IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`Klaus Finkenzeller, et al.
`In re Patent of:
`8,581,706 Attorney Docket No.: 39843-0132IP1
`U.S. Patent No.:
`November 12, 2013
`
`Issue Date:
`Appl. Serial No.: 12/304,653
`
`Filing Date:
`March 4, 2009
`
`Title:
`DATA STORAGE MEDIUM AND METHOD FOR
`CONTACTLESS COMMUNICATION BETWEEN THE DATA
`STORAGE MEDIUM AND A READER
`
`
`
`
`
`
`
`
`DECLARATION OF TAJANA ŠIMUNIĆ ROSING, PH.D.
`
`
`
`
`
`
`
`1
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`SAMSUNG 1003
`
`
`
`
`Klaus Finkenzeller, et al.
`In re Patent of:
`8,581,706 Attorney Docket No.: 39843-0132IP1
`U.S. Patent No.:
`November 12, 2013
`
`Issue Date:
`Appl. Serial No.: 12/304,653
`
`Filing Date:
`March 4, 2009
`
`Title:
`DATA STORAGE MEDIUM AND METHOD FOR
`CONTACTLESS COMMUNICATION BETWEEN THE DATA
`STORAGE MEDIUM AND A READER
`
`
`
`
`
`
`
`
`DECLARATION OF TAJANA ŠIMUNIĆ ROSING, PH.D.
`
`
`
`
`
`
`
`1
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`SAMSUNG 1003
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`
`
`TABLE OF CONTENTS
`
`I. INTRODUCTION AND SCOPE OF WORK ........................................... 5
`
`II. QUALIFICATIONS ............................................................................... 6
`
`III. MATERIALS CONSIDERED ............................................................. 11
`
`IV. SUMMARY OF CONCLUSIONS ....................................................... 14
`
`V. LEGAL PRINCIPLES .......................................................................... 15
`
`A. Obviousness ....................................................................................... 15
`
`VI. PERSON OF ORDINARY SKILL IN THE ART................................ 16
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`VII. OVERVIEW OF THE ’706 PATENT .............................................. 17
`
`A. The ’706 Patent .................................................................................. 17
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`B. The State of the Art at the Time of the ’706 Patent Filing ................ 21
`
`VIII.
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`INTERPRETATIONS OF THE ’706 PATENT CLAIMS AT ISSUE
`
`
`
`27
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`IX. GROUND 1A – Claims 1-3, 9, 11, 12, 14-17, and 19 are obvious in
`
`view of de Jong and Nozawa ................................................................................... 28
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`A. Overview of de Jong .......................................................................... 28
`
`B. Overview of Nozawa ......................................................................... 32
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`C. The de Jong-Nozawa Combination.................................................... 33
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`D. Analysis of Claims 1-3, 9, 11, 12, 14-17, and 19 .............................. 48
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`2
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`
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`X. GROUND 1B: Claims 4-6 are obvious in view of de Jong, Nozawa and
`
`Deo
`
`98
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`A. Overview of Deo ................................................................................ 98
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`B. The de Jong-Nozawa-Deo Combination .........................................100
`
`C. Analysis of Claims 4-6 ....................................................................107
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`XI. GROUND 2A: Claims 10 and 20- 22 are obvious in view of de Jong
`
`115
`
`A. Analysis of Claims 10 and 20-22 .....................................................115
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`XII. GROUND 2B: Claim 10 is obvious in view of de Jong and JCVM
`
`132
`
`
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`
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`A. Overview of JCVM ..........................................................................132
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`B. The de Jong-JCVM Combination ....................................................134
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`C. Analysis of Claim 10 .......................................................................136
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`XIII. GROUND 2C: The de Jong-RFID Handbook combination renders
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`Claims 18 and 20-22 obvious ................................................................................142
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`A. Overview of RFID Handbook ..........................................................142
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`B. The de Jong-RFID Handbook Combination ....................................145
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`C. Analysis of Claims 18 and 20-22 .....................................................151
`
`XIV. GROUND 3: Claims 18 and 21 are obvious on view of de Jong and
`
`Messerges
`
`156
`
`3
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`
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`A. Overview of Messerges ...................................................................156
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`B. The de Jong-Messerges Combination ..............................................158
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`C. Analysis of Claims 18 and 21 ..........................................................165
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`XV. CONCLUSION ................................................................................176
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`4
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`
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`I, Tajana Šimunić Rosing, Ph.D. of San Diego, California, declare that:
`
`I.
