated PDK to the
`external RDC using the second wireless link,
`the enablement signal based on financial information stored
`locally and securely on the integrated PDK and used to
`complete a financial transaction.
`The method of claim 11, wherein the first signal includes
`inheritance information.
`The method of claim 11, wherein the external PDK is included
`in a watch.
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`GROUNDS OF CHALLENGE (37 C.F.R. § 42.204(b)(2))
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`No. Ground for Challenge
`1
`Claims 1-20 are rendered obvious by Giobbi ’157 in view of
`Giobbi ’139 and Dua
`Claims 1-7, 9, 11-16 and 18-19 are rendered obvious by Broadcom
`Claims 8, 10, 17 and 20 are rendered obvious by Broadcom in view
`of Giobbi ’157
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`2
`3
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`I.
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`INTRODUCTION
`The claims of the ’700 patent recite a “hybrid device” that uses a
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`Personal Digital Key (PDK) in conjunction with a Receiver Decoder Circuit
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`(RDC) to access secure data on the hybrid device (e.g., a cell phone).
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`Essentially, the claimed RDC acts as a digital lock protecting secured data on
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`a device like a phone, and the PDK functions as a digital key: when an
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`authorized PDK makes an access request to a corresponding RDC, the secured
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`data is made available. The claimed hybrid device includes both an internal
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`PDK (key) and an internal RDC (lock), and these integrated components
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`communicate with external PDKs and external RDCs in other devices.
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`But this type of digital lock-and-key system was known years before
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`the ’700 patent was filed. For example, in 2004—three years before the ’700
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`patent’s earliest filing date—the Giobbi ’139 system disclosed a hybrid device
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`(also a cell phone) that used a PDK and an RDC to secure data in the exact
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`same manner. Likewise, the Giobbi ’157 reference also expressly discloses
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`using a PDK and an RDC to access secured data on a hybrid device like a
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`phone.
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`In fact, numerous prior art patents teach the same concept of using a
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`digital lock-and-key to secure a data or service. For example, Dua discloses
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`an RFID system in portable devices, such as phones, that uses the same type
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`of digital lock-and-key recited in the claims ’700 patent. Likewise, the
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`Broadcom reference uses a digital key (referred to as a “token”) and a digital
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`lock (referred to as a “reader”) to secure access to a wireless network. Thus,
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`the challenged claims merely recite the well-known concept of securing data
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`or services with a digital lock and key which was known in the art years before
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`the ’700 patent was filed. Accordingly, the challenged claims should be held
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`unpatentable.
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`II. MANDATORY DISCLOSURES
`Pursuant 37 C.F.R. § 42.8(a)(1), the following mandatory notices are
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`provided as part of this Petition.
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`A. Grounds for Standing (37 C.F.R. § 42.104(a))
`Petitioner respectfully requests inter partes review (“IPR”) of Claims
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`1-20 (“Challenged Claims”) of the ’700 patent (Ex-1001), which is indicated
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`as assigned to Proxense LLC (“Patent Owner” or “Proxense”).
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`Petitioner certifies that the ’700 Patent is available for inter partes
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`review and Petitioner is not barred or estopped from requesting review of the
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`Challenged Claims on the grounds identified in this Petition.
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`B. Real Party in Interest
`Pursuant to 37 C.F.R. § 42.8(b)(1), Petitioner certifies Samsung
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`Electronics, Co., Ltd. and Samsung Electronics America, Inc. are the real
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`parties-in-interest.
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`C. Related Matters
`The ’700 patent has been asserted against Petitioner in: Proxense, LLC
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`v. Samsung Electronics, Co., Ltd. et al., No. 6.21-CV-00210 (W.D. Tex.
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`March 5, 2021).
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`D. Lead and Back-Up Counsel (37 C.F.R. § 42.8(b)(3)) and
`Service Information (37 C.F.R. § 42.8(b)(3)-(4))
`Petitioner provides the following counsel and service information.
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`Pursuant to 37 C.F.R. § 42.10(b), a Power of Attorney accompanies this
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`Petition. Petitioner agrees to accept electronic service at the email addresses
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`listed below.
