Case 3:22-cv-00694 Document 1-10 Filed 05/23/22 Page 2 of 109
`
`•
`
`Cf;tim Ch:u-l for U.S. rncent 'Jn. 9,269,208 ( .. the '208 Pa.11.-n, .. )
`
`TI1c Accused lnslrumcntali1ics include, but are not ncc-..-s.~arily limited tu, Ap11lc iPho ne and Apple iPad compatible with Yale
`Smart Locks.. nnd ru1y Apple product or device that is sobstnnti:.11ly or r..:asonably similar to the fonctionolity $Cl forth below. TI1e
`Accused lnstrumcmalitics infringe the claims of the ·208 Patcm. as described below. ci1her dircclly under 35 U.S.C. § 271(a). or
`indirectly wldcr 35 U.S.C. §§ 271(b)-(c). The A<.VuSl..."<l lnstrwnentalities infringe the claims of the '208 rn1en1 literally :md. to the
`extent nOt literally. under the doc1rinc of c,,-quivalcnLS.
`
`C hlim 1
`
`I. ;\ system for providing
`secure access to a
`c()ntrollcd item, the
`system comprising:
`
`1-\ c cus:t'-d lns1ru mcntalitie.s
`
`T<, 1l1f! ~,·tt!ut that tht! pr1:11mblt! is de~m t!1I 10 bt• u limiuuio11, 1l1f! A,~ 11SC'd /11st rm11~11tt1litit:s arr
`c"01,fig11re,t tlJ use u ."oJl'Stem it, Ot"CQrd,m u with tl,i.,;. duit11.
`
`More spccific:dly, the controlled item is a locking medmnism of the door lock o r the user's home. 111c
`Accused lnstrnmcntulitics ;ire conligurt.xl 10 pro,•ide secure :.,cccss 10 the user"s home vii, Yale-Smart
`Locks ,...i1cn the user pro,•idcs biometric signal to the Accused lns:1rumcntnli1ics via •rooch II) or f.:,cc
`ID.
`
`- when the ··s,:curc Remote Access" fo3turc is ll1mcd 011. 1hc app will use )·our phone's built-in
`1 ·authl.!nt1ca11on toob to prompt lingcrprin1 Of facial r1,,-cog,111ion before you can unlock or lock your
`~omc ~motdy {note' _if }'Our pl1on.e ~1,..- no1 h.-iv<.:. thtS~ leatufl.!S., i1 ,, ill ~ mruou 10 u~ ... .,,...,, PIN
`codclJTI1is further c., 1surc:s that your door is only operated by the riglu JX-'Oplc at the 1jmc you intend
`for ii."
`(hnps://us.yakhome.comfcnlyalc-ncwslblog/latcsl•·blog,postslin1roducing-biomc,ric-vcrification-1C>r-
`augus1-aod-y--.1lc-locks I f)
`
`ASSA ABLOY Ex. 1020 - Page 1
`ASSA ABLOY AB v. CPC Patent Technologies Pty Ltd.
`IPR2022-01006 - U.S. Patent No. 9,665,705
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`

`

`Case 3:22-cv-00694 Document 1-10 Filed 05/23/22 Page 3 of 109
`
`Vale
`
`Introducing !Biometric Verificat:ion for August and Yale Locks
`
`(hllps:I/Lki.yo1L!1::hom~xu1t1/ct y.i;Le-nc\l. ~luw'Jalt.~!-liluµ,-P\l~l.r in LrudutinJ!;-b iQJ~1c'Lric-'1'1!ri til..'.a-Liun-!'hr(cid:173)
`J-ug11Sc1-.nnd-y11lc-l0<.!b I I•
`
`l
`
`ASSA ABLOY Ex. 1020 - Page 2
`ASSA ABLOY AB v. CPC Patent Technologies Pty Ltd.
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`Case 3:22-cv-00694 Document 1-10 Filed 05/23/22 Page 4 of 109
`
`C laim I
`
`Accused lm,lrumt ntulities
`
`Om1-,s://www.apple.<.-om/~hoplpr0ducl/HPAR2Z~UA/yalc-n:,;:Sure--lock-sl-touchs<::n.'t'tl•<h:.adboh•bfac.k)
`
`3
`
`ASSA ABLOY Ex. 1020 - Page 3
`ASSA ABLOY AB v. CPC Patent Technologies Pty Ltd.
`IPR2022-01006 - U.S. Patent No. 9,665,705
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`

