Exhibit 11

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IN THE UNITED STATES PATENT AND TRADEMARK OFFICE 

_____________________ 

BEFORE THE PATENT TRIAL AND APPEAL BOARD 

_____________________ 

CELLCO PARTNERSHIP D/B/A VERIZON WIRELESS, VERIZON 

CORPORATE SERVICES GROUP INC., 

T-MOBILE USA, INC., 

AT&T SERVICES, INC., AT&T MOBILITY LLC, AND AT&T CORP. 

Petitioners, 

v. 

HEADWATER PARTNERS I LLC. 

Patent Owner. 

____________ 

U.S. Patent No. 9,198,042

Title: SECURITY TECHNIQUES FOR DEVICE ASSISTED SERVICES 

_____________________ 

Inter Partes Review No.: IPR2024-00809 

_____________________ 

PETITION FOR INTER PARTES REVIEW OF U.S. PATENT NO. 9,198,042 

UNDER 35 U.S.C. §§ 311-319 and 37 C.F.R. §§ 42.1-.80, 42.100-.107 

Mail Stop “PATENT BOARD”

Patent Trial and Appeal Board 

U.S. Patent and Trademark Office 

P.O. Box 1450 

Alexandria, VA 22313-1450 

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TABLE OF CONTENTS 

I. INTRODUCTION ........................................................................................... 1

II. OVERVIEW .................................................................................................... 1

III. GROUNDS FOR STANDING (37 C.F.R. § 42.104(A)) ................................ 4

IV. REASONS FOR THE REQUESTED RELIEF .............................................. 5

A. Summary of the ’042 Patent .................................................................. 5

B. Prosecution History ............................................................................... 7

C. Claim Construction ............................................................................... 7

D. Priority Date .......................................................................................... 7

E. Person of Ordinary Skill in the Art ....................................................... 7

F. State of the Art ...................................................................................... 8

1. Mobile Phone Policy Settings ..................................................... 8

2. Modifying Stored Policies on Mobile Phones ............................ 9

3. Protected Partitions ..................................................................... 9

V. IDENTIFICATION OF CHALLENGES ...................................................... 10

A. Challenged Claims .............................................................................. 10

B. Statutory Grounds for Challenges ....................................................... 10

VI. IDENTIFICATION OF HOW THE CHALLENGED CLAIMS ARE 

UNPATENTABLE ........................................................................................ 11

A. Ground 1: Claims 1-2, 6-18 are obvious over Limont in view 

of Wright and optionally Xu. .............................................................. 11

1. Limont ....................................................................................... 11

2. Wright ....................................................................................... 16

3. Xu .............................................................................................. 19

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4. Motivation to Combine Limont’s Teachings with Wright’s 

Teachings and Optionally Xu’s. ............................................... 19

5. Detailed Application to the Challenged Claims ....................... 24

B. Ground 2: Claims 3-5 are obvious over Limont in view of 

Wright and Xu and in further view of Polson. ................................... 63

1. Polson ........................................................................................ 63

2. Motivation To Combine Polson With Limont, Wright and Xu.

 ................................................................................................... 64

3. Detailed Application to the Challenged Claims ....................... 69

VII. THE BOARD SHOULD NOT EXERCISE ITS DISCRETION AND 

DENY INSTITUTION .................................................................................. 78

A. The Board Should Not Deny Institution Under 35 U.S.C. § 325 ....... 78

B. The Board Should Not Deny Institution Under 35 

U.S.C.§ 314(a) ..................................................................................... 78

VIII. Mandatory Notices Under 37 C.F.R. §42.8 ................................................... 81

A. Real Party-in-Interest (37 C.F.R. § 42.8(b)(1)) ................................... 81

B. Related Matters (37 C.F.R. § 42.8(b)(2)) ............................................ 82

1. Judicial Matters ......................................................................... 82

2. Related Patents .......................................................................... 82

C. Lead/Back-up Counsel (37 C.F.R. § 42.8(b)(3)): ............................... 82

D. Notice of Service Information (37 C.F.R. § 42.8(b)(4)): .................... 83

IX. CONCLUSION .............................................................................................. 84

 

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Petitioner’s Exhibit List 

 Exhibit # Description 

1001 U.S. Patent No. 9,198,042 (“the ’042”)

1002 Prosecution history of the ‘042 (“’042 File History”) 

1003 Declaration of Petitioner’s Expert Petitioners expert, Dr. Henry Houh 

1004 U.S. Publication No. 2007/0006289 (“Limont”) 

1005 U.S. Publication No. 2004/0123153 (“Wright”) 

1006 U.S. Publication No. 2006/0183461 (“Pearce”) 

1007 U.S. Publication No. 2007/0288989 (“Aarnos”) 

1008 U.S. Publication No. 2007/0104169 (“Polson”) 

1009 Arm TrustZone Microprocessor Report 

1010 Arm TrustZone Paper 

1011 U.S. Publication No. 2006/0112427 

1012 U.S. Pat. No. 7,849,310 

1013 Limont Prosecution History Excerpts (Application No. 11/171,850) 

1014 U.S. Publication No. 2006/022474A1 

1015 U.S. Publication No. 2009/0265754 

1016 U.S. Publication No. 2007/0061535 (“Xu”) 

1017 U.S. Pat. No. 8,064,417 

1018 U.S. Pat. No. 7,672,695 

1019 U.S. Pat. No. 7,881,267 

1020 U.S. Publication No. 2008/0244018 

1021 Plaintiff’s Infringement Contention (Verizon case) 

1022 Docket Control Order 

1023 List of Related Applications 

 

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I. INTRODUCTION 

Pursuant to 35 U.S.C. §§ 311 et seq. and 37 C.F.R. §§ 42.1 et seq., Cellco 

Partnership d/b/a Verizon Wireless, Verizon Corporate Services Group Inc., TMobile USA, Inc., AT&T Services, Inc., AT&T Mobility LLC, and AT&T Corp. 

(collectively, “Petitioners”) hereby petition for an inter partes review of U.S. 

Patent No. 9,198,042 (“the ’042 Patent”) (EX-1001). Petitioners respectfully 

submit that Claims 1-18 (the “Challenged Claims”) of the ’042 Patent are 

unpatentable under 35 U.S.C. §103 in view of the prior art references discussed 

herein. This Petition demonstrates by a preponderance of the evidence that there is 

a reasonable likelihood that Petitioners will prevail on at least one Challenged 

Claim. Accordingly, Petitioners respectfully request that the Board institute an 

inter partes review of the ’042 Patent pursuant to 37 C.F.R. § 42.108. 

II. OVERVIEW 

The Challenged Claims are unpatentable as obvious over the prior art. The 

claims are directed to prior art methods for: (1) receiving information from a 

wireless device regarding the current service policy that controls the device’s 

ability to access a network data service; and (2) reconfiguring the wireless device 

based on that information. The architecture for performing the method is shown in 

FIG. 1 of ’042 Patent: 

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EX-1001, FIG. 1.1 

A service controller (blue) receives, over a service control link (gold), a 

report from a wireless end-user device containing information about the service 

policy settings of the mobile device (red). The server controller determines 

whether the current service policy setting of the wireless end-user device needs to 

be modified to allow the wireless device to access a network data service. The 

service policy setting is stored in a protected partition (red) of the wireless end-user 

device to deter or prevent unauthorized modifications to the particular service 

 

1

 Unless otherwise noted, all annotations and emphases herein are added. 

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policy setting. If the service policy setting needs to be modified, the server sends 

(purple) new policy settings (green) to the wireless device. The protected 

partition can be provided by encrypting the policy settings on the wireless device. 

U.S. Publication No. 2007/0006289 (“Limont”) (EX-1004) is a parallel 

disclosure to the ’042 Patent—it discloses the architecture and the same claimed 

method as the ’042 Patent, but uses different language. Limont’s FIG. 3 discloses 

the same architecture for performing the claimed method, using color coding to 

identify components in common with the ’042 Patent: 

EX-1004 FIG. 3. 

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A computer system (blue) receives, over a service control link (gold), a 

report from a wireless end-user device containing information about the policy 

settings of the mobile device (red). The server controller determines whether the 

current service policy setting of the wireless end-user device needs to be modified 

to allow the wireless device to access a network data service. If the service policy 

setting needs to be modified, the server sends (purple) new policy settings 

(green) to the wireless device. Limont states policy settings should be “locked 

down” on the wireless device, but does not expressly state that the policy settings 

should be encrypted. Wright (EX-1005) and Xu (EX-1016) disclose that policy 

settings should be encrypted (and optionally stored in secure memory) on a 

wireless device in order to prevent unauthorized access to the settings. 

