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
`
`
`
`Mail Stop Patent Board
`Patent Trial and Appeal Board
`U.S. Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`
`PETITION FOR INTER PARTES REVIEW OF UNITED STATES PATENT
`NO. 8,581,706 PURSUANT TO 35 U.S.C. §§ 311–319, 37 C.F.R. § 42
`
`
`
`

`

`Attorney Docket No. 39843-0132IP1
`IPR of U.S. Patent No. 8,581,706
`TABLE OF CONTENTS
`
`I. 
`II. 
`
`STANDING ..................................................................................................... 1 
`THE ’706 PATENT ......................................................................................... 1 
`A.  Technology Background ........................................................................... 1 
`B.  Brief Description of the ’706 Patent ......................................................... 2 
`C.  Prosecution History ................................................................................... 3 
`D.  Claimed Priority Date ............................................................................... 4 
`III.  Level of Ordinary Skill .................................................................................... 4 
`A.  Claim Construction ................................................................................... 5 
`IV.  APPLICATION OF PRIOR ART TO THE CHALLENGED CLAIMS ........ 5 
`A.  Grounds ..................................................................................................... 5 
`B.  Ground 1A: The Jong-Nozawa Combination renders Claims 1-3, 9, 11-
`12, 14-17, and 19 obvious ......................................................................... 7 
`1. 
`Jong .................................................................................................. 7 
`2.  Nozawa ............................................................................................ 9 
`3. 
`Jong-Nozawa Combination ............................................................. 9 
`4. 
`Element-by-Element Analysis ....................................................... 16 
`C.  Ground 1B: The Jong-Nozawa-Deo combination renders Claims 4-6
`obvious .................................................................................................... 41 
`1.  Deo ................................................................................................ 41 
`2. 
`Jong-Nozawa-Deo Combination ................................................... 42 
`3. 
`Element-by-Element Analysis ....................................................... 44 
`D.  Ground 2A: Jong renders Claims 10 and 20-22 obvious ....................... 48 
`1. 
`Element-by-Element Analysis ....................................................... 48 
`E.  Ground 2B: The Jong-JCVM combination renders claim 10 obvious, the
`Jong-Nozawa-JCVM combination renders claim 19 obvious, and the
`Jong-Nozawa-Deo-JCVM combination renders claim 6 obvious .......... 55 
`1. 
`JCVM ............................................................................................ 55 
`2. 
`Jong-JCVM Combination ............................................................. 56 
`3. 
`Element-by-Element Analysis ....................................................... 57 
`F.  Ground 2C: The Jong-RFIDH combination renders Claims 18 and 20-22
`obvious .................................................................................................... 59 
`1. 
`RFIDH ........................................................................................... 59 
`2. 
`Jong-RFIDH Combination ............................................................ 62 
`3. 
`Element-by-Element Analysis ....................................................... 65 
`G.  Grounds 3A and 3B: The Jong-Messerges (or Jong-RFIDH-Messerges)
`combination renders Claims 18 and 21 obvious ..................................... 68 
`
`i
`
`

`

`Attorney Docket No. 39843-0132IP1
`IPR of U.S. Patent No. 8,581,706
`1.  Messerges ...................................................................................... 68 
`2. 
`Jong-Messerges Combination ....................................................... 70 
`3. 
`Element-by-Element Analysis ....................................................... 73 
`V.  DISCRETIONARY DENIAL IS NEITHER APPROPRIATE NOR
`EQUITABLE ................................................................................................. 76 
`VI.  FEES .............................................................................................................. 79 
`VII.  CONCLUSION .............................................................................................. 79 
`VIII.  MANDATORY NOTICES UNDER 37 C.F.R § 42.8(a)(1) ......................... 79 
`A.  Real Party-In-Interest Under 37 C.F.R. § 42.8(b)(1) .............................. 79 
`B.  Related Matters Under 37 C.F.R. § 42.8(b)(2) ....................................... 79 
`C.  Lead And Back-Up Counsel Under 37 C.F.R. § 42.8(b)(3) ................... 80 
`D.  Service Information ................................................................................ 80 
`
`
`
`
`
`
`ii
`
`