`

`Case 3:22-cv-00694 Document 1-10 Filed 05/23/22 Page 5 of 109
`
`Claim I
`
`Accused Instrumentalities
`
`The Accused Instrumentalities compatible with Yale Smart Locks are shown below:
`
`Compatibility
`
`iPhone Models
`
`iPhone 12 Pro
`
`iPhone 12 Pro Max
`
`iPhone 12 rnrni
`
`iPhone 12
`
`iPhone 11 Pro
`
`,Phone 11 Pro Max
`
`IPhone 11
`
`,Phone SE (2nd generation)
`
`iPhone XS
`
`,Phone XS Max
`
`iPhone XR
`
`iPhone X
`
`,Phone 8
`
`,Phone 8 Plus
`
`,Phone 7
`
`,Phone 7 Plus
`iPhone 6s
`
`,Phone 6s Plus
`
`,Phone SE (1st generation)
`
`iPad Models
`
`iPad Pro 12.9-inch
`(5th generation)
`
`iPad Pro 12.9-inch
`(4th generation)
`
`iPad Pro 12.9-inch
`(3rd generation)
`
`iPad Pro 12.9-inch
`(2nd generation}
`
`iP.id Pro 12.9-,nch
`(1st generation)
`
`iPad Pro 11-inch
`(3rd generation)
`
`iPad Pro 11-inch
`!2nd generation)
`
`,Pad Pro 11-inch
`[1st generation)
`
`,Pad Pro 10.5 -inch
`
`1Pad Pro 9.7-inch
`
`iPad Air (4th generation)
`
`iPad Air (3rd generation)
`
`iPad Air 2
`
`iPad (8th generation)
`
`iPad (71h generation)
`
`1Pad (6th generation)
`11-'ad (~th generation)
`
`iPad mini (bth generation)
`
`iPad mini 4
`
`https :/ /www.apple.com/shop/product/HP AR2ZM/ A/yal e-assure-1 ock-sl-touchscreen-deadbolt-b lack
`
`1 a. a database of biometric The Accused Instrumentalities include a memory comprising a database of biometric signatures.
`signatures;
`
`4
`
`ASSA ABLOY Ex. 1020 - Page 4
`ASSA ABLOY AB v. CPC Patent Technologies Pty Ltd.
`IPR2022-01006 - U.S. Patent No. 9,665,705
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`Case 3:22-cv-00694 Document 1-10 Filed 05/23/22 Page 6 of 109
`
`Ch1i111 I
`
`Attu~td 1 n11trumt'n1alltit',<!i
`
`More spcc.ifically. ,he iPhooe alJO\,.'S multiple biometric signatures to be ..:mcrcd into n dainOOsc on !he
`iPhone:
`
`TOU('h 10
`
`The iPhone allo,v'S the tegi.st.ratioo ormuhiplc fingerprints:
`
`•
`
`C
`- -
`<J
`- ·--
`C;
`- ~
`- - - <.i
`
`-
`
`Fig. rrom h11ps://suppon.apple.com/en-us/MT20137 1 under Manage Touch 10 Scuings.. In lhc second
`bullc1. it lit<.-rolly says:
`
`'"Register up to five liogcrprims."
`
`..,..OU<.'h ID c~n re:id multiple fingcrprinLS., ond it can read fingerprin1s in 360-dcgrct."S of orientation. It
`tlu.11 crcat<.-s a m:nhcma1ic.ul rcprcscntnlion of your fingerprinl 1111d comp:m:s this to your enrolled
`fin er rin1 da.1a to idcn1if • a match and unlock our device. "
`
`s
`
`ASSA ABLOY Ex. 1020 - Page 5
`ASSA ABLOY AB v. CPC Patent Technologies Pty Ltd.
`IPR2022-01006 - U.S. Patent No. 9,665,705
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`Case 3:22-cv-00694 Document 1-10 Filed 05/23/22 Page 7 of 109
`
`CIHim I
`
`Accu.st.'tl Jns·trumcnhtlilie,i:
`
`(h11 ps://su 1>1Xlrt.apple.oom/cn-us/111'204 S87)
`
`"Touch ID can read multiple fingcrprims and recognize fingerprints m any oriemation of 1hc linger.
`Titc sys:1-:m then creati::s a m111hcma1i~.i.l reprtscnto1ion or your fingL-rprin1 aod cornixtres it 10 1he
`rcgis1cred fillgcq,rint d111a 10 dctl'rminc a match and unlock your device."
`(h11ps://supp0r1.apple.wm/cn-u:JHT204S87)
`
`Fac:c 11)
`
`'l'hc il>honc 11llows the rcgis1rmion or multiple faces:
`
`To regis1<.T a race, thl' iPhone to.kes a series of 1>ic1urcs of the user in diffc.rcn1 pos<.'S while circling his
`head. This is revealed in detail in hups://suppor1..applc.<.-0111/cn-us/H1"208109 in the second section
`"Confi urc F11cc 10". 1hcrc also the fj urc shown abo\'C,
`
`6
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`ASSA ABLOY Ex. 1020 - Page 6
`ASSA ABLOY AB v. CPC Patent Technologies Pty Ltd.
`IPR2022-01006 - U.S. Patent No. 9,665,705
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`

`Case 3:22-cv-00694 Document 1-10 Filed 05/23/22 Page 8 of 109
`
`Claim I
`
`Accused Instrumentalities
`
`To register a second face, the iPhone offers a corresponding option in its settings. If the user selects the
`option "Set up an alternative appearance" as shown in the figure below (from How To Add A Second
`Face To Face ID - Macworld UK; https://www.macworld.co.uk/how-to/second-face-id-380342 I/), a
`second face is registered by the iPhone in the same way as the first face.
`
`"Set up Face ID or add another face.
`
`• Select "Settings"> "Face ID & Code"> "Configure alternate appearance" if you want to
`configure another face to be recognized by Face ID."
`
`(https://support.apple.com/de-de/ guide/iphone/iph6d 162927 a/ios)
`
`7
`
`ASSA ABLOY Ex. 1020 - Page 7
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`IPR2022-01006 - U.S. Patent No. 9,665,705
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`Case 3:22-cv-00694 Document 1-10 Filed 05/23/22 Page 9 of 109
`
`Chtim I
`
`Accustd ln.'i'lrumentalitit-s
`
`<
`
`,-a•-
`
`C,
`c..
`C
`0
`
`....
`---- -
`-· -
`__ ....,..,,. __ _
`·-------
`
`-•-a
`
`The p:tgc I-low To Add A $t.'t."Qnd face To Face JO - Mocworld UK
`(h11ps://www,macworld.co.uk/how•1o/sccond-fot-c-id-380342: I/) li1crully s1utC$:
`
`.. Fnce 10 is ti fast and secure way 10 unlock your iPhonc Of iPad Pro, but you may not know 1hn1 you
`can acwally set up more llmn one face to use lhc fcmurc..
`Tllis second face could belong to a IO\'cd om;, enabling your partner or child 10 :tcee,<,s your phone
`without requiring your smiling mug 10 unlock it··
`
`To store 1hc biometric signatures (•1cmplmc dnrn .. ) from 1hc r1.-ccivcd biometric signals, 1hc iPhonc h8$
`n Sysu.,n on Chip (SOC) called a Secure Enclave. A Secure Enclave Processor provides 1hc S<.-cun:
`l!ncla\'C with eom u1in
`wet:
`
`8
`
`ASSA ABLOY Ex. 1020 - Page 8
`ASSA ABLOY AB v. CPC Patent Technologies Pty Ltd.
`IPR2022-01006 - U.S. Patent No. 9,665,705
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`