`
`1.
`
`INTRODUCTION AND SCOPE OF WORK
`
`I have been retained by Fish & Richardson P.C., on behalf of
`
`Samsung Electronics Co., Ltd. (“Petitioner”), as an independent expert consultant
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`in this inter partes review (“IPR”) proceeding before the United States Patent and
`
`Trademark Office.
`
`2.
`
`I have been asked by Petitioner’s counsel (“Counsel”) to consider
`
`whether certain references teach or suggest the features recited in Claims 1-3, 8-12,
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`14-20, and 22 of U.S. Patent No. 8,581,706 (“the ’706 patent”) (SAMSUNG-1001).
`
`My opinions and the bases for my opinions are set forth below. My opinions are
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`based on my education and experience.
`
`3.
`
`In writing this Declaration, I have considered the following: the prior
`
`art publications cited below and my own knowledge and experience, including my
`
`teaching and work experience in the below-described fields, and my experience of
`
`working with others in those fields during the relevant period.
`
`4.
`
`I have no financial interest in either party or in the outcome of this
`
`proceeding. I am being compensated for my work on an hourly basis for all tasks
`
`involved. My compensation is not dependent on the outcome of these proceedings
`
`or on the content of my opinions.
`
`5
`
`
`
`II. QUALIFICATIONS
`
`5.
`
`I have summarized in this section my educational background, career,
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`publications, and other relevant qualifications. My full curriculum vitae is attached
`
`as Appendix A to this expert report. Based on my experience, I understand and
`
`know the capabilities of persons of ordinary skill in the field of embedded
`
`communications systems during the timeframe leading up to the earliest priority
`
`date of the ’706 patent (June 12, 2006), and indeed, I have personal knowledge and
`
`experience in working directly with many such persons in the field during that time
`
`frame. Therefore, I understand what the POSITA would have known at the time. I
`
`have also relied on my review and analysis of the prior art cited in the petition,
`
`information provided to me in connection with this case, and information I have
`
`independently reviewed. See Section III.
`
`6.
`
`I am a full professor, an IEEE and an ACM Fellow, the Fratamico
`
`Endowed Chair in the Computer Science and Engineering Department at the
`
`University of California, San Diego (UCSD), and an adjunct full professor in the
`
`Electrical and Computer Engineering Department at UCSD. My research focuses
`
`on energy-efficient computing, embedded systems hardware, and software design.
`
`My place of business is located at 9500 Gilman Drive, La Jolla, California. I am
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`over the age of eighteen and a citizen of the United States.
`
`6
`
`
`
`7.
`
`I am currently a Director of System Energy Efficiency Lab where I
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`am leading a diverse research team on projects relating to system energy-efficiency.
`
`8.
`
`I have over twenty-five years of academic and industry experience in
`
`applying, designing, studying, teaching, and writing about energy-efficient
`
`computing. Energy efficient computing is an important consideration for mobile
`
`and embedded applications, which are particularly relevant to this IPR petition. In
`
`addition, my experience has spanned both hardware and software, operating
`
`systems and application programs, system communications and user interfaces. I
`
`received an Electrical Engineering Ph.D. degree in 2001 from Stanford University;
`
`my thesis was titled Energy Efficient System Design and Utilization. I earlier
`
`received an Electrical Engineering B.S. degree in 1992 from Northern Arizona
`
`University, an Electrical and Computer Engineering M.S. degree in 1993 from the
`
`University of Arizona, and an Engineering Management M.S. degree in 2000 from
`
`Stanford University. While at Stanford University, I worked in the same office and
`
`on the same machines where Yahoo was started, and just down the hall from the
`
`office where Google was started. After completing my M.S. in ECE, I worked at
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`Altera Corporation, now Intel Corporation, as a senior design engineer for four
`
`years. During and after completing my Ph.D. degree, I worked with Stanford
`
`University and Hewlett-Packard Labs leading a team of researchers to develop
`
`products for the wireless portable devices market. At HP labs, my team’s efforts
`
`7
`
`
`
`included optimization of hardware and software design on a variety of mobile
`
`platforms. A partial list of my publications during this period is below.