Thus, the proposed combination is directed to the same problem as the ’042 

Patent and proposes the same solution. Thus, the Challenged Claims are 

unpatentable over this combination. EX-1003, ¶¶258-695. 

III. GROUNDS FOR STANDING (37 C.F.R. § 42.104(A)) 

Petitioners certify that the ‘042 Patent is available for, and that Petitioners 

are not barred or estopped from requesting, a post grant review of the Challenged 

Claims on the grounds herein. 37 C.F.R. § 42.104(a). This Petition is filed pursuant 

to 37 C.F.R. § 42.106(a). 

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IV. REASONS FOR THE REQUESTED RELIEF 

As explained in §§ II and VI-VIII of this Petition and in the attached 

Declaration of Petitioners’ Expert, (Henry Houh) (EX-1003), the method of 

modifying the service policy settings of a wireless device as claimed in the ’042 

Patent, is obvious over the prior art to a person of ordinary skill in the art 

(“POSA”) at the priority date. 

IV. BACKGROUND 

A. Summary of the ’042 Patent 

The ’042 Patent describes a method of reconfiguring a wireless device based 

on information received from a wireless device regarding the service state of the 

device. EX-1001, Abstract. The service state of the device is provided by reports 

from the device, or derived outside the device, and can include various data. EX1001, 13:56-14:11; 18:6-11; Claims 14-18. 

In the ’042 Patent, a service controller receives the reported information and 

determines that a particular service policy setting that provides for access to a 

network data service needs to be modified. The service policy setting is stored in a 

protected partition configured to deter or prevent unauthorized modifications to the 

particular service policy setting. The service controller, in response to determining 

that the particular service policy setting needs to be modified, sends configuration 

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information to the wireless device to assist in modifying or allowing modifications 

to the particular service policy setting. EX-1001, Abstract. 

FIG. 1 of the ’042 Patent depicts an embodiment for reconfiguring device. 

EX-1001, FIG. 1. 

Protected device assisted service (“DAS”) agents, execute in the protected 

DAS partition (red). The protected DAS partition can make it more difficult for an 

unauthorized entity to modify the device’s confidential data. EX-1001, 6:23-37. 

The ’042 Patent describes that in some embodiments, the protected DAS 

partition prevents other elements on the device from writing and/or reading certain 

memory areas reserved for device assisted service agents and/or control link 

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functions. This can be accomplished by encrypting traffic to and from memory so 

that only authorized device program elements possess the counterpart encryption 

capability to access the memory. EX-1001, 9:17-36. The ’042 Patent describes 

that policy server (green) stores policy settings that can be implemented on the 

device, and communicates appropriate policy settings to the device. EX-1001, 

8:26-30. 

B. Prosecution History 

Claims 1-18 received a first Office Action allowance with no prior art 

applied. The Examiner merely stated “the prior art, either alone or in combination, 

does not disclose Applicant’s inventive claim language.” EX-1002, 000048. 

C. Claim Construction 

Petitioners propose that each claim term in the Challenged Claims be given 

its plain and ordinary meaning in this proceeding, because the prior art relied on in 

this Petition meets each claim term under any reasonable construction. 

D. Priority Date 

The ‘042 Patent’s application claims priority to various applications, the 

earliest of which was filed January 28, 2009. The prior art cited below predates 

this date. 

E. Person of Ordinary Skill in the Art 

A POSA at the time of the invention would have been familiar with the 

changing of configuration settings of end-user devices to control access of the 

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device to network data services, and storing those configuration settings in a 

protected partition. A POSA would have gained this knowledge through a mixture 

of training and work experience, such as by having a Bachelor’s degree in 

computer science and two years of experience. EX-1003, ¶¶41-43. 

F. State of the Art 

The following section describes the state of the art for storing, modifying 

and protecting a mobile device’s policy settings as of January 2009. EX-1003, 

¶¶144-255. The references, and knowledge of a POSA, provide the factual support 

for additional motivation to modify or combine the references. Accordingly, these 

references should be considered by the Board. 

1. Mobile Phone Policy Settings 

It was known to use policy settings stored on a wireless device to control the 

wireless device including providing access to data networks, the type of 

communications permitted, the type of communication protocol used, the use of 

communications applications, and the identification of the wireless carrier. For 

example, one prior art system teaches modifying policy settings in a wireless 

device that may roam between regions. A server transmits policies which 

determine through which networks mobile device can access. EX-1006, Abstract. 

The device maintains a database of the communication policies. EX-1006, 

[0040]. The policies provide differential access in different regions, or based on 

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cost or type of linkage. EX-1006, [0009-0014]. The policy allow specific service 

access for voice calls, web browsing, e-mails, etc. EX-1006, [0060]. 

2. Modifying Stored Policies on Mobile Phones 

It was known that policies could be stored on a mobile phone and 

subsequently modified. For example, before a stored policy could be modified, an 

electronic signature or key is verified to determine if the modification is 

authorized. EX-1007, [0025]. This verification process is also used to provide 

different levels of authorization. EX-1007, [0023]. 

3. Protected Partitions 

Providing protected partitions of memory that restricted access to critical 

data was well-known and pervasive in mobile devices by the 2009 priority date. 

Schemes for protecting memory included both hardware controls and encryption. 

For example, Arm’s “TrustZone” technology was patented starting in 2003. EX1009, EX-1010, EX-1012. In such systems, [t]he memory protection unit is 

managed by the secure operating system ... defining the partitions between the 

secure memory and the non-secure memory.” EX-1012, 39:64-67, 37:23-50:17. 

Similarly, it was known to “encrypt” or “hide” confidential data on mobile devices. 

E.g., Section VI.A.2 

A POSA at the time of the invention would have known from the prior art 

that critical data, such as policies, would be beneficially stored in protected 

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(encrypted) memory partitions to prevent unauthorized access. U.S. 

2006/0112427((EX-1011), [0005-0006], [0060]; U.S. 2006/0224742A1 (EX1014), [0127-0128] U.S. 2009/00265754 (EX-1015) [0052-0055]. 

V. IDENTIFICATION OF CHALLENGES 

A. Challenged Claims 

This Petition challenges claims 1-18 of the ’042 Patent. 

B. Statutory Grounds for Challenges 

The Challenges are set forth in detail below and summarized as follows: 

Ground Claims Basis Reference 

1 1-2, 6-18 § 103 Limont in view of Wright and 

optionally in further view of Xu 

2 3-5 § 103 Limont in view of Wright and 

optionally Xu in further view of Polson 

Ground 1: Claims 1-2, 6-18 of the ’042 Patent are obvious over Limont in 

view of Wright and optionally Xu. 

U.S. Patent Publication No. 2007/0006289 published on January 4, 2007 

from an application filed on June 30, 2005 (“Limont”) (EX-1004). Limont is prior 

art under §102(a)(b)(e)(g). 

U.S. Patent Publication No. 2004/0123153 published on June 24, 2004 from 

an application filed on April 11, 2003 (“Wright”) (EX-1005). Wright is prior art 

under §102(a)(b)(e)(g). 

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U.S. Patent Publication No. 2007/0061535 published on March 15, 2007 

from an application filed on September 12, 2005 (“Xu”) (EX-1016). Xu is prior 

art under §102(a)(b)(e)(g). 

Ground 2: Claims 3-5 are obvious over Limont in view of Wright, and 

optionally Xu, in further view of Polson. 

U.S. Patent Publication No. 2007/0104169 published on March 10, 2007 

(“Polson”) (EX-1008). Polson is prior art under §102(a)(b)(e)(g). 

VI. IDENTIFICATION OF HOW THE CHALLENGED CLAIMS ARE 

UNPATENTABLE 

A. Ground 1: Claims 1-2, 6-18 are obvious over Limont in view of 

Wright and optionally Xu. 

Limont, Wright and Xu are devoted to updating and securing policies on 

mobile devices. Limont provides the primary invalidating disclosure with the 

structure and functionality corresponding to the Challenged Claims. Wright 

provides aspects of the claims related to a protected partition by disclosing the use 

of encryption of policy settings in memory. Xu provides another example of a 

protected partition using a hardware-enforced protected memory partition. 