`

`Case 3:22-cv-00694 Document 1-10 Filed 05/23/22 Page 10 of 109
`
`Claim 1
`
`Accused Instrumentalities
`
`"The Secure Enclave is a system on chip (SoC) that is included on all recent iPhone, ... devices"
`(Ex. A, Apple Platform Security, at 7.)
`
`"The Secure Enclave is a dedicated secure subsystem integrated into Apple systems on chip (SoCs)."
`(Id., at 9.)
`
`The Secure Enclave Processor provides the main computing power for the Secure Enclave."
`(Id., at I 0.)
`
`"During enrollment, the Secure Enclave processes, encrypts, and stores the corresponding Touch ID
`and Face ID template data."
`(Id., at 19.)
`
`The Secure Enclave has access to a memory assigned to it and accessible only to it:
`
`Secure nonvolatile storage
`"The Secure Enclave is equipped with a dedicated secure nonvolatile storage device.
`The secure nonvolatile storage is connected to the Secure Enclave using a dedicated 12C bus, so that it
`can only be accessed by the Secure Enclave."
`(Id., at I 5.)
`
`This memory serves as a database for storing the biometric signatures:
`
`"The secure nonvolatile storage is used for all anti-replay services in the Secure Enclave. Anti-replay
`services on the Secure Enclave are used for revocation of data over events that mark anti-replay
`boundaries including, but not limited to, the following:
`•
`•
`
`Adding or removing a Touch ID fingerprint or Face ID face" .
`
`(Id., at 16.)
`
`9
`
`ASSA ABLOY Ex. 1020 - Page 9
`ASSA ABLOY AB v. CPC Patent Technologies Pty Ltd.
`IPR2022-01006 - U.S. Patent No. 9,665,705
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`Case 3:22-cv-00694 Document 1-10 Filed 05/23/22 Page 11 of 109
`
`Claim I
`
`Ac:t'11Sf'fl lns1ru nu,•nt:1lili~
`
`This database is shown in the figure rrom Apple Pl:11fom1 Sccutiry n.-prodoocd below:
`
`....
`I -·-
`
`---·
`I
`---
`I ~-!
`
`--
`·---......
`--.....
`
`~
`
`T
`
`-- - --
`-
`·-
`-----
`
`Database I 05
`(E..\;. A, Apple. Platfonn Sccuri1y. at 9.)
`
`I b. 3 lransmiucr sub•
`syst<.'fll con,ptising:
`
`1ls SN fort It in ~ltm,:111s J b I, I bl. 0111/ I bJ b4'low, th,: Accust>tl J,~·trumcmtaHties include a
`trunsmillu sub-srstem.
`
`10
`
`ASSA ABLOY Ex. 1020 - Page 10
`ASSA ABLOY AB v. CPC Patent Technologies Pty Ltd.
`IPR2022-01006 - U.S. Patent No. 9,665,705
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`Case 3:22-cv-00694 Document 1-10 Filed 05/23/22 Page 12 of 109
`
`C l:1in1 l
`
`Attu~td ln~rr11mt•n111lirie~
`
`The iPhonc's St..-cure Enclave is a 1mnsmi11er sub--systcm. It sends eph<.·mer:illy rc-cncryplc..-d file keys to
`the application processor \\'ith its lite s:ys-h.•m dri\'t r (• Applic~1ion l:>l"OC(.'Ssor filc~systcm drivc-r .. ) 10
`rend 1he files in the NANO FIU$h Storage.
`
`(Ex. A. Apple Plntfonn Securily, ill 9.)
`
`"scpOS can lhen use 1hc cplh."mcr.11 wrnpping h·y 10 wrap file- keys for use by 1l1t A1>plicutio11
`P·roeessor nte-s)slem drh•er. When lhc filt .. S)llem driver reiuls or wrilt.'S n file, ii scnd.s the
`wra1>ped kty to 1he AES E111rinf.', ..
`Id., 01 14.)
`
`II
`
`-
`I --
`
`---
`I
`---
`... __
`I
`I
`
`IT
`
`-- - --
`-
`-
`
`--
`---~-
`~
`... __ . __ _
`---
`
`ASSA ABLOY Ex. 1020 - Page 11
`ASSA ABLOY AB v. CPC Patent Technologies Pty Ltd.
`IPR2022-01006 - U.S. Patent No. 9,665,705
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`Case 3:22-cv-00694 Document 1-10 Filed 05/23/22 Page 13 of 109
`
`CJ1dn1-.I
`
`..:'-'\!ti.: ncl..iv~; tht" fi1c- k..:y is 1.C:Vl'r dirL"'t.:d)' l!Xll'4-~~d LO
`"All \.\'r-.ippc.."ll fJ I~ key h;,iJ1tll i11g 1.k.-CUl'S in lFM!'
`I h~ A 11r I ir-amion Pmcc!!.sor. [ ... ) WhC"n tht!' • l!Clllfil!' F nd11vt!' Lmwr.tp:s a lik\ 1..;y,;. 1 hc;ytre rcwmppt..'IC! "" i•h
`th( '-11hemcr:sl key anLheru h
`I. to Ht l\ppl it."1:Uilon l?'11n , -~or, "
`I hi., at :S5.}
`
`11.l I . biom~lric ~nsor fQf'
`i'IL"i.;i.:ii.•in~ a blrn11.euie
`si~na I;
`
`Tiu.· « ·u..11ttJ lm;frm11clltfllitfo · i11d11J,.. illl hiom,c:tric ,,.,msor ro1,fiJ:ll'l't'd 1,, l'iec--e-i•·,• illl bi,uffl!lric .ti,::mll.
`
`1pl1,111ng II lingi.'1'pri n t or ri l;u;c
`Mon: :.Jl(."Cdi:c:J 11 ~, 111..: i Pl-ton,;: h::!~ LL lca.-.L om: hinmctri =-~n',.('lr for
`n ouch Ill and/or I- «: ID), n:;uncl)
`louch iD s.cnsor ffild II cruncm -_ ~1c-1n ,,tilh irnogc scTtsoir.
`n:·
`Lh·cly.
`
`12
`
`ASSA ABLOY Ex. 1020 - Page 12
`ASSA ABLOY AB v. CPC Patent Technologies Pty Ltd.
`IPR2022-01006 - U.S. Patent No. 9,665,705
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`Case 3:22-cv-00694 Document 1-10 Filed 05/23/22 Page 14 of 109
`
`Claim 1
`
`Accused Instrumentalities
`
`Touch ID
`
`"Apple devices with a Touch ID sensor can be unlocked using a fingerprint."
`(Ex. A, Apple Platform Security, at 19.)
`
`"Touch ID is the fingerprint sensing system that makes secure access to supported Apple devices faster
`and easier. This technology reads fingerprint data from any angle and learns more about a user's
`fingerprint over time, with the sensor continuing to expand the fingerprint map as additional
`overlapping nodes are identified with each use."
`(Id.)
`
`"When the fingerprint sensor detects the touch of a finger, it triggers the advanced imaging array to
`scan the finger and sends the scan to the Secure Enclave."
`(Id.)
`
`The biometric sensor for Touch ID is located below the home button:
`
`"The Home button is a stack of different materials, capped with a sapphire crystal lens. The
`surrounding stainless-steel ring works as a ground and detects the user's finger. This action activates a
`capacitive touch sensor installed underneath the cover: A CMOS chip with small capacitors."
`(https://annleinsider.com/inside/touch-id)
`
`13
`
`ASSA ABLOY Ex. 1020 - Page 13
`ASSA ABLOY AB v. CPC Patent Technologies Pty Ltd.
`IPR2022-01006 - U.S. Patent No. 9,665,705
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`Case 3:22-cv-00694 Document 1-10 Filed 05/23/22 Page 15 of 109
`
`Clain1 I
`
`Aetu'\NI Jnsrr u ml.'n1.tli1ies-
`
`13iomctric sensor 121
`
`"Where is the Touch ID sensor locatt .. -d'!
`
`•n1c T(lUCh II) St.."flsor is IOL":11<.-d <.':ilhC:r in the home bullon or- On d.e iPod Air{4lh bl{'ftcmtion) • in lhc lop
`button.
`
`(hups1/support..applc.com/cn-usll lT201371)
`
`The image sensor cnplurcs an 8-8-by-SS-pixcl. SOO PPI raster sc:m:
`
`1'hc 88-by-88-pixel. 500-ppi ra.su.·r scan is temporarily s1ored in encryp1ed memoiy within 1he Secure
`1;ncl:l\'c while being vcciorizcd for analysis. and then it's disc11rdl.0<.t The analysis utili7,cs ~ubdcm111I
`ridge flow angle mopping. which is a lossy process thtn discards minutia d:un 1h;11 would be required to
`rcco1\.~truc1 the usel"s actual tlngerprinL The rt-suiting map of nod~ is stored wi1hou1 any idemhy
`inlonn:1tion in nn encrypted fom1.n 1ha1 t.an Qnly be re.ad by the St."Cun: Em::lavc. :md is nc:vcr sent to
`A
`le or bach"CI u 10 iCloud or iTunt"S ...
`
`14
`
`ASSA ABLOY Ex. 1020 - Page 14
`ASSA ABLOY AB v. CPC Patent Technologies Pty Ltd.
`IPR2022-01006 - U.S. Patent No. 9,665,705
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`