`
` T. Simunic, M. Smith, “Dynamic Power Management at HP,” Invited Paper
`in Special Issue of Design and Test Journal, 2001.
`
` G. Manjunath, V. Krishnan, T. Simunic, J. Tourrilhes, A. McReynolds, D.
`Das, V. Srinivasmurthy, A. Srinivasan, “Smart Edge Server: going beyond a
`wireless access point,” WMASH 04.
`
` B. Delaney, T. Simunic, N. Jayant, “Energy Aware Distributed Speech
`Recognition for Wireless Mobile Devices,” Special Issue on Embedded
`Systems for Multimedia, IEEE Design & Test, 2004.
`
` A. Acquaviva, T. Simunic, V. Deolalikar, S. Roy, “Remote Power Control
`of Wireless Network Interfaces,” Special Issue of Journal of Embedded
`Computing, No. 3, 2004.
`
` T. Simunic, W. Quadeer, G. De Micheli, “Managing heterogeneous wireless
`environments via Hotspot servers,” MMCN 05.
`
`
`
`9.
`
`Through work with Hewlett-Packard Labs, I have been granted the
`
`following United States patents:
`
` U.S. Patent No. 7,272,730, titled “Application-driven method and
`
`apparatus for limiting power consumption in a processor-controlled
`
`hardware platform,” which issued in 2007 from an application with a
`
`priority date in 2003;
`
` U.S. Patent No. 7,246,181, titled “Device and method for identifying a
`
`communication interface that performs an operating parameter closer to a
`
`desired performance
`
`level
`
`than another communication
`
`interface
`
`8
`
`
`
`performs the operating parameter,” which issued in 2007 from an
`
`application with a priority date in 2004; and
`
` U.S. Patent No. 7,190,980, titled “Method and system for power control
`
`in wireless portable devices using wireless channel characteristics,”
`
`which issued in 2007 from an application with a priority date in 2004.
`
`10.
`
`I have over 300 publications and received a number of best paper
`
`awards and nominations. I have also been an invited speaker at numerous
`
`academic and industry conferences.
`
`11. Since coming to UCSD, I have taught an undergraduate course on
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`logic design, CSE 140, “Components and Design Techniques for Digital Systems,”
`
`and a graduate course in embedded systems, CSE 237a, “Introduction to
`
`Embedded Computing.” In my CSE 140 course, I cover basics of transistor design,
`
`logic circuits, and components, all key components that go into design of
`
`processors, and Register-Transfer-Level design. The course ends with a design of
`
`a simple MIPS based processor. In CSE 140 I also cover how to estimate
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`performance and power consumption of a logic circuit. In my graduate CSE237a
`
`course, I cover all topics related to design and validation of embedded and
`
`distributed systems. In the first third of the course, the students learn about all the
`
`key hardware components that go into today’s embedded systems, including CPUs,
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`GPUs, DSPs, FPGAs, various types of memory, interface design, sensors,
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`9
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`
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`actuators, ADC/DAC, communication subsystem that includes a variety of wireless
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`communication methods, such as WiFi, RFID, and Bluetooth, and control system
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`design. The second third of the course is dedicated to embedded software, where
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`we cover issues related to timing, real-time schedulers, and real-time operating
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`system design, and discuss examples of embedded operating systems, including
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`various versions of Linux and Windows used in embedded and mobile computing,
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`Android, and embedded middleware. The last third of the course is focused on
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`modeling strategies, testing and validation of embedded systems. Throughout the
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`course, the students are expected to complete three projects. The first project
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`requires students to build a mobile system that leverages sensors and actuators and
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`schedules tasks using a real-time scheduler implemented within a version of Linux.