`

`Attorney Docket No. 39843-0132IP1
`IPR of U.S. Patent No. 8,581,706
`
`
`
`EXHIBITS
`
`SAMSUNG-1001 U.S. Patent No. 8,581,706 to Klaus Finkenzeller et al. (“the
`’706 patent”)
`
`SAMSUNG-1002 Excerpts from the Prosecution History of the ’706 Patent (“the
`Prosecution History”)
`
`SAMSUNG-1003 Declaration of Dr. Tajana Rosing
`
`SAMSUNG-1004 U.S. Patent Publication No. 2005/0184163 to de Jong
`(hereinafter, “Jong”)
`
`SAMSUNG-1005 Certified Translation of Japanese Laid-Open Patent Application
`No. 2000-163539 to Nozawa
`
`SAMSUNG-1006 Japanese Laid-Open Patent Application No. 2000-163539 to
`Nozawa
`
`SAMSUNG-1007 U.S. Patent No. 6,220,510 to Everett et al.
`
`SAMSUNG-1008 U.S. Patent No. 8,016,192 to Messerges et al.
`
`SAMSUNG-1009 Excerpts from RFID Handbook, 2nd Edition, Klaus
`Finkenzeller, 2003 (hereinafter, “RFIDH”)
`
`SAMSUNG-1010 U.S. Patent Publication No. 2008/0212558 to Aillaud et al.
`
`SAMSUNG-1011Java Card™ 2.1 Runtime Environment (JCRE) Specification
`
`(Revision 1.0), Sun Microsystems, February 24, 1999
`
`SAMSUNG-1012 Java Card 2.1™ Virtual Machine Specification (Revision 1.0),
`
`Sun Microsystems, March 3, 1999 (hereinafter, “JCVM”)
`
`iii
`
`

`

`Attorney Docket No. 39843-0132IP1
`IPR of U.S. Patent No. 8,581,706
`SAMSUNG-1013 Java Card 2.1 Application Programming Interface (Revision
`
`1.0), Sun Microsystems, February 24, 1999
`
`SAMSUNG-1014 ISO/IEC Standard 14443-3: Initialization and Anticollision,
`
`First Edition, February 1, 2001
`
`SAMSUNG-1015 Contactless Payment and the Retail Point of Sale: Applications,
`
`Technologies and Transaction Models, Smart Card Alliance,
`
`March 2003
`
`SAMSUNG-1016 Contactless Technology for Secure Physical Access:
`
`Technology and Standards Choices, Smart Card Alliance,
`
`October 2002
`
`SAMSUNG-1017 Contactless Payments: Delivering Merchant and Consumer
`
`Benefits, Smart Card Alliance, April 2004
`
`SAMSUNG-1018 U.S. Patent No. 7,232,073 to de Jong
`
`SAMSUNG-1019 U.S. Patent No. 5,721,781 to Deo et al.
`
`SAMSUNG-1020-1021 [RESERVED]
`
`SAMSUNG-1022 U.S. Patent Publication No. 2004/0083380 to Janke
`
`SAMSUNG-1023 European Patent No. 0818761 to Drupsteen et al.
`
`SAMSUNG-1024-1099 [RESERVED]
`
`SAMSUNG-1100 Complaint from Aire Technology Ltd. v. Samsung Electronics
`
`Co., Ltd., Case No. 6:21-cv-00955-ADA (W.D. Tex.)
`
`iv
`
`

`

`Attorney Docket No. 39843-0132IP1
`IPR of U.S. Patent No. 8,581,706
`SAMSUNG-1101 Court’s Docket for Aire Technology Ltd. v. Samsung
`
`Electronics Co., Ltd., Case No. 6:21-cv-00955-ADA (W.D.
`
`Tex.)
`
`SAMSUNG-1102 [RESERVED]
`
`SAMSUNG-1103 Declaration of June Ann Munford
`
`
`
`v
`
`

`

`
`
`Attorney Docket No. 39843-0132IP1
`IPR of U.S. Patent No. 8,581,706
`CLAIM LISTING
`
`Claim Language
`Element
`[1.P] A method for contactless communication of a reading device with at
`least two communication-ready applications located on a portable
`data carrier, comprising the steps:
`
`[1.1]
`
`[1.2]
`
`generating a first communication-readiness signal to the reading
`device for a first of the at least two applications, the communication-
`readiness signal comprising a first identification number which is
`assigned to the first of the at least two applications and indicates to
`the reading device the communication readiness of said first
`application, and
`
`generating a second communication-readiness signal to the reading
`device for a second of the at least two applications, the second
`communication-readiness signal comprising a second identification
`number different from the first identification number, which is
`assigned to said second application and indicates to the reading
`device the communication readiness of said second application, and
`
`[1.3]
`
`storing information in a nonvolatile memory of the data carrier about
`which of the at least two applications was last selected for further
`communication by the reading device,
`
`[1.4] wherein the reading device selects for further communication one or
`more of the at least two applications via the identification numbers
`assigned to the applications.
`
`[2]
`
`[3]
`
`The method according to claim 1, wherein upon new communication
`of the reading device with the data carrier, a communication-
`readiness signal is emitted first for one of the at least two applications
`that is different from the application designated by the stored
`information.
`
`The method according to claim 1, wherein, upon new communication
`of the reading device with the data carrier, a communication-
`readiness signal is emitted first for the application with which active
`communication was effected last.
`
`vi
`
`