`Case 3:22-cv-00694 Document 1-10 Filed 05/23/22 Page 16 of 109
`
`Claim 1
`
`Accused Instrumentalities
`
`(Ex. C, iOS Security white paper, at 8.)
`
`Face ID
`
`The biometric sensor for facial biometrics is a camera system ("TrueDepth camera system") with an
`image sensor.
`
`"With a simple glance, Face ID securely unlocks supported Apple devices. It provides intuitive and
`secure authentication enabled by the TrueDepth camera system, which uses advanced technologies to
`accurately map the geometry of a user's face. "
`(Ex. A, Apple Platform Security, at 20.)
`
`To receive a biometric signal, the camera system with image sensor reads over 30,000 infrared points
`to capture depth information along with a two-dimensional infrared image.
`
`"After the TrueDepth camera confirms the presence ofan attentive face, it projects and reads over
`30,000 infrared dots to form a depth map of the face along with a 2D infrared image. This data is
`used to create a sequence of 2D images and depth maps, which are digitally signed and sent to the
`Secure Enclave. To counter both digital and physical spoofs, the TrueDepth camera randomizes the
`sequence of 20 images and depth map captures, and projects a device-specific random pattern. A
`portion of the Secure Neural Engine-protected within the Secure Enclave-transforms this data into a
`mathematical representation and compares that representation to the enrolled facial data. This enrolled
`facial data is itself a mathematical representation of the user's face captured across a variety of poses."
`(Id.)
`
`The camera system includes a biometric image sensor, namely a "CMOS image" sensor from Sony, to
`perform facial biometrics:
`
`15
`
`ASSA ABLOY Ex. 1020 - Page 15
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`IPR2022-01006 - U.S. Patent No. 9,665,705
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`Case 3:22-cv-00694 Document 1-10 Filed 05/23/22 Page 17 of 109
`
`Claim I
`
`Act.·usc.-d lns-1ruml'nl:tli1ics
`
`(https://appleinsider .001n/artic lest I 7 /09/09/innt.•r. workings.of-apples-face-id-camcra-<leta ilcd-in•
`report)
`
`I b2. m<.~ns for matching
`the biomcuic signal
`:sgainsl metUben; of the
`d:,tobase of biometric
`signntun.-s 10 1hcreby
`ou1pu1 an a~~ibili1y
`anributc; and
`
`11nt A c('use,J lusrrum,•11ralities i11cl11dr. a tru11~,wilfu t't11ttr'1llt'r C1mjig11rt!1/ '" emit a Sl!Cttrt! 11«e.'i.t
`si,:11al C(JIIW.'J';"i hiformariou ,lep,•mlem 11pou said aue$Sibiliry 1111rib1m•.
`
`More spt-cilically. the iPhone•s Syslcm on Chip (SOC). i.e. the Secure Encla\'C wilh i1s Secure Enclave
`J>r«t~sor (SEP) or a St..'C'urc Ncuml Engine conlaint.-d the rein. is a m~ans ( I 03) to chc-ck a m:itch of 1he
`biome.ric signal with clements of1hc biometric sigm11urc dnlamt$c.
`
`"'Th,: Scn,re E11cl,we is a system on chip (SoC) tha1 is included Oil all recem iPhone . ... devices"
`(Ex. A. Apple Pl:itfonn Security, at 7.)
`
`ASSA ABLOY Ex. 1020 - Page 16
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`IPR2022-01006 - U.S. Patent No. 9,665,705
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`Case 3:22-cv-00694 Document 1-10 Filed 05/23/22 Page 18 of 109
`
`Claim 1
`
`Accused Instrumentalities
`
`"During matching, the Secure Enclave compares incoming data from the biometric sensor against the
`stored templates to determine whether to unlock the device or respond that a match is valid (for
`Apple Pay, in-app, and other uses of Touch ID and Face ID)."
`(Id., at 19.)
`
`The biometric signal received from the biometric sensor ("incoming data from the biometric sensor") is
`thus checked by the Secure Enclave and its SEP with the elements of the database of biometric
`signatures 105, i.e. the "stored templates", for the presence ofa match.
`
`For Touch ID, the Secure Enclave match verification is performed as follows:
`
`"The Secure Enclave is responsible for processing fingerprint data from the Touch ID sensor,
`determining if there is a match against registered fingerprints, and then enabling access or purchases on
`behalf of the user ... "
`(Ex. C, iOS Security white paper, at 7.)
`
`"During enrollment, the resulting map of nodes is stored in an encrypted format that can be read only
`by the Secure Enclave as a template to compare against for future matches .... "
`(Ex. A, Apple Platform Security, at 19.)
`
`"Touch ID can read multiple fingerprints, and it can read fingerprints in 360-degrees of orientation. It
`then creates a mathematical representation of your fingerprint and compares this to your enrolled
`fingerprint data to identify a match and unlock your device. "
`(https://support.apple.com/en-us/HT204587)
`
`"Touch ID can read multiple fingerprints and recognize fingerprints at any orientation of the finger.
`The system then creates a mathematical representation of your fingerprint and compares it to the
`registered fingerprint data to determine a match and unlock your device."
`(https://support.apple.com/de-de/HT204587)
`
`17
`
`ASSA ABLOY Ex. 1020 - Page 17
`ASSA ABLOY AB v. CPC Patent Technologies Pty Ltd.
`IPR2022-01006 - U.S. Patent No. 9,665,705
`
`