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`The second part of the course requires design of an energy efficient power manager
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`within Linux or Android for the hardware designed in part one of the project. The
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`last project is open for students to pick but has to involve both hardware and
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`software for embedded systems. A number of students in my class work on
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`projects that include development of mobile applications that are capable of
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`communicating using a variety of wireless standards.
`
`12. Based on my experience and education, I believe that I am qualified to
`
`opine as to the knowledge and level of skill of one of ordinary skill in the art at the
`
`time of the alleged invention of the ’706 patent (which I further describe below),
`
`10
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`
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`what such a person would have understood at that time, and the state of the art
`
`during that time. Based on my experiences, I understand and know of the
`
`capabilities of persons of ordinary skill in this field during the early-to-mid 2000s
`
`and specifically during the time before the alleged invention of the ’706 patent.
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`Indeed, I taught, participated in organizations, and worked closely with many such
`
`persons in the field during that time frame.
`
`III. MATERIALS CONSIDERED
`
`13.
`
`I have reviewed the ’706 patent and relevant excerpts of its
`
`prosecution history (SAMSUNG-1002). I understand that the ’706 patent was
`
`filed on March 4, 2009, as a U.S. National Phase filing of PCT/EP2007/005185,
`
`and with a priority claim to German Patent Application 102006027200, filed June
`
`12, 2006. For purposes of this Declaration, I am using June 12, 2006 as the
`
`Critical Date.
`
`14. As part of my independent analysis for this Declaration, I have
`
`considered my personal knowledge and experience, the common knowledge of
`
`persons of ordinary skill prior to June 12, 2006, and the following publications and
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`materials:
`
` U.S. Patent Publication No. 2005/0184163 to de Jong (SAMSUNG-
`
`1004)
`
`11
`
`
`
` Certified Translation of Japanese Laid-Open Patent Application No.
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`2000-163539 to Nozawa (SAMSUNG-1005)
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` Japanese Laid-Open Patent Application No. 2000-163539 to Nozawa
`
`(SAMSUNG-1006)
`
` U.S. Patent No. 6,220,510 to Everett et al. (SAMSUNG-1007)
`
` U.S. Patent No. 8,016,192 to Messerges et al. (SAMSUNG-1008)
`
` Excerpts from RFID Handbook, 2nd Edition, Klaus Finkenzeller, 2003
`
`(SAMSUNG-1009)
`
` U.S. Patent Publication No. 2008/0212558 to Aillaud et al.
`
`(SAMSUNG-1010)
`
` Java Card™ 2.1 Runtime Environment (JCRE) Specification (Revision
`
`1.0), Sun Microsystems, February 24, 1999 (SAMSUNG-1011)
`
` Java Card™ 2.1 Virtual Machine Specification (Revision 1.0), Sun
`
`Microsystems, March 3, 1999 (SAMSUNG-1012)
`
` Java Card 2.1 Application Programming Interface (Revision 1.0), Sun
`
`Microsystems, February 24, 1999 (SAMSUNG-1013)
`
` ISO/IEC Standard 14443-3: Initialization and Anticollision, First
`
`Edition, February 1, 2001 (SAMSUNG-1014)
`
`12
`
`
`
` Contactless Payment and the Retail Point of Sale: Applications,
`
`Technologies and Transaction Models, Smart Card Alliance, March
`
`2003 (SAMSUNG-1015)
`
` Contactless Technology for Secure Physical Access: Technology and
`
`Standards Choices, Smart Card Alliance, October 2002 (SAMSUNG-
`
`1016)
`
` Contactless Payments: Delivering Merchant and Consumer Benefits,
`
`Smart Card Alliance, April 2004 (SAMSUNG-1017)
`
` U.S. Patent No. 7,232,073 to de Jong (SAMSUNG-1018)
`
` U.S. Patent No. 5,721,781 to Deo et al. (SAMSUNG-1019)
`
` U.S. Patent Publication No. 2004/0083380 to Janke (SAMSUNG-1022)
`
` European Patent No. 0818761 to Drupsteen et al. (SAMSUNG-1023)
`
`15. Note that my citations to non-patent literature throughout this
`
`Declaration reference the absolute page number added to the exhibit (as opposed to
`
`the original pagination of the document). For patent literature, I have used the
`
`column/line numbers or paragraph numbers. Note also that all emphasis
`
`(bold/italics/underline) in any quoted text has been added unless otherwise
`
`indicated.