`

`Element
`[4]
`
`[5]
`
`[6.1]
`
`Attorney Docket No. 39843-0132IP1
`IPR of U.S. Patent No. 8,581,706
`Claim Language
`The method according to claim 1, wherein the reading device
`addresses an application selected for further communication via a
`dynamically allocated session number.
`
`The method according to claim 4, wherein upon addressing, the
`session number is linked on the data carrier with the identification
`number assigned to the selected application.
`
`The method according to claim 5, wherein the first communication-
`readiness signal is generated for a first group of applications
`comprising the first application, and the first identification number is
`assigned to each of the applications in the first group, and the second
`communication-readiness signal is generated for a second group of
`applications comprising the second application, and the second
`identification number is assigned to each of the applications in the
`second group, the first communication-readiness signal indicating to
`the reading device the communication readiness of each of the
`applications of the first group, and the second communication-
`readiness signal indicating to the reading device the communication
`readiness of each of the applications of the second group; and
`
`[6.2] wherein each of the applications of the first group and/or each of the
`applications of the second group is assigned additional selection
`information; and wherein upon addressing, the session number is
`linked on the data carrier additionally with the additional selection
`information assigned to the selected application.
`
`[9]
`
`The method according to claim 1, wherein the reading device
`interprets the identification numbers as identification numbers of
`different data carriers.
`
`[10.P] A method for contactless communication of a reading device with at
`least two communication-ready applications located on a portable
`data carrier, comprising the steps:
`
`[10.1]
`
`generating a first communication-readiness signal to the reading
`device for a first of the at least two applications, the communication-
`readiness signal comprising a first identification number which is
`assigned to the first of the at least two applications and indicates to
`
`vii
`
`

`

`Element
`
`[10.2]
`
`Attorney Docket No. 39843-0132IP1
`IPR of U.S. Patent No. 8,581,706
`Claim Language
`the reading device the communication readiness of said first
`application, and
`
`generating a second communication-readiness signal to the reading
`device for a second of the at least two applications, the second
`communication-readiness signal comprising a second identification
`number different from the first identification number, which is
`assigned to said second application and indicates to the reading
`device the communication readiness of said second application,
`
`[10.3] wherein the reading device interprets the identification numbers as
`identification numbers of different data carriers, and
`
`[10.4] wherein the first communication-readiness signal is generated for a
`first group of applications comprising the first application, and the
`first identification number is assigned to each of the applications in
`the first group, and the second communication-readiness signal is
`generated for a second group of applications comprising the second
`application, and the second identification number is assigned to each
`of the applications in the second group, the first communication-
`readiness signal indicating to the reading device the communication
`readiness of each of the applications of the first group, and the second
`communication-readiness signal indicating to the reading device the
`communication readiness of each of the applications of the second
`group; and
`
`[10.5] wherein each of the applications of the first group and/or each of the
`applications of the second group is assigned additional selection
`information; and
`
`[10.6] wherein the data carrier generates the additional selection information
`as a virtual sector assignment and the reading device interprets the
`additional selection information as a sector assignment of a memory
`area of one of the different data carriers, whereas the different data
`carriers may be emulated data carriers.
`
`[11.P] A contactlessly communicating portable data carrier, comprising at
`least two applications stored thereon and a communication device
`
`viii
`
`