`

`Case 3:22-cv-00694 Document 1-10 Filed 05/23/22 Page 19 of 109
`
`Claim 1
`
`Accused Instrumentalities
`
`For Face ID, the Secure Enclave has a neural network protected by it, i.e., a Secure Neural Engine,
`which is used to verify the match:
`
`"Face ID uses neural networks for determining attention, matching, and antispoofing, so a user can
`unlock their phone with a glance."
`(Ex. A, Apple Platform Security, at 20.)
`
`"A portion of the Secure Neural Engine-protected within the Secure Enclave-transforms this data into a
`mathematical representation and compares that representation to the enrolled facial data. This enrolled
`facial data is itself a mathematical representation of the user's face captured across a variety of poses."
`(Id.).
`
`"Facial matching security
`Facial matching is performed within the Secure Enclave using neural networks trained specifically for
`that purpose ... Face ID data, including mathematical representations of a user's face, is encrypted and
`available only to the Secure Enclave. This data never leaves the device."
`(Id. at 23.)
`
`When the Secure Enclave, or more precisely the Touch ID or Face ID subsystem within the Secure
`Enclave, has determined that a match exists, an accessibility attribute is issued by the corresponding
`Touch ID or Face ID subsystem. This Touch ID or Face ID subsystem is also referred to as the SBIO.
`The accessibility attribute confirms that there is a match and that the iPhone is to be unlocked(" ...
`determine whether to unlock the device ... ").
`
`This confirmation of the match is signaled by the SBlO by issuing a random secret to which only the
`Touch ID or Face ID subsystem within the Secure Enclave has access:
`
`"During matching, the Secure Enclave compares incoming data from the biometric sensor against the
`stored templates to determine whether to unlock the device[ ... ]."
`(Id. at 19.)
`
`18
`
`ASSA ABLOY Ex. 1020 - Page 18
`ASSA ABLOY AB v. CPC Patent Technologies Pty Ltd.
`IPR2022-01006 - U.S. Patent No. 9,665,705
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`