1. Limont 

Like the ’042 Patent, Limont teaches configuring and updating policy 

settings for a wireless device based on information received from that device 

regarding the service state of the device. FIG. 3 illustrates an architecture for 

configuring and updating policy settings: 

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EX-1004 FIG. 3. EX-1003 ¶¶54-56. Mobile device 101 may include client 

module 193A (e.g., a Web browser) to access data maintained by server module 

193B. The server includes policy enforcement module 194 and data access module 

195. EX-1004, [0073]. EX-1003 ¶¶59-60. 

Server module 193B interoperates with client programs (e.g., client module 

193A) to transfer data (e.g., Web pages) to mobile device 101. Thus, in response 

to a mobile device data request for access to the web server, policy enforcement 

module 194 can determine if a requesting mobile device's policy settings are 

appropriate for accessing data. For example, policy enforcement module 194 can 

determine if sufficient resources have allocated at a mobile device to receive a 

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Web page, if a mobile device Web browser includes correct plug-ins for viewing 

content, if mobile device connection speed will permit a Web page to be 

downloaded in a reasonable amount of time, etc. EX-1004, [0077]; EX-1003 ¶¶61-

63. 

Configuration enforcement module 194 (in addition to user authentication 

and authorization modules) checks the device’s configuration / policy settings and 

allowing access module 195 to access and either transfer the requested data or 

updated configuration settings (policies) to allow for such access. EX-1004, 

[0078], Abstract. Limont references the “configuration enforcement module” as 

“policy enforcement module” and “configuration settings” as “policy settings.” 

EX-1004, [0077], [0083], [0055]; EX-1003 ¶64. 

Limont’s FIG. 4 illustrates a flow chart of a method for enforcing an 

appropriate mobile device configuration using the architecture of FIG. 3: 

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EX-1004 FIG. 4; EX-1003 ¶¶65-66. 

Using the architecture shown in Limont’s FIG. 3, method 400 in Fig. 4 

shows the claimed updating of policies. 

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EX-1004 FIG. 3; EX-1003 ¶67. 

In step 401, the mobile device sends request 176. Request 176 can include: 

(1) a current configuration version of the mobile device 101; (2) a data request, 

such as for a Web page; and/or (3) an express request for new configuration 

settings. EX-1004, [0080]. Configuration settings can include policy settings, 

operating system settings, application program settings, hardware settings, 

allocated resource settings, network interface settings, wireless protocol settings, 

etc. EX-1004, [0073]; EX-1003 ¶68. 

In step 402 (202), configuration enforcement module 193 determines 

whether the configuration setting in the request is appropriate to access the 

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requested data. If so, then the data can be accessed. EX-1004, [0081-0082], 

[0070]; EX-1003 ¶69. 

If the device’s configuration setting is “inappropriate” for the data access, 

then the server sends modified settings to the mobile device (step 403/206). EX1004, [0083]. For example, server module 193B can send configuration settings 

191B, K, N, and R along with configuration version 192L to mobile device 101 in 

response to request 176 (a request). EX-1004, [0084]. Mobile device 101 can 

store implement configuration settings 191B, K, N, and R (potentially altering 

current configuration settings) to comply with configuration settings that are 

appropriate for accessing data maintained by server module 193B. EX-1004, 

[0086]; EX-1003 ¶70. 

In step 405, the computer system 141 permits the mobile device to access 

the maintained data in response to receiving the indication that the mobile device is 

configured in accordance with the device configuration settings. EX-1004 [0089]; 

EX-1003 ¶71. 

2. Wright 

Wright teaches protecting data on mobile computing devices using various 

security tools. Wright explains that data stored on a mobile device is vulnerable to 

hackers even if that data was transmitted from a server using a secure trusted 

connection, such as a VPN. EX-1005, [0007-0009]; EX-1003 ¶¶73. 

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Wright stores configuration information on a mobile device including the 

current version of the security policy software components for the mobile device, 

the current policy settings on the device, and attributes in accordance with those 

settings, for example, which ports are blocked. EX-1005, [0057]; EX-1003 ¶82. 

Wright explains that one solution to the security issue identified above is to 

maintain the policy documents as XML documents to allow great flexibility in 

design, usage, and enhancement of policies. Using the flexibility of XML policy 

documents simplifies the complex problem of distributing and enforcing policies 

directed to program usage, network access, hardware restrictions, VPN access, data 

access, and many other policies. Wright explains that the policies can be protected 

from hacking by encryption or signatures (i.e., XKMS, XMLDSIG, XMLENC, or 

proprietary encryptions). The policy is then enforced on the client by a process that 

can interpret the policy distributed by the enterprise. This approach allows a 

policy to be extensible and easily updated by the administrator. Also, the 

administrator can configure elements of the policy such that they are configurable 

by the user. EX-1005, [0270]; EX-1003 ¶84. 

Wright’s computer system acts as a server for a client mobile device. The 

server includes a policy management module that sets the permissions for the 

mobile device regarding the policies. Permissions typically relate to the allowable 

modification that may be made to a downloaded policy or software. EX-1005, 

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[0078-0103]; EX-1003 ¶85. For example, the policy management module 

determines whether the security information is to be encrypted. If it is to be 

encrypted, the policy is encrypted. Security policies may be included in XML 

documents which may themselves be encrypted. EX-1005, [0104]; EX-1003 ¶86. 

Furthermore, files stored on the mobile device may be encrypted. EX-1005 

Abstract, [0177], [0260]; EX-1003 ¶¶87-89. 

Wright also describes using a secure trusted channel to provide the security 

policy for the server to the mobile device. A server’s distribution module 

determines if the security policy has been designated to be encrypted. If so, then 

the security information is encrypted and distributed to the mobile device. EX1005, [0128], [0267], Fig. 3A (elements 311, 312), Fig. 3C; EX-1003 ¶¶90-94. 

Wright also discloses a client diagnostics module that audits files, including 

the security policy to verify no corruption (e.g. checksum). EX-1005, [0068-

0073]. A server’s remote diagnostics module receives audit logs from a client and 

analyzes the audit information to check the integrity of the stored files. The remote 

diagnostic module may provide a repair to a problem in the client device, 

determine that a trend is occurring for the device, or determine that preventive 

maintenance is to be scheduled for the client device. EX-1005, [0055]; EX-1003 

¶95. 

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3. Xu 

Xu provides a protected partition of the mobile device’s processor for 

storing and enforcing policies and encryption that matches the “protected partition” 

disclosed in the ‘042 Patent. EX-1003 ¶¶97-118. Xu is detailed below in element 

[1.3]. 

4. Motivation to Combine Limont’s Teachings with Wright’s 

Teachings and Optionally Xu’s. 

A POSA would be motivated to combine Limont with Wright and optionally 

Xu with a reasonable expectation of success. EX-1003, ¶¶263-298, ¶¶427-440, 

¶¶165-222. 

A POSA would recognize that the three references teach the same subject of 

managing and updating secure data, including policies, wirelessly on mobile 

devices. Limont and Wright have overlapping and complementary identification 

of problems (administrators managing policies on devices for traveling corporate 

users) and proposed solutions (wireless updates). EX-1003, ¶¶264-267. A POSA 

would have been motivated to consider, and combine, references from leading 

companies (Microsoft and Apple), describing the same technology, and identify 

the same problem addressed by their disclosures. EX-1003, ¶¶267. 

Reflecting this heavy overlap, Limont’s Examiner cited Wright repeatedly in 

Limont’s prosecution. EX-1013, 0000140-141, 000145-146. Limont’s Examiner 

held that Wright disclosed Limont’s steps 401, 402, and 201 – which are relied 

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upon below for invalidity. EX-1013, 000147-148, 229-000230. The Examiner’s 

citations: (1) demonstrate that a POSA (examiner) considered the references as 

closely related; and (2) would have identified to a POSA a set of references to 

consider. EX-1003, ¶¶268-277. 

Limont and Wright both: (1) identify data security as a critical issue; (2) 

identify a problem arising from traveling users seeking to use wireless technologies 

to access data for flexible access from many locations; and (3) identify a separate 

problem from “hackers” or “malicious” entities physically accessing lost or stolen 

devices. EX-1003, ¶¶278-287 (citing and comparing EX-1004, [0004-0015] with 

EX-1005, [0005-0010]). For example, Limont identifies that an “increased risk of 

loss or theft” of mobile devices which “hackers” may use to access secure data. 