`

`Element
`
`Attorney Docket No. 39843-0132IP1
`IPR of U.S. Patent No. 8,581,706
`Claim Language
`configured to control communication between a reading device and
`the at least two applications,
`
`[11.1] wherein the communication device is set up to generate
`communication-readiness signals to the reading device which in each
`case indicate to the reading device a communication readiness for one
`of the applications and comprise an identification number assigned to
`the corresponding communication-readiness application, and
`
`[11.2] wherein the communication device is set up to store information in a
`nonvolatile memory of the data carrier about which of the at least two
`applications last communicated with a reading device.
`
`[12]
`
`[14]
`
`[15]
`
`[16]
`
`[17]
`
`The data carrier according to claim 11, wherein the communication
`device is set up to emit, upon new contacting of a reading device with
`the data carrier, a communication-readiness signal first for one of the
`at least two applications that is different from the application
`designated by the stored information.
`
`The data carrier according to claim 11, wherein the data carrier is
`configured as a contactlessly communicating chip card, contactlessly
`communicating label, contactlessly communicating identification
`document or as a (U)SIM mobile communication card.
`
`The data carrier according to claim 11, wherein the data carrier has a
`dual interface and can be operated both contactlessly and with
`contact.
`
`The data carrier according to claim 11, including a memory which is
`divided into sectors, each of the sectors having no more than one of
`the at least two applications stored therein.
`
`The data carrier according to claim 16, wherein each of the sectors is
`access-protected separately for access by a reading device to
`applications stored in said sectors.
`
`[18.P] A contactlessly communicating portable data carrier, comprising at
`least two applications stored thereon and a communication device
`
`ix
`
`

`

`Element
`
`Attorney Docket No. 39843-0132IP1
`IPR of U.S. Patent No. 8,581,706
`Claim Language
`configured to control communication between a reading device and
`the at least two applications,
`
`[18.1] wherein the communication device is set up to generate
`communication-readiness signals to the reading device which in each
`case indicate to the reading device a communication readiness for one
`of the applications and comprise an identification number assigned to
`the corresponding communication-readiness application, and
`
`[18.2] wherein the data carrier is configured as a security module in a device
`comprising a communication device configured for contactless
`communication, the security module having software configured to
`communicate contactlessly via the communication device of the
`device.
`
`[19.P] A contactlessly communicating portable data carrier comprising:
`
`[19.1]
`
`a memory which is divided into sectors,
`
`[19.2]
`
`at least two applications stored on said memory, wherein each of the
`sectors have no more than one of the at least two applications stored
`therein, and
`
`[19.3]
`
`a communication device configured to control communication
`between a reading device and the at least two applications,
`
`[19.4] wherein the communication device is set up to generate
`communication-readiness signals to the reading device which in each
`case indicate to the reading device a communication readiness for one
`of the applications and comprise an identification number assigned to
`the corresponding communication-readiness application, and
`
`[19.5] wherein the communication device is set up to assign additional
`selection information to each of the applications of a group of
`applications; and
`
`[19.6] wherein the communication device is set up to assign the at least two
`applications the additional selection information in the form of a
`virtual sector assignment and to generate communication-readiness
`signals for the group of applications, the groups in each case
`
`x
`
`

`

`Element
`
`Attorney Docket No. 39843-0132IP1
`IPR of U.S. Patent No. 8,581,706
`Claim Language
`comprising applications with pairwise different virtual sector
`assignments.
`
`[20.P] A contactlessly communicating portable data carrier, comprising at
`least two applications stored thereon and a communication device
`configured to control communication between a reading device and
`the at least two applications,
`
`[20.1] wherein the communication device is set up to generate
`communication-readiness signals to the reading device which in each
`case indicate to the reading device a communication readiness for one
`of the applications and comprise an identification number assigned to
`the corresponding communication-readiness application, and
`
`[20.2] wherein the data carrier is configured as an electronic device with a
`contactless interface for communication with a reading device and
`with a plurality of memories, each of the memories having no more
`than one of the at least two applications stored therein in each case.
`
`[21]
`
`[22]
`
`The data carrier according to claim 20, wherein the contactless
`interface is configured as an NFC interface and the data carrier is set
`up to be operated in the passive mode for communication with a
`reading device.
`
`The data carrier according to claim 20, wherein the memories are
`formed on chip cards, in particular (U)SIM mobile communication
`cards, secure digital memory cards or EMV payment cards, integrated
`into the data carrier.
`
`
`
`xi
`
`