`

`Case 3:22-cv-00694 Document 1-10 Filed 05/23/22 Page 20 of 109
`
`Claim I
`
`Accused Instrumentalities
`
`"Uses for Touch ID and Face ID
`
`Unlocking a device or user account
`( ... ] keys for the highest class of Data Protection-which are held in the Secure Enclave( ... ].
`
`With Touch ID or Face ID enabled, the keys aren't discarded when the device or account locks;
`instead, they're wrapped with a key that's given to the Touch ID or Face ID subsystem inside the
`Secure Enclave. When a user attempts to unlock the device or account, if the device detects a
`successful match, it provides the key for unwrapping the Data Protection keys, and the device or
`account is unlocked. This process provides additional protection by requiring cooperation between the
`Data Protection and Touch ID or Face ID subsystems to unlock the device."
`
`(Id. at 24.)
`
`"The class key is protected with the hardware UlD and, for some classes, the user's passcode."
`(Id. at 85.)
`
`"Complete Protection
`(NSFi/eProtectionComplete): The class key is protected with a key derived from the user passcode or
`password and the device UID. Shortly after the user locks a device (IO seconds, if the Require
`Password setting is Immediately), the decrypted class key is discarded, rendering all data in this
`class inaccessible until the user enters the passcode again or unlocks (logs in to) the device using
`Touch ID or Face ID."
`
`(Id. at 86.)
`
`The Touch ID or Face ID subsystem within the Secure Enclave is the SBIO shown below. SBIO is an
`application that runs within the Secure Enclave on the SEP and is responsible for checking the match
`of biometric features. SBIO receives the corresponding biometric data from a biometric sensor, such as
`the Touch ID sensor. The random secret is stored in a memorv ("bio memorv") associated with the
`
`19
`
`ASSA ABLOY Ex. 1020 - Page 19
`ASSA ABLOY AB v. CPC Patent Technologies Pty Ltd.
`IPR2022-01006 - U.S. Patent No. 9,665,705
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`

`Case 3:22-cv-00694 Document 1-10 Filed 05/23/22 Page 21 of 109
`
`Chiilm I
`
`BJO anti, i~ 01..1.LpuL from die bia tnl!'rh ry upo.11 muldt, 1.."t" Sl'-"P J in t.he tliagr-.un below (''3) upon
`slJ!i=1..~'>[11I mal..:11 ~ 11tl rnndom :;1..'\.Tt.1 lo. K. ")~
`
`ASSA ABLOY Ex. 1020 - Page 20
`ASSA ABLOY AB v. CPC Patent Technologies Pty Ltd.
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`
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`

`Case 3:22-cv-00694 Document 1-10 Filed 05/23/22 Page 22 of 109
`
`C lnlm I
`
`(Id. um 15.)
`
`The rnndom s..:cret h, bsued lo K . K. i i1 «urc Key ~rvic..-: t1pplic.:11ion ,, hkh is locntcd v.ilhin
`the . t.:i.:1.m: F ndn.\ c t,n LhL· • P 1u1<l i ~ kSfX'lll'i i bit- rur d'-"t."rypli n~ ~I.L~ "-~)':?>, n,e mndom secreL
`prm ided by BIO is usetl lo decrypt u muster KC)' f •,t) decrypt m11s.iC"r k..:y"). Th..: m11S-1.ct' kcs is
`con Lcmllcd ''-'llh the IJU) ol tnc
`l,:.P m,d lhn!i- ckt..'-. k1i.')'S arc di"f;ryph.-d :.md ,tddL-d tu 1hc SK. l,,,c:yrmg
`(''.S., uecryp, class k~y.:s, ai.li.i to kq·ring"1 for further o.w b~ the ccurc Encl. 1t,·c-. 1 he dccr;'PlcJ clnss.
`kc~ inehUll!'. lot t.!XUlnr!c-. lhc C l.i.ss .kt!'J Of di.'!~ )\.
`
`Tiu ~l!!it'd t,.,_,trm11entaliti~ i111:l1Adtr a rnm milter cu11Jig11r-..-d w crnil 11 :!iecurie_ crcco., igrtal
`,CQJJ\,'f'Ji1,g hifnrmatfrm dey1,e,uJ,t11I •~pnn w1id acll.uihilit)1 attrilmle;.
`
`u~pO. c::m mhl'fl LI',\!' 1h1t l.11hcmcnd '"&lppin I ki.:y I ll .... ·mr '11c: kt>ys lt)J" u~ hy thl!' Appl1L:al1un
`Proc..: "-Of fth:-sy ii.:m drh c-r. \Vhcn lhl.'. 1lik->oy"'il~111 dm i.:r read!, ur wrilLo.s .t file. ii M."lld'> 1h~" rurPL'il
`lo u, • 1\E • En inc: ·
`k4:
`
`-•
`
`l bl. 111c;.im. wr crnin iflt!, J
`!.<."Cl.In! :iccess igmJI
`COR\'C)'l ng mfrmn.tUOll
`dcpt:nch.:m upun said
`attt."S!<>i bi mi1y uUrihule; a1u.l
`
`ASSA ABLOY Ex. 1020 - Page 21
`ASSA ABLOY AB v. CPC Patent Technologies Pty Ltd.
`IPR2022-01006 - U.S. Patent No. 9,665,705
`
`