`
`16. Although this Declaration refers to selected portions of the cited
`
`references for the sake of brevity, it should be understood that these are examples,
`
`13
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`
`
`and that one of ordinary skill in the art would have viewed the references cited
`
`herein in their entirety and in combination with other references cited herein or
`
`cited within the references themselves. The references used in this declaration,
`
`therefore, should be viewed as being incorporated herein in their entireties.
`
`17. Counsel has informed me that I should consider these materials
`
`through the lens of a person of ordinary skill in the art (“POSITA,” which is
`
`discussed further in Section VI below) as of the Critical Date, and I have done so.
`
`Unless otherwise stated, my testimony below refers to the knowledge of a POSITA
`
`as of the Critical Date.
`
`IV. SUMMARY OF CONCLUSIONS
`
`18. This Declaration explains the conclusions that I have formed based on
`
`my analysis. To summarize those conclusions:
`
` Ground 1A: Claims 1-3, 9, 11, 12, 14-17, and 19 are obvious in view
`
`of de Jong and Nozawa. See infra, Section IX.
`
` Ground 1B: Claims 4-6 are obvious in view of de Jong, Nozawa and
`
`Deo. See infra, Section X.
`
` Ground 2A: Claims 10 and 20-22 are obvious in view of de Jong.
`
`See infra, Section XI.
`
` Ground 2B: Claim 10 is obvious in view of de Jong and the Java
`
`Card Virtual Machine specification (“JCVM”), Claim 19 is obvious in
`
`14
`
`
`
`view of de Jong, Nozawa and JCVM, and Claim 6 is obvious in view
`
`of de Jong, Nozawa, Deo and JCVM. See infra, Section XII.
`
` Ground 2C: Claims 18 and 20-22 are obvious in view of de Jong and
`
`the RFID Handbook. See infra, Section XIII.
`
` Ground 3A: Claims 18 and 21 are obvious in view of de Jong and
`
`Messerges. See infra, Section XIV.
`
` Ground 3B: Claims 18 and 21 are obvious in view of de Jong, RFID
`
`Handbook and Messerges. See infra, Section XV.
`
`V. LEGAL PRINCIPLES
`
`19.
`
`In forming my analysis and conclusions expressed in this Declaration,
`
`I have applied the legal principles described in the following paragraphs, which
`
`were provided to me by counsel for the Petitioner.
`
`A. Obviousness
`
`20.
`
`I have been informed that a patent claim is invalid as “obvious” in
`
`light of one or more prior art references if it would have been obvious to a person
`
`of ordinary skill in the art at the time of the alleged invention (“POSITA”), taking
`
`into account (1) the scope and content of the prior art, (2) the differences between
`
`the prior art and the claims, (3) the level of ordinary skill in the art, and (4) any so
`
`called “secondary considerations” of non-obviousness, which include: 9i) “long
`
`felt need” for the claimed invention, (ii) commercial success attributable to the
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`15
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`
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`claimed invention, (iii) unexpected results of the claimed invention, and (iv)
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`“copying” of the claimed invention by others.
`
`21.