`

`Attorney Docket No. 39843-0132IP1
`IPR of U.S. Patent No. 8,581,706
`
`
`
`Samsung Electronics Co., Ltd. (“Petitioner” or “Samsung”) petitions for Inter
`
`Partes Review (“IPR”) of claims 1-6, 9-12, and 14-22 (“the Challenged Claims”) of
`
`U.S. Patent No. 8,581,706 (“the ’706 patent”).
`
`I.
`STANDING
`Samsung certifies that the ’706 patent is available for IPR. This petition is
`
`being filed within one year of service of a complaint against Samsung. Samsung is
`
`not barred or estopped from requesting this review challenging the Challenged
`
`Claims on the below-identified grounds.
`
`II. THE ’706 PATENT
`A. Technology Background
`The ’706 patent is directed to contactless communication between
`
`applications of a data carrier (e.g., smart card), and a reading device (e.g., terminal).
`
`SAMSUNG-1001, Abstract; SAMSUNG-1003 ¶¶23-28. However, this technology
`
`was already in existing smart card systems including Java Card. SAMSUNG-1003,
`
`¶¶29-36 (citing SAMSUNG-1015, SAMSUNG-1016). Sun Microsystems in the
`
`1990s developed the Java Card environments that provide for execution of Java
`
`applications on a smart card and defined them in technical documents. See generally
`
`SAMSUNG-1011; SAMSUNG-1012; SAMSUNG-1013; SAMSUNG-1103;
`
`SAMSUNG-1003, ¶29. Communication mechanisms between a Java Card data
`
`carrier, including groupings of applications, and a terminal were specified in these
`
`1
`
`

`

`Attorney Docket No. 39843-0132IP1
`IPR of U.S. Patent No. 8,581,706
`technical documents and Oracle patents prior to the ’706 patent, and many concepts
`
`disclosed in the ’706 patent were well-known. Id., ¶¶29-36.
`
`B.
`Brief Description of the ’706 Patent
`The ’706 patent discusses “contactless, in particular parallel, communication
`
`of a reading device with at least two communication-ready applications located on a
`
`portable data carrier.” SAMSUNG-1001, Abstract. A portable data carrier is
`
`provided with multiple applications stored in a memory, and a mechanism provides
`
`for communication of the applications by the portable data carrier to a reading
`
`device. Id., 2:64-67. Referring to Figure 1 (below), a data carrier 100 includes
`
`applications 10, 20, 30 each having an identification number UID1, UID2, UIDn for
`
`communication with a reading device 200. Id., 7:7-16.
`
`Id., FIG. 1 (annotated).
`
`2
`
`
`
`

`

`Attorney Docket No. 39843-0132IP1
`IPR of U.S. Patent No. 8,581,706
`The data carrier becomes operational after receiving a search signal from the
`
`reading device. Id., 7:35-39. A communication device 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., 3:11-12; 7:39-46.
`
`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. The communication device can use this stored information
`
`to generate a communication-readiness signal for one of the applications for
`
`transmission to the reading device. Id., 9:11-22.
`
`The ’706 patent also discusses a mechanism to emulate MIFARE memory
`
`cards to a reading device by using virtual sectors of a memory to store individual or
`
`groups of applications. Id., 9:24-41, 10:1-13.
`
`C.
`Prosecution History
`The ’706 patent issued from U.S. Application No. 12/304,653. See
`
`SAMSUNG-1001, 1. During prosecution, the application was twice rejected over
`
`U.S. Publication Nos. 2007/0274242 and 2008/0109899. Id., 257-270, 326-339.
`
`The application was allowed after amendments reciting features of storing
`
`information related to the last selected application, assignment of virtual sectors, and
`
`security modules. Id., 354-366, 374-388. However, these features—storing
`
`3
`
`

`

`Attorney Docket No. 39843-0132IP1
`IPR of U.S. Patent No. 8,581,706
`information related to the last selected application, assignment of virtual sectors, and
`
`security modules—are taught in Jong, Nozawa, JCVM, RFIDH, and Messerges,
`
`which the Office never considered.
`
`D. Claimed Priority Date
`
`The ’706 patent was filed June 12, 2007, as a national stage application of
`
`PCT/EP2007/005185 and with a priority claim to German Patent Application No.
`
`102006027200.5, filed June 12, 2006 (“Critical Date”). SAMSUNG-1001, 1.
`
`III. Level of Ordinary Skill
`For purposes of this IPR, Petitioner submits that a person of ordinary skill in
`
`the art as of the Critical Date (a “POSITA”) would have had a bachelor’s degree in
`
`computer science, computer engineering, or a related field, and at least two years of
`
`practical computer programming or engineering experience, including experience
`
`designing embedded systems requiring communication. Additional graduate
`
`education could substitute for professional experience, or significant experience in
`
`the field could substitute for formal education. SAMSUNG-1003, ¶22.
`
`4
`
`