`

`Case 3:22-cv-00694 Document 1-10 Filed 05/23/22 Page 23 of 109
`
`Claim I
`
`t\ ct•u~NI ln~lrumrntalities
`
`(Ex. ;\ , Apple Pla1fom1 St.-curit), al 1-l.)
`
`"1\ II wr:1ppcd lilc key hand lint oecun. in the Sccul'e Enclave: 1hc lilc key is llC\'Cr dinx1ly exposed 10
`the Applicntion Proces.wr. J ... J When the $<.-cure Enclave um1<rup$ n file's keys. they're rcwrappt.-d with
`the ephemeral key and sent tx,ck to 1hc Application Processor."
`(/<I. 01 85.)
`
`The signal with the cphcllli.'.ntlly re-encrypted file keys is o secure signaJ because it comes from the
`Secure EnclD\'C ond thus from :i sccun: environment Fu11hennore, the sig.n~I is s-:curc. because the
`1.rnnsmined infonnn1ion is encrypu .. -d. 711c (.·milted lilc keys :ire encrypted wi1h the ephemeral key:
`
`"All wmppt.-d lile key hand I ins occu,s in the Secure Endavc; the lile key is nC\'Ct din.~tly exposed 10
`the Applk-:11ion l)rocc.o;~or, Al !>Uu1u1>, thl.' Secure Enda\'C ncgo1ittlC$ an cpln.•mcnll key with 1hc AES
`Engine. When the Sc,;urc Enclave ln1wrn1,s n lite':, keys, lhc)'rc rcwr:tpf)(.-d \\ hh 1hc cpheml.'ral key and
`scm ba(.'k 10 the Applicalion rrocl.'ssor."
`(/ti.)
`
`22
`
`ASSA ABLOY Ex. 1020 - Page 22
`ASSA ABLOY AB v. CPC Patent Technologies Pty Ltd.
`IPR2022-01006 - U.S. Patent No. 9,665,705
`
`

`

`Case 3:22-cv-00694 Document 1-10 Filed 05/23/22 Page 24 of 109
`
`Claim I
`
`Atc:u,ied fn -.1rumt'nfn li1ie~
`
`(Ex. U. Be.hind the Scenes with iOS Sccuri1)', at 29.)
`
`(/ti •• a, 30.J
`
`TI1e infommtion tr:msmittcd by the cmiucd signal. i.e .• the cphemcroHy rc•cncryph .. -d file keys, is
`dependent on 1he 11v:1ilabili1y nuributc. i.e .• the confinnntion 1h111 a biomclric "tcmplnh: match• exists.
`This confirmation is signaled by 1hc issut111ce! of the random secrc1 (cf. Slc-J> 3): Only if there is a
`«>11finna1ion or the n\Ulch and the- rondom .secret is iss-ut·d by 1.heTouch 10 or Fact ID subi.~tem
`within the S<.-cun.· Enclave, i.e. SlllO. thC' doss key is available for l"("-t.-ncrypting the tile keys.
`
`·n1e re-encrypted file keys are dlcrcforc infom,~tion which is cmiucd dependiJ1g on the fac11ha1 1he
`availability '1t1ribu1e has been cmined.
`
`23
`
`ASSA ABLOY Ex. 1020 - Page 23
`ASSA ABLOY AB v. CPC Patent Technologies Pty Ltd.
`IPR2022-01006 - U.S. Patent No. 9,665,705
`
`

`

`Case 3:22-cv-00694 Document 1-10 Filed 05/23/22 Page 25 of 109
`
`Claim 1
`
`Accused Instrumentalities
`
`le. a receiver sub-system
`compnsmg:
`
`As set forth in elements lcl and Jc2 below, the Accused Instrumentalities include a receiver sub-
`system.
`
`The receiver subsystem is the part of the system outside the Secure Enclave that is responsible for
`reading encrypted files from the NANO Flash Storage and receives ephemerally re-encrypted file keys
`from the Secure Enclave for this ouroose:
`
`24
`
`ASSA ABLOY Ex. 1020 - Page 24
`ASSA ABLOY AB v. CPC Patent Technologies Pty Ltd.
`IPR2022-01006 - U.S. Patent No. 9,665,705
`
`

`

`Case 3:22-cv-00694 Document 1-10 Filed 05/23/22 Page 26 of 109
`
`A tt'US-Nl lnstrument:,lhit.-s
`
`l
`
`Mlmofyc:Offlrollw
`
`0 II t
`
`NANO fltt,h OOl"ll~if,I
`
`i I 11~1.
`
`A£$ • 1'9"1'
`
`llm
`
`I
`
`'
`
`'
`
`11 7
`
`, ....
`
`...
`
`2S
`
`ASSA ABLOY Ex. 1020 - Page 25
`ASSA ABLOY AB v. CPC Patent Technologies Pty Ltd.
`IPR2022-01006 - U.S. Patent No. 9,665,705
`
`