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`LEAD COUNSEL
`James M. Glass (Reg. No. 46729)
`jimglass@quinnemanuel.com
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`Postal and Hand Delivery Address:
`QUINN EMANUEL
`URQUHART & SULLIVAN, LLP
`51 Madison Ave, 22nd Floor
`New York, New York 10010
`Tel:
`(212) 849-7000
`Fax: (212) 849-7100
`
`BACK-UP COUNSEL
`Marissa Ducca (Reg. No. 59,807)
`marissaduca@quinnemanuel.com
`
`Postal and Hand Delivery Address:
`QUINN EMANUEL URQUHART &
`SULLIVAN, LLP
`1300 I St. NW
`Washington, DC 20005
`Tel:
`(202) 538-8000
`Fax: (202) 538-8100
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`Sean Gloth (Reg. No. 75,316 )
`seangloth@quinnemanuel.com
`
`Postal and Hand Delivery Address:
`QUINN EMANUEL URQUHART &
`SULLIVAN, LLP
`51 Madison Ave, 22nd Floor
`New York, New York 10010
`Tel:
`(212) 849-7000
`Fax: (212) 849-7100
`
`Richard Lowry (Reg. No. 70,306)
`
`Postal and Hand Delivery Address:
`QUINN EMANUEL URQUHART &
`SULLIVAN, LLP
`1300 I St. NW
`Washington, DC 20005
`Tel:
`(202) 538-8000
`Fax: (202) 538-8100
`
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`E.
`Payment of Fees (37 C.F.R. § 42.15(a))
`The undersigned authorizes the Office to charge the fee required for
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`this Petition for Inter Partes Review to Deposit Account No. 50-5708. Any
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`additional fees that might be due are also authorized.
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`III. LEVEL OF SKILL IN THE ART
`Petitioner proposes that a Person of Ordinary Skill in the Art would
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`have had a bachelor’s degree in computer or electrical engineering (or an
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`equivalent degree) with at least three years of experience in the field of
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`encryption and security (or equivalent experience). Petitioner further
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`proposes that more education could compensate for less experience and vice
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`versa. Ex. 1003 at ¶ 23.
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`IV. OVERVIEW OF THE ’700 PATENT
`The ’700 patent relates to a “hybrid device” comprised of an integrated
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`personal digital key (PDK) and an integrated receiver-decoder circuit (RDC)
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`that are coupled in communication with each other. Ex. 1001 at 2:18-22. The
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`integrated PDK communicates wirelessly with an external RDC and the
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`integrated RDC communicates wirelessly with at least one external PDK
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`within its proximity zone. Ex. 1001 at 22:6-12. The integrated PDK is
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`capable of storing local, secured financial information and secured biometric
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`information for authenticating a user. Ex. 1001 at 22:48-50, 22:65-67. The
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`external PDK is also capable of storing information. Ex. 1001 at 22:30-31.
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`In one embodiment, the integrated PDK carries credentials such as credit card
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`or account information that are used to enable services associated with the
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`external RDC. Ex. 1001 at 16:48-50. A user can make a purchase with the
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`hybrid device provided that they are in possession of the external PDK and in
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`proximity to the hybrid device. If so, the external PDK wirelessly connects
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`to the integrated RDC and authorizes the integrated PDK to enable a
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`transaction by sharing credit card or account information with the external
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`RDC. Ex. 1003 at ¶ 24.
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`V.
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`PROSECUTION OF THE ’700 PATENT
`The ’700 patent was subject to only a single rejection based on double-
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`patenting. Ex. 1002 at 91. No substantive rejections were made and the patent
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`issued within eight months. Id. at 153; Ex. 1003 at ¶ 25.
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`VI. CLAIM CONSTRUCTION
`Petitioner submits that express interpretations of the challenged claims
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`are not required to resolve this petition. Because no constructions are
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`necessary to resolve this petition, Petitioner proposes that the claim terms
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`should be given their plain and ordinary meaning. Petitioner reserves its right
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`to respond to any claim constructions raised by the Patent Owner or the Board
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`in the future. Ex. 1003 at ¶ 26.
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`VII. CITED ART
`A. Giobbi ’157
`U.S. Patent Pub. No. 2007/0245157 A1 to Giobbi et al. (“Giobbi ’157”)
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`is directed at a system and method to “provide efficient, secure and highly
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`reliable authentication for transaction processing and/or access control
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`applications.” Ex. 1004 at Abstract; Ex. 1003 at ¶ 27.
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`Giobbi ’157 discloses a Personal Digital Key (PDK) that “stores one or
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`more profiles (e.g., a biometric profile) in a tamperproof memory that is
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`acquired in a secure and trusted process.” Id. Giobbi ’157 further teaches that
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`the PDK may be integrated into a hybrid device, such as a cell phone. Ex.