`

`Attorney Docket No. 39843-0132IP1
`IPR of U.S. Patent No. 8,581,706
`
`A. Claim Construction
`Because the Challenged Claims are obvious under any reasonable
`
`interpretation, no express constructions are required in this proceeding.1 Petitioner
`
`may argue in district court that uncertainty regarding the outer bounds of various
`
`limitations renders the ’706 patent’s claims indefinite. Such lack of clarity, while
`
`inhibitive to an infringement analysis, is immaterial here. The obviousness
`
`grounds of this petition parallel the ’706 patent’s preferred embodiments and, thus,
`
`do not approach the periphery of claim scope.
`
`IV. APPLICATION OF PRIOR ART TO THE CHALLENGED
`CLAIMS
`A. Grounds
`Samsung requests IPR on the grounds set forth below. Additional explanation
`
`and support for each ground is provided in the Declaration of Dr. Tajana Rosing
`
`(SAMSUNG-1003).
`
`Ground
`1A
`1B
`2A
`
`Basis
`Claims
`1-3, 9, 11-12, 14-17, 19 §103—Jong, Nozawa
`4-6
`§103—Jong, Nozawa, Deo
`10, 20-22
`§103—Jong
`
`
`1 Petitioner is not conceding that each claim satisfies all statutory requirements, nor
`
`waiving any arguments concerning claim scope or grounds that can only be raised
`
`in district court.
`
`5
`
`

`

`Ground
`2B
`
`Claims
`6, 10, 19
`
`2C
`3A
`3B
`
`18, 20-22
`18, 21
`18, 21
`
`Attorney Docket No. 39843-0132IP1
`IPR of U.S. Patent No. 8,581,706
`Basis
`§103—Jong, JCVM (claim 10)
`§103—Jong, Nozawa, JCVM (claim 19)
`§103—Jong, Nozawa, Deo, JCVM
`(claim 6)
`§103—Jong, RFIDH
`§103—Jong, Messerges
`§103—Jong, RFIDH, Messerges
`
`Each reference pre-dates the Critical Date.
`
`Filing
`02/24/2004
`
`11/24/1998
`
`
`Publication
`08/25/2005
`
`Section
`§§102(a), (e)
`
`06/16/2000
`
`§102(b)
`
`09/13/1995
`
`02/24/1998
`
`§102(b)
`
`06/06/2006
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`
`
`12/06/2007
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`§102(e)
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`03/04/1999
`
`§102(b)
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`
`
`2003
`
`§102(b)
`
`Reference
`Jong
`(SAMSUNG-1004)
`Nozawa
`(SAMSUNG-1005,
`SAMSUNG-1006)
`Deo (SAMSUNG-
`1019)
`Messerges
`(SAMSUNG-1008)
`Java Card Virtual
`Machine
`Specification
`(“JCVM”)
`(SAMSUNG-1012,
`SAMSUNG-1103)
`RFID Handbook
`(“RFIDH”)
`(SAMSUNG-1009,
`SAMSUNG-1103)
`
`
`
`6
`
`

`

`Attorney Docket No. 39843-0132IP1
`IPR of U.S. Patent No. 8,581,706
`B. Ground 1A: The Jong-Nozawa Combination renders
`Claims 1-3, 9, 11-12, 14-17, and 19 obvious
`1.
`Jong
`Jong is directed to presenting applications located on a Java Card to a terminal
`
`using an application identifier (AID). SAMSUNG-1004, Abstract. The Java Card
`
`communicates with a terminal using a wireless link (e.g., radio or electromagnetic
`
`signal) or wired connection. Id., ¶12. Jong states that “the Java Card platform
`
`supports multiple applications on a single card.” Id., ¶10. In Figure 4 (below), the
`
`Java Card (yellow) communicates, to the terminal (green), the applets stored on the
`
`card, and the terminal interacts with applets using the “back office” (blue) to access
`
`software for the transaction. Id., ¶¶68-69.
`
`7
`
`