`

`Case 3:22-cv-00694 Document 1-10 Filed 05/23/22 Page 27 of 109
`
`(11tim 1
`
`Ac<"used lnslrum~ntalitit":S
`
`(Ex. A. Apple Pl.atfom1 Security, ut 9.)
`
`1 d. nu.·nns for n.-cciving
`1hc 1r.m:nni1kd ~-cure
`access signal: aod
`
`Tlte , tc-cus~d ltu·trumemaliti~s i11r/11dr o re,•efrt•r s 11/t..sJrstt11r, t'QIIINJll<r CtJ1,figured I(,: reait-e ti,~
`tramm,frtt•d :.'.f!''"r_. uct·.-ss sig11a/.
`
`An npptic~nion processor ( 118) with file system drh·cr. which rece.ives the ephemerally rc""Cncryptcd
`file key. To re:,d files from the NAND F"las.h :,tnrus,c, 1hc oppfo.111ion proc,:ssor processes the received
`sigm1I by crcaling ti remJ command with the cphemcr:llly wroppc:d file key ("10 {'\lfnmand with
`c1>hcmcrally wrapped lilc_kcy") and sends il to the storage controller ( I 09) (NANI) flash controller
`with AES engine). This r<.~d comm.ind provides the stor-Jgc controller with all the inf'onnntion required
`10 read and dt.-crypt the encrypted fili: from 1he NANO fla.,:;h swmge:
`
`26
`
`ASSA ABLOY Ex. 1020 - Page 26
`ASSA ABLOY AB v. CPC Patent Technologies Pty Ltd.
`IPR2022-01006 - U.S. Patent No. 9,665,705
`
`

`

`Case 3:22-cv-00694 Document 1-10 Filed 05/23/22 Page 28 of 109
`
`1Chdn11 I
`
`l c. means fur pro tding
`c,,lld i ci,,ruil aci.:..::-..., to 1111.:
`comrollcd ih.:m dcpcndcnL
`upon s.aid inlonmnion.
`
`~•!;q10. l·un lhl!'n uM.· 111.C ~pht.,nt! ul wrJpping key ti• 'I.\TJP lill! key · for u ie h)' •ht Applie.o~ion
`Pro
`!i.'iOI' filc--s) st 11'1! drh"er, '. bcu I h.
`flil,...... , : .. 1 m drin?r 1t"C~1d · nr " ·ril,c: · u fik. ~• ~cntl~ 1mh1l"
`\\ r,upp11..-dl kt• •.o libll' A.
`Engln~ . ..
`~IEX. A. Appl"' f IMfunfl t.>eUfiL~. nt 14.
`
`"'AU,, r.t[)jl\!d lik lcy h:mJlinb' ni.:i.:nf'> i111hi: "ii:1.'Urc: Fn l1m:-; the lik· lq i:,. nt.-..·i.:r tli rt.'t'.:LI)' 1:Xpt}bl'tli 110
`lh" ppli • Li~,n rroccssor, I , •• J Wh1,.'fl ll'lc . 1.."('llll: ncl-t\'i. uuwr.1p, 1~ lilc's i..c-,>·:-., 1h~y1rl! ire\\or:1ppt.'tl..,., i1h
`the- cphe-u1i."ml kt'i' a 11d . k"ill b11d,. lu ,11~ pplic-11tion l'iroc~"'-o ."'
`Jd., a, ~s.
`lcc11n"tl lm·frw11c111t11lric.'> lm:1ud~ m1c·mt" ft,r prus>itli11J: t:-u11tlln'mll:•I ut.-nr
`'Fltl!-
`depr11de,1t upo,1 .HriJ biformaficm.
`
`ru Ilic.' C'tJlllrt!lled il"1m
`
`More I~ 1lic11lly, lhc con!rolkd ih.:m i :i lnck1ng ,m .. -ch.mbm nf 1hc dm,r lock of 1he usct'.- hl.)111l". TI1
`Accu "'d lnS1lrument11Jiti~ N C'ftnfigure-d lo prm•id". i,;curc .ace . s to the us.er· home
`ill ~le. m11r11
`,·ia Touch IIJ or face
`Lucks, hen the us.er pr1.n-id biomi1'mc signal Lo LOO AccWi-\.'"tl In rumcnln.litt
`ID.
`
`•·whim mhc .. 11:C~ Kcmuli: ~,.. fcalutc 1::. tumcd on. 1J1c .ipp \\ ill u~c your phnnl!'s. hu1h-i n
`ul1·u.:n1il"aL11..m ti JOI~ 10 promp1 lingcrprinl 01 fm.:1al I\.."Cugmlion bdorc )••u C(ID unlocl,; or loci,; )Ollr
`f-ll,mc remotdy (nole: If your plh,nc t.lu<e~ 11u1 h,H'C' thit'Sl' fl!'.alur~~- 1t ,,_,ill prumpl ~ou Lu U!!-1!' your P["J
`hi-i.; forlhcr C'n~~m:s 1ha1 your di,or is m,ly op\.TJll.'11 by the risht ~"Opk ,,, lh~ 1i11,c- y1.,u irttc-tttl
`·ode)
`for ii ~
`4 hU r:-.:/lu:ii.,yuJehum •.~omlen.1 .)'ale•Jlc\\ lblog1 lat~ t~blog•pt~I fmlroJu, ing-bfomclnc-"L<-cri ~i c.11 i<>n-for(cid:173)
`a ugus1-.unJ-~k-lo k!., /)
`
`27
`
`ASSA ABLOY Ex. 1020 - Page 27
`ASSA ABLOY AB v. CPC Patent Technologies Pty Ltd.
`IPR2022-01006 - U.S. Patent No. 9,665,705
`
`

`

`Case 3:22-cv-00694 Document 1-10 Filed 05/23/22 Page 29 of 109
`
`Cl:lhu I
`
`Accusc.•d Jn.,.trumcnlalilic.s
`
`= ._
`
`Introducing Biometric Verific.ation for August and Yale locks
`
`(Jmps://us.yrilehom<.>.<:Qm/en/y.:1le•news/blog/l:ucsl-blog-postsfin1roducing-biomc.1ric-vcrificotion-ror•
`:1ugusMmd-y11lc-locks I/)
`
`28
`
`ASSA ABLOY Ex. 1020 - Page 28
`ASSA ABLOY AB v. CPC Patent Technologies Pty Ltd.
`IPR2022-01006 - U.