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`1004 at ¶ 35 (“a portable electronic device such as a cell phone”), ¶ 12; Ex.
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`1003 at ¶ 28.
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`Giobbi ’157
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`teaches
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`that
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`its
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`integrated PDK
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`is capable of
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`communicating wirelessly with an external receiver-decoder circuit (RDC).
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`In particular, Giobbi ’157 teaches that information stored on a PDK, such as
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`fingerprint information, is transmitted to an external RDC located on a
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`“Reader 108.” Id. at ¶ 49; Ex. 1003 at ¶ 29. Giobbi ’157’s hybrid device is
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`shown in the annotated1 version of Figure 3 below prepared by petitioner’s
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`expert, Dr. Wolfe:
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`1 All figures annotated and all emphasis added to quotations unless
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`otherwise noted.
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`Ex. 1004 at Fig. 3. Giobbi ’157 teaches that its external RDC is
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`communicatively coupled to an external database which is used for enabling
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`an application/function/service:
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`For example, in one type of authentication, information is
`received from the PDK 102 at the RDC 304, processed by the
`processor 306, and transmitted to an external database 112-116
`through the network interface 308.
`Ex. 1004 at ¶ 53. This is shown, for example, in annotated Figure 3:
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`Ex. 1004 at Fig. 3.
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`Giobbi ’157 teaches that its hybrid device, which contains the PDK,
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`enables an application/function/service to take place. Ex. 1003 at ¶ 30. For
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`example, Giobbi ’157 teaches that its hybrid device’s PDK is used to enable
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`a financial transaction, such as an ATM withdraw:
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`Additionally, the PDK can store other information such as
`credit/debit card information, bank information, or personal
`information in a memory for use in authorizing or completing a
`transaction.
`Ex. 1004 at ¶¶ 11, 65.
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`B. Giobbi ’139
`U.S. Patent Pub. No. 2004/0255139 A1 to Giobbi (“Giobbi ’139”) is
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`directed towards a “Personal Digital Key Digital Content Security System”
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`which is aimed at protecting “unauthorized use and protect[ing] the digital
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`content stored on computers from being wrongfully accessed, copied, and/or
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`distributed.” Ex. 1005 at Abstract. Like the Giobbi ’157 publication, Giobbi
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`’139 further teaches communicating with a receiver decoder circuit (RDC),
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`and discloses that an RDC can be incorporated into a cell phone: “This
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`embodiment involves integrating RDCs into…PDAs, cell phones [etc.]”).
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`Ex. 1005 at ¶ 88, compare with Ex. 1004 at ¶ 35 (“The PDK 102 can be
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`standalone as a portable, physical device or can be integrated into commonly
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`carried items. . . such as a cell phone [or] Personal Digital Assistant
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`(PDA)[.]”); Ex. 1003 at ¶ 31.
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`Giobbi ’139 expressly teaches coupling an integrated RDC and an
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`integrated PDK by a signal line for communication. Ex. 1003 at ¶ 32. In
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`particular, Giobbi ’139 teaches:
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`In other alternative embodiments, the communication between
`the user's physical electronic key [i.e., PDK] and the playing
`device is not wireless. Rather, in one alternative embodiment, the
`user's physical electronic key [i.e., PDK] communicates the
`activation code to the playing device [i.e., the RDC on the
`playing device] via a transmission line such as a serial cable
`that plugs into the key at one end and the playing device at the
`other end. In another alternative embodiment, the key is a smart
`card or magnetic card into which the activation code is encoded,
`and the key is configured to physically fit into a card reader slot
`on the playing device.
`Ex. 1005 at ¶¶ 41, 71-73.
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`C. Broadcom
`E.P. Pub. No. 1536306 A1 (“Broadcom”) teaches a system for secured
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`access to a service. Ex. 1007 at Abstract; Ex. 1003 at ¶ 33. In particular,
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`Broadcom teaches that a user’s credentials may be stored on an RFID token,
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`and this token may be read by an RFID reader in an Access Device. Id. The
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`device including the RFID reader may authenticate the RFID token and permit
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`access to the secured service after authentication. Id. This system is shown,
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`for example, in Figure 1:
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`Ex. 1007 at Fig. 1. As shown in the figure, Access Device 102 will
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`request access to a service provider 110 after “verifying that the information
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`sent from the token 104 includes a credential associated with an authorized
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`user and or access device.” Ex. 1007 at ¶¶ 119, 113-118. Broadcom confirms
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`that, in some embodiments, the Access Device 102 can be a mobile phone
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`Paper 1
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`which facilitates access to an access point for mobile communications, as
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`shown, for example, in Figure 6:
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`
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`Ex. 1007 at Fig. 6.