`

`Attorney Docket No. 39843-0132IP1
`IPR of U.S. Patent No. 8,581,706
`
`
`
`Id., FIG. 4 (highlighted).
`
`Each applet has an associated AID including the registered application
`
`provider identifier (RID) indicating the merchant/operator of the applet and a
`
`proprietary application identifier extension (PIX), which stores a reference number
`
`or applet information. Id., ¶¶15, 68, 71. “[T]he PIX portion 502 of the AID can be
`
`used to store additional information” about the application for use in application
`
`selection. Id., ¶114. The Java Card presents, to the terminal, available applications
`
`stored on the card that correspond to the terminal’s requests, which result in multiple
`
`matching applications presented to the terminal for selection. Id., ¶183.
`
`8
`
`

`

`Attorney Docket No. 39843-0132IP1
`IPR of U.S. Patent No. 8,581,706
`
`2.
`Nozawa
`Nozawa describes an IC card with a CPU and a memory storing applications.
`
`SAMSUNG-1005, ¶9. Nozawa’s IC card CPU stores the selection history of
`
`applications in partitions of an EEPROM memory; when the card interacts with a
`
`terminal (external device), “a specific application program is selected automatically
`
`based on the selection history at the start of accessing from an external device.” Id.
`
`“[T]he selection history from the past is used as the decision basis for determining
`
`the application that has a high probability of being selected [by the terminal].” Id.,
`
`¶20. In some cases, “the application that has been selected most recently” is selected
`
`automatically and, in other cases, “the application program that has the highest
`
`selection frequency is selected automatically.” Id., ¶¶22, 25.
`
`3.
`Jong-Nozawa Combination
`Jong’s Java Card includes nonvolatile memory storing dynamic data
`
`information including the last transaction date of an application. SAMSUNG-1004,
`
`¶¶6, 62, 72, 114, 128, 132. Referring to Figure 5 (below), Jong’s memory stores
`
`AIDs using an RID portion (green) and a PIX portion (blue); the PIX portion can
`
`include additional information related to the corresponding AID and associated
`
`application. Id., ¶72. Specifically, the “Other 502C” field (yellow-blue) in the
`
`AID’s PIX portion is available to store additional information for the AID. Id., ¶¶72,
`
`9
`
`

`

`114.
`
`Attorney Docket No. 39843-0132IP1
`IPR of U.S. Patent No. 8,581,706
`
`
`
`Id., FIG. 5 (highlighted).
`
`In some cases, “the information in the Other 502c portion is used for
`
`application selection.” Id., ¶114. The Other 502c portion can include a “dynamic
`
`component,” such as “a current balance for the card, the date of the last transaction
`
`of an application, or any other desired data.” Id., ¶¶127-128. The dynamic data
`
`includes the last transaction date of an application and is “held in general card data
`
`storage 414… which can be implemented in a portion of EEPROM 314 assigned to
`
`or accessible by the application in question.” Id., ¶128. A POSITA would have
`
`understood Jong’s disclosure as indicating that the last transaction information for
`
`an application can be stored in the nonvolatile memory of the card. SAMSUNG-
`
`1003, ¶¶45-47.
`
`Jong’s Java Card can identify multiple applications that match a terminal
`
`request and return “one match at a time.” Id., ¶105. Jong does not, however, provide
`
`10
`
`

`

`Attorney Docket No. 39843-0132IP1
`IPR of U.S. Patent No. 8,581,706
`details of how to use the stored last transaction date information in the selection of
`
`matching applications or how to determine an order for the return of multiple
`
`applications to the terminal.
`
`Nozawa describes storing prior application selection data and using the stored
`
`data to select an application to transmit upon contact with a terminal. SAMSUNG-
`
`1005, ¶¶19-25, Figures 3-4. Nozawa’s “IC card … is carried out to record, as the
`
`selection history, the date and time each time a specific application is selected.” Id.,
`
`¶20. Nozawa’s IC card includes an application storing region (yellow) in the
`
`EEPROM 14, illustrated in Figure 2 below.
`
`Id., FIG. 2 (annotated with English translations; highlighted).
`
`
`
`11
`
`

`

`Attorney Docket No. 39843-0132IP1
`IPR of U.S. Patent No. 8,581,706
`Nozawa discloses that “selection histories are recorded, through providing
`
`partitions 141B, 142B, and 143B for storing the selection histories of the individual
`
`application programs.” Id., ¶16. The selection histories are used by the smart card
`
`to select an application, for example, based on “the application that has been selected
`
`most recently” or “the application program that has the highest selection frequency.”
`
`Id., ¶¶22, 25.
`
`Nozawa describes that a user with a smart card in a shopping center selects a
`
`credit transaction application for execution at a terminal; Nozaw