EX-1004, [0013]. Correspondingly, Wright notes that “hackers in the parking lot 

could break into the remote device and copy or maliciously alter the data.” EX1005, [0009]. Moreover, because policies on the device stored confidential 

credentials used for remote access, such as encryption algorithms, keys, and the 

user’s password and PIN, a POSA would have further recognized that such policy 

information needed be protected on the mobile devices or “locked down.” EX1003, ¶¶283-287. 

 Thus, a POSA would have recognized that it was important to: (1) secure 

the confidential data (policy updates) during their wireless transmission; and (2) 

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prevent “malicious users” from accessing critical data on mobile devices if those 

devices were lost or stolen – both to protect the data on the device and to protect 

from “hackers” accessing credentials that would allow them to access data on 

corporate servers. EX-1003, ¶¶286-287. These are motivations to combine that 

come directly from both references. Thus, a POSA would have been motivated to 

combine Limont and Wright to provide an architecture that updates policies 

wirelessly and protects those updates both in transmission and on the end-user 

devices – thus addressing the specific problems (motivations) identified in both 

referenes. EX-1003, ¶¶288-291. 

Limont provides the architecture for updating policies wirelessly (addressing 

one of the common problems for traveling users) and identifies that “encryption 

algorithms” and “keys” are available on mobile devices to use for wired access. 

However, Limont does not expressly provide protection for data on the device. 

Wright provides the complementary solutions of encrypting data during 

transmission and encrypting the data in the device’s memory (as detailed below) 

that addresses the further problems identified by both references. EX-1003, ¶¶289-

293. 

Wright provides the other part of the solution. Wright discloses that the 

policy settings can be kept in a schema or document in XML format which can 

then be encrypted and sent to the mobile device and stored in encrypted form using 

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well-known encryption techniques. Thus, a POSA would have been motivated by 

the recognition that the combination of Limont and Wright addresses the problems 

identified in each. EX-1003, ¶¶289-293. 

Furthermore, Limont and Wright identify complementary solutions for 

identifying and addressing potential malicious modifications. Wright discloses 

auditing the policy settings stored on the mobile device to determine the integrity 

of the data, e.g., whether it has been corrupted (such as by the “malicious users” 

identified in Limont). Limont discloses that administrators may remotely “wipe” 

the device’s data to protect that data. EX-1004, [0047-0049]. A POSA would have 

recognized that Wright’s “audit” teaching provides the information for Limont’s 

corporate administrators to effectuate their action (wipe) to protect the data. 

Limont’s actions also fit squarely with Wright’s teaching of attempts to “repair” 

any corrupted files as detailed below. EX-1003, ¶¶294, 283. 

A POSA would be motivated to modify Limont’s teachings of storing policy 

settings on the mobile device by encrypting the policy settings as taught by Wright. 

EX-1003, ¶¶293, 295. A POSA would be motivated to do so because unauthorized 

access to the data would: (1) allow a “malicious user” access to the device’s 

policies (which may also permit hacker’s remote access to corporate data); and (2) 

allow even an “authorized” user to change the policies (intentionally or 

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inadvertently) to access unauthorized networks, potentially avoid billing charges, 

and use unauthorized resources (e.g., network bandwidth). EX-1003, ¶295. 

A POSA would have a reasonable expectation of success as the modification 

is a software solution which uses known encryption techniques for their intended 

purpose ---securing the stored data. Limont already provides the hardware and 

software to implement encryption algorithms/keys. EX-1004, [0009], Fig.1 

(processor 111, memory 112), [0040]. Using Wright’s encryption techniques with 

Limont’s system is merely the application of well-known operations (encrypting 

data), operating on known components (processors and encryption software), for 

their known and intended purposes (data protection). EX-1003, ¶¶296-297. 

The detailed motivation to incorporate Xu and reasonable expectation of 

success is addressed in element [1.3]. Xu provides a complementary and 

supplementary mechanism for protecting policies both during wireless 

transmission and in the device’s storage by using hardware-enforced protected 

memory. Thus, a POSA would have been motivated to consider Xu’s 

supplementary solution for the same reasons as discussed above for Wright. 

¶¶427-440, ¶¶165-222. 

Furthermore, it was known in the art to protect confidential data, including 

policies, using protected partitions of memory implemented both using encryption 

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and/or with hardware-enforced techniques – providing a further motivation to 

combine. Section IV.F.3; EX-1003, ¶¶165-222. 

5. Detailed Application to the Challenged Claims 

a. Claim 1 

[1.0] A method comprising: 

Limont discloses a method for enforcing an appropriate mobile device 

configuration prior to permitting a mobile device to access maintained data, as 

shown in FIG. 4. 

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EX-1004, FIG. 4. 

Limont’s FIG. 3 as annotated (“Annotated FIG. 3”) illustrates an 

architecture for performing the method of FIG. 4: 

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EX-1004 FIG. 3; EX-1003 ¶¶300-303. See also EX-1004, FIGs. 1, 2. 

Limont’s invalidating disclosure is presented primarily below using Figs. 3 

and 4 (and their descriptions). However, Figs. 1 and 2 (and their descriptions) also 

contain parallel invalidating disclosure. Petitioners rely upon the corresponding 

disclosures in Figs. 1 and 2 (and their descriptions) for invalidity herein. EX-1003 

¶¶304-307. 

[1.1] receiving, over a service control link, a report from a wireless end-user 

device, the report comprising information about a device service state; 

Limont discloses this limitation. EX-1003, ¶¶309-341. As illustrated in 

Annotated FIG. 3, Limont’s computer system 141 (blue) receives request 176 

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(gold) from mobile device 101 (receiving a report from a wireless end-user 

device). The request (report) can include a configuration version representing one 

or more of the current configuration setting (information about a device service 

state) of mobile device 101 as in FIG. 4. EX-1004, [0080]-[0081]. 

EX-1004 FIG. 4, step 401. The “data command” in Fig. 2, step 201 and the “data 

request 164 / policy version 118D” are also reports with the same information 

corresponding to this element. EX-1004, [0030], [0055], [0058-0059], [0067-

0069]. EX-1003, ¶¶314-327. 

Limont’s “configuration settings” include “policy settings ... operating 

system settings, application program settings, hardware settings, allocated resource 

settings, network interface settings, wireless protocol setting, etc.” EX-1004, 

[0073], [0047] (exemplary “policy settings”). Limont’s disclosure of 

“configuration settings” and “policy settings” is consistent with the ’042 Patent’s 

disclosure that describes that device service state includes current service usage 

policy settings, current DAS settings, device status information, application status 

information, or other state and/or settings information. EX-1001, 17:46-18:11. 

EX-1003, ¶¶315-327. Therefore because the received “configuration version” / 

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“policy version” are “information about” Limont’s mobile devices’ “configuration 

settings” / “policy settings,” they are “information about the device service state.” 

EX-1003, ¶¶328-331. 

Limont’s communication links 132, 133 in FIGs. 1 and 3 (a service control 

link) allow Limont’s wireless end-user device to communicate with the computer 

system. EX-1004, [0038]. Communication links 132 and 133 include using one or 

more different wireless protocols (e.g., GPRS, GSM, etc.) over a wireless access 

network. EX-1004, [0043], [0056]. EX-1003, ¶¶332-341. 

[1.2] determining, based on the report, that a particular service policy setting of 

the wireless end-user device needs to be modified, 

Limont discloses this limitation. EX-1003, ¶¶343-375. As noted for [1.1], 

the report received from the device indicates the current mobile device 

configuration in step 401. The configuration is used to determine if the existing 

policies need to be modified. For example, the server may “compare” the 

configuration in the request to other configuration versions (“based on the report”) 

to determine that the request version does not permit the desired access of data on 

the server and therefore needs to be modified (“determining, based on the report, 

that a particular service policy setting of the wireless end-user device needs to be 

modified”). 

[0082] Method 400 includes an act of determining that current mobile 

device configuration is not appropriate for accessing the maintained 

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data (act 402). For example, configuration enforcement module 193 can 

compare a configuration version included in request 176 to other 

configuration versions (e.g., included in configuration versions 192) 

that are appropriate for accessing data (e.g., Web pages in data store 

197) maintained by server module 193B (e.g., a Web server). When the 

included configuration version does not match any other appropriate 

configuration version, configuration enforcement module 194 

determines that the configuration settings of mobile device 101 are 

inappropriate for accessing data maintained by server module 193B. If 

no configuration version was included, policy enforcement module 193 

can be default determine that the configuration settings of mobile 

device 101 are inappropriate for accessing data maintained by server 

module 193B. 