`
`I have been informed that a claim can be obvious in light of a single
`
`prior art reference or multiple prior art references. To be obvious in light of a
`
`single prior art reference or multiple prior art references, there must be a reason
`
`that would have prompted a POSITA to modify or supplement the single prior art
`
`reference, or to combine two or more references, in a manner that provides the
`
`elements of the claimed invention. This reason may come from a teaching,
`
`suggestion, or motivation to combine, or may come from the reference(s)
`
`themselves, the knowledge or “common sense” of a POSITA, or from the nature of
`
`the problem to be solved, and this reason may be explicit or implicit from the prior
`
`art as a whole. I have been informed that, under the law, the combination of
`
`familiar elements according to known methods is likely to be obvious when it does
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`no more than yield predictable results. I also understand it is improper to rely on
`
`hindsight in making the obviousness determination.
`
`VI. PERSON OF ORDINARY SKILL IN THE ART
`
`22. Based on my review of the ’706 patent and my understanding
`
`regarding the state of the art in 2006, the qualifications of a POSITA would have
`
`encompassed a range of educational backgrounds and experience levels. This
`
`range would have included, for example, someone with a bachelor’s degree in
`
`16
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`
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`computer science, computer engineering, or a related field, and (2) at least two
`
`years of practical computer programming or engineering experience, including
`
`experience designing embedded systems requiring communication. While I have
`
`applied this level of skill throughout my analysis, I would still hold the same
`
`opinions even with a different POSITA description. As I will explain below, the
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`technology described in the ’706 patent is rudimentary and, by 2006, the claimed
`
`communications mechanisms and components were well known and commonly
`
`used.
`
`VII. OVERVIEW OF THE ’706 PATENT
`
`A. The ’706 Patent
`
`23. The technology in the ’706 patent generally relates to a method and a
`
`data carrier for contactless communication. SAMSUNG-1001, 1:8-11. In
`
`particular, the ’706 patent discusses parallel communication of a reading device
`
`(for example, a reader, POS device, or terminal) with at least two communication-
`
`ready applications located on a portable data carrier (for example, a smart card, or
`
`smart card instantiated within a dongle, token, or mobile device like a cell phone).
`
`Id., 4:2-4. Before the priority date of the ’706 patent, numerous products,
`
`publications, and patents already existed that implemented or described the
`
`functionality claimed in the ’706 patent, as described further in my Declaration.
`
`Thus, the methodology of the ’706 patent was well-known in the prior art. Further,
`
`17
`
`
`
`to the extent there was any problem to be solved in the ’706 patent, it had already
`
`been solved in the prior art systems before the priority date of the ’706 patent.
`
`24. The ’706 patent discusses a method and data carriers that allow for
`
`“contactless, in particular parallel, communication of a reading device with at least
`
`two communication-ready applications located on a portable data carrier.” Id.,
`
`Abstract. In particular, the ’706 patent generally discusses a portable data carrier
`
`on which multiple applications are stored in a memory, and the mechanism for
`
`communication of the applications by the portable data carrier to a reading device.
`
`Id., 2:64-67. Referring to Figure 1 (below), the ’706 patent discusses a data carrier
`
`100 including applications 10, 20, and 30 each having an identification number
`
`UID1, UID2, and UIDn for communication with a reading device 200.
`
`
`
`18
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`
`
`
`
`Id., FIG. 1 (annotated).
`
`25. The portable data carrier becomes operational in the response field of
`
`the reading device after receiving a search signal from the reading device. Id.,
`
`7:35-39. A communication device of the data carrier then generates a
`
`communication-readiness signal “comprising a first identification number” of a
`
`first application and transmits the signal to the reading device for selection. Id.,
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`3:10-11, 7:39-46.
`
`26. The ’706 patent further states that, in some implementations, “the
`
`communication device 70 of the data carrier 100 can be set up to store in a
`
`nonvolatile memory of the data carrier 100 information about which of the
`
`applications 10, 20, 30 last communicated with the reading device 200.” Id., 9:6-9.
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`19
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`
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`The communication device can use the stored prior-communication information to
`
`generate a communication-readiness signal for one of the applications for
`
`transmission to the reading device. Id., 9:11-22.
`
`27. The ’706 patent also discusses a mechanism to emulate a plurality of
`
`MIFARE memory cards to a reading device by using virtual sectors of a memory
`
`to store individual applications or groups of related applications. Id., 9:24-41,
`
`10:1-13.