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`D. Dua
`U.S. Patent No. 9,042,819 (“Dua”) teaches a hybrid device—e.g., a cell
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`phone—which establishes wireless connections with other devices to enable
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`functions and exchange data. Ex. 1006 at 6:46-65; Ex. 1003 at ¶ 34. Dua’s
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`hybrid device is shown, for example, in annotated Figure 6:
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`Ex. 1006 at Fig. 6.
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`Dua employs an RFID system to secure data and applications on its
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`hybrid device. Dua teaches that its RFID setup may act as an “electronic key,”
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`e.g., for point-of-sale transactions. Ex. 1006 at 12:60-61. Dua uses an RFID
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`Tag as an electronic “key” and an RFID Reader as the electronic “lock.” Ex.
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`1003 at ¶ 35.
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`Specifically, Dua teaches that its hybrid device uses RFID Tag-Reader
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`Module (shown above in Fig. 6 in yellow), that includes both an RFID Reader
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`Unit 304 and RFID Tag Unit 306 (Ex. 1003 at ¶ 36):
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`Ex. 1006 at Fig. 4A. Dua’s Tag Unit 306 stores information necessary
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`to gain access to an external device. In particular, Dua explains that its Tag
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`Unit 306 stores information in internal tag memory. Ex. 1006 at 15:42-56.
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`This information may be encrypted. Ex. 1006 at 16:31-34. Dua transmits this
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`information to an external Reader. Ex. 1006 at 14:53-64. The external Reader
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`reads the information transmitted by the Tag, i.e., the key, to establish a secure
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`connection. Id.; see also id. at 13:9-18. As shown in the figure, Dua also
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`teaches an integrated Reader Unit 304 for reading information transmitted by
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`external Tag Units. Ex. 1006 at 14:53-64.
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`VIII. DISCRETIONARY FACTORS
`A.
`35 U.S.C. § 325(d) Does Not Favor Denial
`The Board uses a two-part framework to analyze denial under 325(d):
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`(1) whether the same or substantially the same art previously was
`presented to the Office or whether the same or substantially the
`same arguments previously were presented to the Office; and
`(2) if either condition of first part of the framework is satisfied,
`whether the petitioner has demonstrated that the Office erred in
`a manner material to the patentability of challenged claims.
`Advanced Bionics, LLC v. MED-EL Elektromedizinische Geräte GmbH,
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`Paper 6 at 7 (PTAB Feb. 13, 2020). When considering the first prong, the
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`PTAB considers the prosecution of the patent, and any post-issuance
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`proceedings. Id. at 7-8. As to the second prong, the PTAB provided examples
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`of “material errors,” including whether the office overlooked a specific
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`teaching of the relevant prior art or an error of law, such as misconstruing a
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`claim term. Id. at n. 9. In Advanced Bionics the Board explained that the
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`Becton Dickinson factors are used within this framework to provide useful
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`insight into how to apply each prong. Id. at 9.
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`With respect to the first prong, the ’700 patent was issued with no
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`substantive rejections. None of the prior art in this petition—Giobbi ’157,
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`Giobbi ’139 or Broadcom—was addressed by either the Examiner or
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`Applicant. This weighs in favor of institution. See, e.g., Digital Check Corp.
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`d/b/a ST Imaging v. E-Imagedata Corp., IPR2017-00178, Paper 6 at 12-13
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`(PTAB. April 25, 2017) (instituting where: “[T]here is no indication in the
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`record that the Examiner rejected any claims based on either reference or that
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`the Examiner or applicant substantively discussed either reference during
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`Paper 1
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`prosecution[.]”).
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`As discussed below, Giobbi ’157, Giobbi ’139, Dua and Broadcom
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`teach each and every element of the asserted claims. Accordingly, these
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`references are also not cumulative of the art the Examiner considered.
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`B.
`35 U.S.C. § 314(a) Does Not Favor Denial
`The purpose of § 314(a) is to prevent serial petitions against the same
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`patent, resulting in unnecessary harassment and wasted resources. Celltrion,
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`Inc. v. Genentech, Inc., IPR2018-01019, Paper 11 at 13 (PTAB Oct. 30, 2018)
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`(“Celltrion filed a concurrent motion to join the Pfizer IPR, effectively
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`obviating any concerns of serial harassment and unnecessary expen