[0083] In response to detection of an inappropriate configuration, 

configuration enforcement module 143 can identify configuration 

settings, such as, for example, 191B, K, N, and R that are appropriate 

for accessing data maintained by server module 193B.... 

EX-1004, [0080-0083]; see also EX-1004, [0060-0065] for Fig. 2; [0045-0053] 

(describing various policy settings and versions). The act of “determining” that 

current settings are not appropriate (along with identifying the new settings that are 

appropriate as needed) corresponds to the claimed “determining, based on the 

report, that a particular service policy setting of the wireless end-user device needs 

to be modified.” EX-1003, ¶¶345-360. 

Limont depicts this activity: 

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EX-1004 FIG. 4, step 402; FIG. 2, steps 202, 205. 

The mobile device seeks to “access maintained data” on the server. EX1004, [0079], [0089], [0060], Fig. 4 (step 405). That server data can only be 

accessed with the “appropriate” configuration settings (policies). Thus, 

determining that the current settings are “inappropriate for accessing data 

maintained by the server” (to which the mobile device seeks access) and 

identifying the correct settings is a determination that the mobile device’s 

configuration settings (policies) “need[] to be modified” to allow the desired 

access. EX-1004, [0084-0089], [0060-0064]; EX-1003, ¶¶354-360, 374. 

Limont’s “configuration settings” includes policy settings, and Limont uses 

these terms interchangeably. EX-1004, [0073]. For example, Limont’s 

“configuration enforcement module” 194 can be referred to as “policy enforcement 

module” 194 and “configuration settings” can correspond to “policy settings.” 

EX-1004, [0077-0078], [0083]; see also “policy enforcement module 143” in EX1004, [0045], [0055]. EX-1003, ¶¶362-369. 

As detailed for [1.6], Limont’s “configuration settings” (policy settings) can 

be sent from computer system 141 in steps 405, 206 for modifying the mobile 

device’s configuration to permit the desired access to the server data (a particular 

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service policy setting ... needs to be modified) of the mobile device (the wireless 

end-user device). EX-1004, [0085], [0089], [0065], Fig. 4; Fig. 2 . EX-1003, 

¶¶370-374. 

[1.3] the particular service policy setting being stored in a protected partition of 

the wireless end-user device, the protected partition configured to deter or 

prevent unauthorized modifications to the particular service policy setting, 

Limont in view of Wright and optionally Xu discloses this limitation. EX1003, ¶¶377-441. 

Limont’s mobile device 101 includes a memory 112 that includes “program 

data 116” (red) (partition) that stores, for example, configuration settings 191B, K, 

N, and R and configuration version 192L (the particular service policy setting 

being stored in ... the wireless end-user device). EX-1004, [0086], Annotated FIG 

3. 

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EX-1004, FIG. 3. See also EX-1004, FIG. 1 (elements 191, 192, 171), [0044-

0053] (storing policy settings and versions). EX-1003, ¶¶378-384. 

Limont does not use the word that its partition is protected, but Limont does 

teach that the configuration settings of should be secure. A POSA understood that 

one well-known way to secure configuration settings was to encrypt or hide the 

configuration settings as taught by Wright (and optionally Xu) to deter or prevent 

unauthorized modifications to the mobile phone’s settings. Section VI.A.4 EX1003, ¶¶385-386. 

For example, Wright identifies “security information” that may be encrypted 

that includes policies transmitted from the server to the mobile device. 

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[R]esponsive to security information such as a policy or software being 

designated for encryption, the policy management module 236 provides 

308 the designated client mobile device with cryptographic information 

which the client device can store and use to decrypt the security 

information. An example of cryptographic information is a key for use 

with a cryptographic authentication protocol. ... permissions typically 

relate to the allowable modification that may be made to a downloaded 

policy or client software by the client mobile device.... 

EX-1005, [0078]. Wright also describes various “permissions” for the policies 

which also protect the policies as recited in this element because they specify the 

ability to modify (or not modify) the policies. EX-1005, [0078-0103], [0280-284]; 

EX-1003 ¶¶387-389. 

“Examples of security information are versions of existing policies, policies, 

or software.” EX-1005, [0051]. See also EX-1005, [0061]. Wright thus discloses 

“protected partitions” through: (1) storing encrypted security information 

(policies); (2) the ability to “hide” the policy file and (3) “permissions” for 

policies. EX-1005, [0014], [0103], [0262], [0280-0284]; EX-1003, ¶¶387-394. 

Wright details “aspects of” policies such as rules, permissions, network 

environments, locations, security features, network services, ports, applications and 

the actions (enforcement mechanisms) which generally correspond to Limont’s 

policy disclosures. EX-1005, [0048], [0180-0184] Figs. 5B-5F; EX-1003 ¶¶395-

398. 

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Wright shows a specific “protected partition” in “memory 220”: 

 

EX-1005, Fig. 2B. Memory 220 stores policies and is protected by encryption 

(and hiding) and policy evaluation from elements 208, 210, 212, and 214. EX1005, [0047], [0058-0060], [0176-0177], [0280]; EX-1003, ¶¶395-409. In the 

proposed combination, for at least the stored policies, Limont’s memory 112 would 

be implemented as is described for Wright’s memory 220 (including, as necessary, 

Wright’s modules that provide the encryption/decryption capabilities and controls). 

EX-1003, ¶410. 

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Wright addresses the same issue identified by Limont in that the mobile 

device’s “location” may impact the need for a “security policy” that protects the 

data (by encryption or hiding as per a policy) differentially – for example on 

whether a location is secure or not. EX-1005, [0014]. EX-1003, ¶¶410-412. 

Thus, Wright provides a solution for the problems identified in Limont of: 

(1) unauthorized access to secure data (such as policies) on a mobile device; (2) 

allowing an administrator to lock down the policies on the mobile device; and (3) 

allowing an administrator to remotely administer/update policies wirelessly. EX1003, ¶413. Wright’s solution provided for the encryption of the device’s secure 

data (and the ability for the administrator to authorize access to the encrypted 

data). EX-1005, Figs. 2B, 3C; [0131-0132]. 

Wright’s disclosure of using encryption to provide a “protected partition of 

the wireless end-user device” is consistent with the ’042 Patent disclosure where 

“the memory protection function includes encrypting traffic to and from memory 

so that only authorized device program elements possess the counterpart 

encryption capability to access the memory.” EX-1001, 9:27-30. EX-1003, ¶414. 

Thus, Wright’s disclosure of memory storing encrypted policies teaches the 

claimed “the particular service policy setting being stored in a protected partition 

of the wireless end-user device.” If PO argues that the “protected partition” 

requires functionality beyond “storing” data, then Wright’s “protected partition” 

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would include the components and modules in Fig. 2B (along with the processor 

and buses) used to control encryption / decryption. EX-1005, Figs. 2B, 3C; 

[0131], [0047], [0051], [0062]; EX-1003, ¶415. 

Wright’s “protected partition” is “configured to deter or prevent 

unauthorized modifications to the particular service policy setting” because the 

encryption (and hiding/permissions) prevents unauthorized users from modifying 

the policies stored in Wright’s encrypted memory. EX-1005, [0078-0104], [0229-

0230], [0259-0264], [0280-0284], [0048]. EX-1003, ¶416. 

A POSA would have understood that Limont’s data (e.g., policy settings) 

should be protected to further limit access which “reduce[s] the likelihood of a 

compromised device or a device with noncompliant policy setting being able to 

access data” as taught by Wright and would be confident of its success. EX-1004, 

[0071]. EX-1003, ¶417. Supra Section VI.A.3. 

To the extent that PO argues that the “stored in a protected partition” term 

requires that the partition be “secure execution environment” as depicted in the 

embodiment shown in ‘042 Patent’s Fig. 4 or specific hardware controls, then Xu 

supplies such a secure execution environment. EX-1003, ¶¶418-440. As shown 

below, the ‘042 patent largely copies the secure execution environment 

functionalities disclosed by Xu of policy control/management and encryption. EX1003, ¶419. 