`
`28. The ’706 patent claims only features that were conventional and well-
`
`known in the art at the time of the patent filing. In discussing the background of
`
`the technology, the ’706 patent states generally that when “a data carrier is brought
`
`into the response field of a reading device, thereby commencing its energy supply
`
`and putting it in an operational mode, it can receive a search signal emitted
`
`cyclically by the reading device and indicate its communication readiness to the
`
`reading device by means of a first response signal.” SAMSUNG-1001, 1:38-43.
`
`The reading device goes on to “start[] a selection process using a so-called anti-
`
`collision method in order to specifically select one data carrier for further
`
`communication when a plurality of communication-ready data carriers are located
`
`in the response field of the reading device at the same time.” Id., 1:44-48. “For
`
`data carriers according to ISO/IEC 14443 it further holds that a data carrier
`
`selected for communication is addressable during communication via a unique
`
`20
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`
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`session number (session-ID, CID) allocated dynamically by the reading device.”
`
`Id., 1:57-60. The ’706 patent further explains that the ISO-14443 (SAMSUNG-
`
`1014) enables “up to 16 data carriers [to] be selected for communication at the
`
`same time and addressed accordingly via 16 different session numbers.” Id., 1:66-
`
`2:1. Finally, the ’706 patent states that “it is known that a plurality of applications
`
`can be located on a portable data carrier at the same time and that the
`
`corresponding application processes can be executed concurrently when an
`
`operating system providing the necessary mechanisms is set up on the data
`
`carrier.” Id., 2:5-9.
`
`B.
`
`The State of the Art at the Time of the ’706 Patent Filing
`
`29. While
`
`the ’706 patent
`
`is directed
`
`to aspects of contactless
`
`communication between a data carrier and a reading device, the basic functionality
`
`and mechanisms disclosed had already been developed and used in existing smart
`
`card systems including Java Card and MIFARE. In particular, in the late 1990s,
`
`Sun Microsystems had developed Java Card runtime environment and virtual
`
`machine environment that provides for execution of applications and Java applets
`
`on a smart card. The runtime environment and virtual machine environment are
`
`defined through a series of technical documents published by Sun Microsystems.
`
`See generally, SAMSUNG-1011, SAMSUNG-1012, SAMSUNG-1013. Java
`
`Cards “combine a portion of the Java programming language with a runtime
`
`21
`
`
`
`environment optimized for smart cards and related, small-memory embedded
`
`devices.” SAMSUNG-1011, 6. Mechanisms for communication between a Java
`
`Card data carrier, including groupings of applications, and a terminal were
`
`specified in these technical documents and in related Oracle patents prior to the
`
`filing of the ’706 patent. Many concepts disclosed in the ’706 patent were well-
`
`known and previously implemented in Java Card, MIFARE and other smart card
`
`environments.
`
`30. For example, the contactless communication of applications between
`
`a smart card or other data carrier and a terminal was well known. SAMSUNG-
`
`1009, 16 (“The first smart cards in the form of prepaid telephone smart cards were
`
`launched in 1984”), 17-18 (describing the use of RFID technology in development
`
`of contactless smart cards, giving as an example “the use of contactless smart cards
`
`as tickets for short-distance public transit”), 18 (describing the components of an
`
`RFID system as including a transponder and an interrogator or reader).