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Xu Fig. 3

‘042 Fig. 4 

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Xu “provides a secure base for enforcing security and/or operating policies, 

...for use in ... an electronic device such as a computer, cellular telephone, 

personal digital assistant... The processing unit may include ... secure storage 

[and] ... a cryptographic unit... to establish the basis for computer capable of 

being operated in compliance to a usage policy.” EX-1016, [0003]. Xu’s “secure 

execution environment” includes “secure memory ... in a tamper resistant manner 

[to store] ... policy data 322 that may specify policy related operational directives 

such as metering, reporting, update requirements, etc. ... [and] implement various 

functions ... includ[ing] ... policy management, cryptography....” EX-1016, 

[0023]. EX-1003, ¶¶420-422. 

Xu’s “secure memory” stores policies “in a tamper resistant manner” and 

thus, is “configured to deter or prevent unauthorized modifications” to the stored 

policies. EX-1003, ¶¶423-426; EX-1016, [0032]. 

The proposed combination modifies Limont’s teaching of memory 112 to 

implement a secure memory for at least the portions storing Limont’s 

configuration/policy settings and versions as taught by (which corresponds to Xu’s 

“policy data 322”) as taught by Xu. Any other aspect of Limont’s memory 112 

needed for the policies would likewise be included in secure memory. EX-1003, 

¶427-432. 

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Xu’s secure environment also provides functionality to execute Wright’s 

encryption protections using cryptography function 334 and store related 

encryption keys. Xu’s “cryptography function 334 may be used for digital 

signature verification, digital signing, random number generation, and 

encryption/decryption.” EX-1016, [0025]. The “policy” management includes 

numerous different policies. EX-1016, [0029-0032]. EX-1003, ¶¶428-431. 

Indeed, Xu teaches that the cryptographic function is used for policy updates. EX1016, [0025], claim 9. 

A POSA would be motivated to implement a secure environment as taught 

by Xu on Limont’s mobile device incorporating Wright’s encryption functionality. 

EX-1003, ¶¶431-440. A POSA would recognize that all three references were 

assigned to leaders in the data policy management field (Microsoft and Apple). 

All three references provide complementary solutions for updating and protecting 

sensitive data, including specifically policies, for mobile devices. Moreover, a 

POSA would have been motivated for such a combination because it was wellknown long before the ‘042 Patent to provide for the protection of data in mobile 

devices using techniques such as hardware protections and encryptions. See 

Section IV.F.3 (detailing known techniques). EX-1003, ¶¶263-267. 

Using a secure environment as taught by Xu addresses Limont’s concern 

regarding “malicious users” accessing confidential information if “a mobile phone 

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[is] lost or stolen” by controlling the device at boot-up. EX-1004, [0013]; EX1016, [0030]. Xu’s secure environment also beneficially stores the encryption 

keys for confidential communication, including policy updates. EX-1003, ¶¶279-

286, 435-436. 

A POSA would also have been further motivated to modify Wright’s 

encryption functionality using a secure environment as taught by Xu. For 

example, Wright’s usage of “cryptographic information which the client device can 

store and use to decrypt the security information” to protect “keys” and 

“cryptographic authentication protocols” for protecting files, software and policies 

benefits from a secure environment which protects such cryptographic algorithms 

and keys from unauthorized access. EX-1005, [0078], EX-1016, [0025-0026]. As 

detailed above, Wright teaches encrypting policy updates and Xu beneficially 

augments that teaching by allowing for cryptographic verification of such updates 

and to “establish trust” to outside entities (such as Limont and Wright’s servers) to 

perform such updates “between client and server ... through a secure channel.” 

EX-1016, [0025], EX-1005, [0267]. Thus, the teachings of Xu beneficially 

increase Limont’s and Wright’s protections for traveling users at risk of having 

their devices lost and stolen and which devices may need to be updated with new 

policies in unsecure environments using wireless channels. EX-1003, ¶437. 

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A POSA would have a reasonable expectation of success in the combination. 

Utilizing a secure environment provides the functionality to implement storage and 

encryption as described in Limont and Wright. The combination is merely wellknown functionality operating in it known and predictable manner to achieve a 

known and predictable result (the storage of data and the execution of instructions 

on a microprocessor). EX-1003, ¶438. Notably, the ‘042 Patent does not describe 

any improvement to known techniques for such “protected partitions” but rather 

relies upon the knowledge of a POSA. EX-1003, ¶¶439-440. Such knowledge is 

correspondingly available to a POSA in assessing obviousness. 

[1.4] the particular service policy setting being associated with a service profile2

that provides for access by the wireless end-user device to a network data service 

over a wireless access network, 

Limont discloses this limitation. EX-1003, ¶¶443-470. Limont’s “[m]obile 

device 101 can wirelessly exchange data” and “include[s] network interface 180 

that can, when appropriate, interoperate with antenna 109 to receive data from 

external sources and/or transmit data to data.” EX-1004, [0041]. Limont also 

discloses a configuration version (service profile) as a set of data including one or 

more configuration settings (service policy setting). EX-1004, [0075], [0045-0053] 

 

2

 The ‘042 Patent specification does not recite the term “service profile” or even 

“profile.” 

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(describing various policy settings and versions). Limont also discloses the 

configuration settings of the mobile device (wireless end-user device) can include 

“a network interface, and wireless protocol settings.” EX-1004, [0087]. 

Limont’s communication links may use wireless protocols (e.g., GPRS, GSM, etc.)

over a wireless access network. EX-1004, [0043], [0056]. EX-1003, ¶¶444-446. 

Thus, a POSA understood that this “access” along with the network interface 

and wireless protocol settings are service policy settings that provides for access ... 

to a network data service over a wireless access network because the network 

interface controls the transmission/reception of data from the mobile device, and 

the wireless protocol specifies the format of the data wireless transmitted over the 

wireless access network to the mobile device. EX-1003, ¶¶447-451. 

Limont describes several forms of specific services with distinct accessed 

data also corresponding to the “network data service.” For example, Limont’s 

server module 193B on a computer system could be an electronic mail server, or a 

web server that communicates with the mobile device using protocols including 

TCP/IP and other higher layer protocols, Hypertext Transfer Protocol (“HTTP"), 

Simple Mail Transfer Protocol (“SMTP), etc. over network 131 (access by the 

wireless end-user device to a network data service). EX-1004, [0038], [0045], 

[0073]. 

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Moreover, as discussed in [1.2] and [1.3], Limont’s policies are intended to 

allow “for access by the wireless end-user device to a network data service”

providing the data on/from the server. EX-1003, ¶¶452-466. 

Limont’s server module 193B interoperates with client programs (e.g., client 

module 193A) to transfer data (e.g., Web pages) to mobile device 101. Policy 

enforcement module 194 determines if a requesting mobile device's policy settings 

are appropriate for accessing data specific to a service. EX-1004, [0077]. Thus, a 

POSA understood that server module 193 (or 142) provides access to a network 

data service over a wireless access network. EX-1003, ¶¶467-469. 

[1.5] the particular service policy setting configured to assist in controlling one 

or more communications associated with the wireless end-user device over the 

wireless access network; and 

Limont discloses this limitation. EX-1003, ¶¶472-477. 

As discussed in [1.2], [1.3] and [1.4] above, Limont’s server 142/193 

evaluates the configuration / policy settings (particular service policy setting) to 

determine if those policies allow for access to specific data requested from the 

service. The policy settings are modified (if needed) to be appropriate to access 

the requested server data (one or more communications associated with the 

wireless end-user device over the wireless access network”). 

Whether the device’s settings are “appropriate to access the data” determines 

(“control[s]”) whether the server communicates the requested data back to the 

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mobile device and therefore “the particular service policy setting” is “configured 

to assist in controlling one or more communications.” EX-1003, ¶¶473-474. 

Furthermore, as detailed in element 1.4, Limont’s policy settings can be specific to 

different types of communications such as e-mail and HTTP web service. EX1003, ¶¶452-466, 475. 

Additionally, Limont discloses that implemented configuration settings can 

alter the current configuration for a network interface, and wireless protocol 

settings, at the mobile device which is a separate form of “control one or more 

communications associated with the wireless end-user device over the wireless 

access network.” EX-1004, [0073], [0087], EX-1003, ¶476.

[1.6] in response to determining that the particular service policy setting needs to 

be modified, sending configuration information to the wireless end-user device 

over the service control link, the configuration information configured to assist 

in modifying or allowing modifications to the particular service policy setting. 

Limont discloses this limitation as detailed in [1.2], [1.3], and [1.4]. EX1003, ¶¶479-486. Element 1.1 discusses Limont’s the service control link. Limont 

discloses determining that the particular service policy setting needs to be 

modified as discussed in [1.2], [1.3] above. 

Limont sends modified device configuration (policy) settings to the mobile 

device (purple) (sending configuration information to the wireless end-user 

device). EX-1004, Fig. 3; Fig. 1 (transmission of “settings 117” and “Policy 

Version 118D”); [0065]. After being sent the modified configuration settings, 

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“[m]obile device 101 can implement settings 117A, B, F, and H (potentially 

altering current policy settings) [“configured to assist in modify or allowing 

modification to the particular service policy setting”] to comply with policy 

settings that are appropriate for accessing data maintained by server module 

142B.” EX-1004, [0066]. See also EX-1004, [0065], [0086-0087], claim 6. The 

device configuration setting represents a modified mobile device configuration that 

is appropriate to access the maintained data on the server. EX-1004, [0084-0089], 

Fig. 4 [step 403]. EX-1003, ¶¶480-484. 

The configuration information for the configuration/policy settings to access 

the network data service (e.g., email) on the server and for the network interface 

and the wireless protocol setting is discussed in claim element 1.4 above. EX1003, ¶¶484-485.

b. Claim 2 

[2.0] The method of claim 1, wherein the particular service policy 

setting assists in implementing a roaming control, a parental control, or 

an enterprise wireless wide-area network (WWAN) management control. 

Limont discloses this limitation. EX-1003, ¶¶488-494. Element 1.2 

discusses Limont particular service policy setting. Limont’s configuration settings 

191B, K, N, and R (the particular service policy setting) can correspond to any of 

the previously described policy settings as well as “[t]he current configuration of 

one or more of an operating system an application program, hardware, allocated 

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resources, a network interface, and wireless protocol settings, at the mobile 

device.” EX-1004, [0083], [0085]. 

A POSA understood that configuration settings related a network interface 

or wireless protocol can assist in implementing roaming control. For example, the 

ability to control (via policies) the wireless protocol settings allows for control of 

roaming by preventing (or allowing) access to specific wireless protocols and 

networks. EX-1003, ¶¶490-491. 

Moreover, Limont specifically identifies (as a problem solved by Limont) 

the inability of system “administrators” to control the configuration of mobile 

devices – particularly to protect sensitive information that may be “private.” EX1004, [0006-0015]. Furthermore, given that Limont includes the ability for an 

authority figure (e.g., “administrator”) to oversee individual with less access 

privilege (e.g., users), a POSA understood that Limont’s system would assist in 

implementing a “parental control” in which an analogous authority figure (parent) 

oversee individuals with less access privileges (children). EX-1003, ¶492. The 

specific terminology of “parental” does not impact the underlying control by the 

authority figure. 

Limont’s mobile device connects to networks such as “a Local Area 

Network (‘LAN’), a Wide Area Network (‘WAN’), or the Internet” using 

“wireless protocols (e.g., GPRS, GSM, etc....).” EX-1004, [0034], [0038], [0043], 

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[0056]. Those networks include “an office-wide or enterprise-wide computer 

network, an intranet, and/or the Internet.” EX-1001, [0041]. Therefore, Limont’s 

managed network expressly includes an “enterprise-wide” wide-area networks, 

which a POSA understood was a WWAN. 

Thus, a POSA understood that a mobile device having configuration settings 

that can be used to modify the hardware, network interface, allocated resources, 

and wireless protocol settings to connect wirelessly through the internet or other 

wide area network can be used to assist in implementing enterprise wireless widearea network (WWAN) management control for the corporate wireless mobile 

devices managed by the “administrator.” EX-1003, ¶¶493-494. 

f. Claim 6 

[6.0] The method of claim 1, further comprising: obtaining a service 

usage measure, the service usage measure accounting for the one or more 

communications associated with the wireless end-user device over the 

wireless access network; and 

The proposed combination discloses this limitation. EX-1003, ¶¶496-506. 

Limont’s settings can be based on “if mobile device connection speed will permit a 

Web page to be downloaded in a reasonable amount of time” and the mobile will 

“verify download speed” (obtaining a service usage measure). EX-1004, [0073], 

[0086]. These measurements account[] for the one or more communications 

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associated with the wireless end-user device over the wireless access network). 

EX-1004, [0077]. EX-1003, ¶¶497-498. 

Additionally, Wright’s client diagnostic modules (detailed in claim 11) 

provide “usage” logs to the server which correspond to this claim element. EX1005, [0220], [0225] (“network service usage” information]; [0270] (referencing 

service usage measurements such as “program usage, network access... VPN 

access, data access...]). EX-1003, ¶499. 

[6.1] based on the service usage measure, taking an action. 

Limont’s mobile devices verify the speed (service usage measure). 

Limont’s system takes four separate actions based on the service measure and 

whether the measure is appropriate for the requested data: (1) if the measure is 

inappropriate, then the server prevents the data transfer and then modifies the 

settings (both actions); and (2) if appropriate, the server allows/makes the transfer 

and notifies the mobile (both actions). EX-1004, Fig. 4, [0086], [0091], [0077-

0078]. EX-1003, ¶¶500-501. 

Additionally, Wright’s diagnostic modules perform diagnostic actions based

on the usage logs as detailed in claim 11, infra. EX-1005, [0046], [0052-0054], 

[0057-0059], [0068-0077], [0220]; EX-1003, ¶502. 

Limont’s disclosure is consistent with the ‘042 Patent’s disclosure 

identifying a “service usage measure[]” as “projected traffic demand [and] 

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application usage ... reported to the servers for the purpose of provisioning the 

right amount of data bandwidth ... to the device.” EX-1001, 13:59-14:2; EX-1003 

¶503. 

g. Claim 7 

[7.0] The method of claim 6, wherein the service usage measure 

comprises a measure of a service usage activity. 

Limont and Wright each disclose this limitation for the reasons discussed for 

Claim 6 where the service usage activity is downloading data (Limont) or 

“network usage” (Wright). EX-1004, [0086]. EX-1003, ¶¶505-506.

h. Claim 8 

[8.0] The method of claim 6, wherein the action is to verify the 

service usage measure. 

The proposed combination discloses this limitation. EX-1003, ¶¶508-515. 

As discussed for Claim 6, Limont’s “action” can be Limont preventing the transfer 

of data or transfer the appropriate configuration settings to the mobile, if the 

configuration setting are inappropriate. EX-1004, [0078], [0091]. Limont further 

discloses that one action resulting from the measurement (or comply with modified 

settings) is to verify the download speed (verify the service usage measure). EX1004, [0086]. EX-1003, ¶508. 

Additionally, Wright’s “remote diagnostics module 224 [discussed below for 

claim 11] may also probe a particular client to verify its status” including “policy 

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settings on the device, and attributes in accordance with those settings, for 

example, which ports are blocked.” EX-1005, [0057]. Wright’s diagnostic module 

also orders “audits” and receives “audit logs” (including the results of “tests”) 

which a POSA would understand to render obvious the verification of service 

usage in light of Wright’s policies specifying network usage and data access. EX1005, [0054], [0068], [0076-0077], [0104-0123], [0138], [0269] EX-1003, ¶¶509-

513. 

Wright also describes such verification of applications, protocols, and VPN 

service usage as well as files, checksums, and registry entries for which it would 

have been obvious to base such actions on Wright’s service usage logs to perform 

additional actions such as the repair describe in claim 11 below. EX-1003, ¶¶514-

515. 

i. Claim 9 

 

[9.0] The method of claim 6, wherein the action is to quarantine or 

suspend the wireless end-user device. 

Limont discloses this limitation. Limont discloses preventing the download 

of data (action is to suspend) to an inappropriately configured mobile device 

(wireless end-user device) as detailed in [1.2], [1.3], [1.4] which provides benefits. 

EX-1004, [0091]. EX-1003, ¶¶517-520. 

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Limont also discloses a “wipe” action which a POSA would recognize as 

quarantining or suspending the device because the “wiping” would remove the 

information needed to access data. EX-1004, [0047-0049], [0071]. EX-1003, 

¶520. 

j. Claim 10 

 

[10.0] The method of claim 6, further comprising obtaining 

secondary information associated with the wireless end-user device, and 

wherein the action is to verify the service usage measure using the 

secondary information. 