`
`31. Contactless payment devices can be implemented in cards, key fobs,
`
`watches, and cellular phones. See SAMSUNG-1015, 6. Contactless payment
`
`applications have been in existence since the 1980s for use on toll-roads, in
`
`payment for gas at gas stations, and for ticketing applications. Id., 7. Over time,
`
`the operating costs of such
`
`technologies decreased while security and
`
`manufacturing conditions improved, until MCU-based smart card development
`
`22
`
`
`
`began in earnest in about 1986. Id. In 1994, the MIFARE card was introduced as
`
`“the first standards-based contactless smart card product to find market
`
`acceptance.” See SAMSUNG-1016, 10. As another example, the Hong Kong
`
`Octopus card, which was launched in 1997, functions as an electronic purse for use
`
`in automatic fare collection for public transportation. SAMSUNG-1015, 7. In
`
`2002, MasterCard, VISA, and JCB announced the availability of contactless
`
`payment options. Id. While the original prototypes of the “contactless smart card
`
`operated at a much lower frequency (300 kHz) than current smart cards,” by the
`
`late 1990s and early 2000s smart cards were operated at 13.56 MHz. Id. In fact, in
`
`late 2002, “Philips and Sony announced joint development of a new near-field
`
`radio frequency communication technology called Near Field Communication
`
`(NFC),” which enables short-range communication between consumer devices
`
`with an NFC interface, including smart card readers and smart cards. See
`
`SAMSUNG-1015, 27.
`
`32. These contactless cards work as special
`
`transponders
`
`that
`
`communicate with a reader or terminal. See SAMSUNG-1009, 7; see also
`
`SAMSUNG-1016, 12. Java Card code can run on smart cards, but also on other
`
`platforms including, for example, USB tokens, smart buttons, and other devices.
`
`Some examples of applications stored and accessed on smart cards include
`
`applications for bank card authentication, electronic health documents, key and
`
`23
`
`
`
`password managers, and payment or loyalty cards. Applications can use multiple
`
`segments of a memory. SAMSUNG-1009, 102 (“The memory of a MIFARE®
`
`transponder is divided into 16 independent segments… [t]hus 16 independent
`
`applications that are protected from each other by secret keys can be loaded onto
`
`the transponder”); see also SAMSUNG-1013, 15 (“Java Card technology enables
`
`programs written in the Java programming language to be run on smart cards and
`
`other small, resource-constrained devices”). The segmentation of memory to store
`
`applications can enable protection or access-control of the applications. See
`
`SAMSUNG-1009, 100 (“it is possible to divide the entire memory into small units
`
`called segments, and protect each of these from unauthorized access with a
`
`separate key … [this] permits data from different applications to be stored
`
`completely separately”), 102 (“16 independent applications that are protected from
`
`each other by secret keys can be loaded onto the transponder”). Segmentation was
`
`developed to isolate different applications from each other, so that if one
`
`application fails for any reason, the other applications can continue running using
`
`their separate memory space. See id.
`
`33. The applications are identified by an identification number such as an
`
`application identifier (“AID”) within the smart card and
`
`to the reader.
`
`SAMSUNG-1009, 103 (“Each application is allocated a unique identification
`
`number”); SAMSUNG-1012, 49. These identification numbers (AIDs) “are
`
`24
`
`
`
`administered by the International Standards Organization (ISO), so they can be
`
`used as unique identifiers.” Id. The AID format used in Java Cards and other
`
`smart cards includes “a first 5-byte value known as a RID (resource identifier)”
`
`and “a variable length value known as the PIX (proprietary identifier extension).”
`
`Id., 50. The RID is a value assigned to a company by the ISO, such that each
`
`company has its own ISO. Id. The PIX portion of the AID is managed by each
`
`company. A card reader, such as a terminal, can call an application on the smart
`
`card using the AID. Id., 17, 50; see also SAMSUNG-1013, 64 (“SELECT APDU
`
`commands use instance AID bytes for applet selection”). Application Protocol
`
`Data Unit (“APDU”) is the communication format used between the card and the
`
`off-card applications. This format is defined in ISO specification 7816-3. See
`
`SAMSUNG-1004, ¶¶8, 11; see also SAMSUNG-1009, 70-72; SAMSUNG-1014,
`
`9.
`
`34. In some instances, the terminal or reader calls a particular application
`
`on the smart card by the full AID. SAMSUNG-1013, 64; see also SAMSUNG-
`
`1011, 18. In other instances, the terminal can select an application on the smart
`
`card for communication via a partial AID. See SAMSUNG-1011, 18. The use of a
`
`partial AID may return multiple applications on the smart card having AIDs that
`
`match the partial AID. See SAMSUNG-1004, ¶¶19 (“there may be multip
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