The proposed combination discloses this limitation. EX-1003, ¶¶522-525. 

As discussed for Claim 6, Limont discloses obtaining a service usage measure in 

the form of download connection speed. Further, Limont discloses obtaining 

information regarding the correct plug-ins on a mobile device, and information 

regarding whether sufficient resources have been allocated to a mobile device 

(obtaining secondary information associated with the wireless end-user device), in 

order to determine if sufficient resources have allocated at a mobile device or if a 

mobile device includes correct plug-ins for viewing content (action is verify the 

service usage measure using secondary information). EX-1004, [0077], [0086]. 

EX-1003, ¶¶523-524. 

As detailed for claims 6, 8, and 11, Wright’s diagnostic module requests, 

and receives diagnostic information (including network usage information) from 

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the mobile client (“secondary information”) and performs processing on those logs. 

A POSA would understand this to render obvious the claimed verification for the 

reasons stated in claim 8. EX-1003, ¶525. 

k. Claim 11 

 

[11.0] The method of claim 1, further comprising receiving, from 

the wireless end-user device, an integrity report configured to assist a 

network element in identifying an access control integrity violation. 

Limont in combination with Wright discloses this limitation. EX-1003, 

¶¶527-538. As discussed in the Motivation to Combine section above, Limont 

discloses that the policy settings should be “locked down” and protected on the 

wireless device, but does not expressly disclose an integrity report to assist a 

network element in identifying an access control integrity violation. 

Moreover, Limont discloses the ability to remotely “wipe” data on the 

mobile device (including wipe’s controlled by Limont’s server [network element]) 

to “limit the ability of malicious user to access data.” EX-1004, [0047-0049], 

[0071]. A POSA would have recognized the value of receiving integrity 

information that would allow the server to determine if the mobile’s data needs to 

be “wiped.” EX-1003, ¶¶528-529. 

However, Wright discloses a client diagnostics module 246 on the wireless 

mobile that performs audits of all files to verify no corruption (e.g. checksum) 

(integrity report) and for security violations. EX-1005, [0068-0073]. EX-1003, 

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¶¶530-533. The ‘042 Patent identifies “checksums” as an integrity check. EX1001, 17:6-23. 

A remote diagnostics module 224 (network element) and analyzes the audit 

information received from the mobile device to independently determine 

“problems ... with security.” EX-1005, [0053]. The information transmitted to the 

server includes “current version of the security policy software components on the 

client device” which would also allow the server to potentially determine if the 

secure information has been altered or corrupted. EX-1005, [0057]; EX-1003, 

¶¶534-535. 

The remote diagnostic module may repair client device problems, determine 

that a trend is occurring for the device, or schedule preventive maintenance 

(receiving, from the wireless end-user device, an integrity report configured to 

assist a network element in identifying an access control integrity violation). EX1005, [0046], [0052-0054], [0057-0059], [0068-0077], [0220]; Fig. 11. In Wright’s 

system “support information may be in the form of instructions or code to the 

client device to repair a problem or perform maintenance” which “provides an 

advantage of taking corrective or preventive actions without requiring user 

intervention or action.” EX-1005, [0055]. Wright’s client “may also run tests with 

respect to the security policies” such as security violations with the output of such 

tests transmitted to the server. EX-1005, [0076]. EX-1003, ¶536. 

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A POSA would have been motivated to modify the Limont’s teachings to 

include a diagnostic module to audit the policy settings as taught by Wright in 

order to protect and lockdown the policy settings on the wireless device. Such 

integrity reports provide information to Limont’s administrator that secure data 

(such as encryption keys, user-id, passwords, and PINs) have been compromised 

thus allowing the administrator to take corrective action such as the “remote wipe” 

discussed above. EX-1004, [0047-0049]. EX-1003, ¶437. 

Wright’s audit (integrity report) matches the ‘042 Patent disclosure audit 

scans of memory and files on the wireless device to detect unauthorized data using 

checksums or other information. EX-1001, 10:3-20. EX-1003, ¶538. 

k. Claim 12 

 

[12.0] The method of claim 1, wherein the configuration 

information comprises at least a portion of the service profile. 

As noted in [1.6], the claimed “configuration information” is sent from the 

server to the mobile device to modify at least one of the “service policy settings.” 

As discussed for element [1.4], Limont’s “service profile” is a “group of one or 

more configuration settings” identified by Limont’s “configuration [policy] 

version.” EX-1004, [0075]. For example, Limont identifies an exemplary “group 

of one or more configuration settings” (“service profile”) using a configuration / 

policy “version.” EX-1004, [0073], [0075]; Fig. 3. EX-1003, ¶¶540-546. 

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Limont’s Fig. 3 shows Limont’s “configuration settings” (e.g., settings 

191B, K, N, R) transmitted to the mobile device in the purple arrow. 

EX-1004, Fig. 3. 

Each transmitted “configuration setting” is “a portion” out “of the service 

profile” (the group of these four settings identified by the “version”) as is the 

“version 192C.” EX-1003, ¶¶545-546. This analysis applies for the Fig. 1 

components (settings 117, version 118D). EX-1003, ¶¶543-546. 

l. Claim 13

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[13.0] The method of claim 1, wherein the service control link is 

secured by an encryption protocol. 

Element 1.1 discusses communication links 132, 133 (service control link). 

Limont further discloses computer systems receiving a policy update to use “a 

specified version of encryption algorithm.” EX-1004, [0009]. Furthermore, 

Limont teaches that “wireless protocols” such as “GPRS [and] GSM” are used for 

the communications link. A POSA would understand that such wireless protocols 

use encryption protocols to protect the data transmitted wirelessly (or else every 

device could intercept such data) or, at a minimum, that it would be obvious to use 

such encryption protocols for wireless transmissions. EX-1003, ¶¶549-553, 154-

157 (citing EX-1006). 

Moreover, Wright further discloses types of network services according to a 

policy can include service protocols for transferring data over a network (service 

control link). The service protocols can include Virtual Private Network (VPN) 

and HTTPS which encrypt the data across the communication link. EX-1005, 

[0009], [0223], [0279], FIG. 8 (element 820). EX-1003, ¶¶554. 

In addition, Wright discloses TLS and SSL service protocols which are 

known to encrypt data/communications over the network including for VPNs. EX1005, [0265-0267], [0279]. A POSA would be motivated to modify Limont’s 

teaching that: (1) wireless devices are less secure (and therefore would benefit by 

securing the links with encryption) and (2) by encrypting the communication links 

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to allow secure communication between the wireless device and computer as 

taught by Wright for the reasons discussed in the Motivation to Combine section. 

Xu identifies the using encryption to “establish trust” for policy updates and thus 

provides additional motivation to combine encryption into Limont’s 

communication links. EX-1016, [0025]. EX-1003, ¶¶555-557. 

m. Claim 14 

[14.0] The method of claim 1, wherein the device service state 

comprises a service profile setting, a service usage policy setting, or a 

device-assisted services (DAS) setting. 

Limont discloses several examples of this limitation as also detailed in 

element 1.1. EX-1003, ¶¶559-565. For example, Limont configuration version 

(service profile setting) is a reduced set of data that represents one or more 

configuration settings. EX-1004, [0075]. Limont’s mobile device’s policy settings 

include the mobile device connection speed (service usage policy setting) 

sufficient to download a Web page in a reasonable period of time. EX-1004, 

[0077]. EX-1003, ¶¶561-565. As detailed in element 1.1, these different settings 

are transmitted from the device to the network as part of the device service state. 

n. Claim 15 

[15.0] The method of claim 1, wherein the device service state 

provides information about a user preference. 

Limont discloses that policy settings reflecting the device service state can 

include Personal Identification Number (“PIN”) lock activation settings, which 

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provide information about a user preference because the user’s selection of a 

“PIN” discloses, or renders obvious, a user preference. EX-1004, [0047-0049]. 

EX-1003, ¶¶568-570. 

Moreover, Limont’s request 176, request 164, and command 161 

(information about device service state as per element 1.1) indicate the user’s 

selection (preference) as to the specific data (including types such email, web 

content or other data) the user wants to access. EX-1004, [0044], [0054-0055]; 

[0067-0069], [0080]. EX-1003, ¶¶571-572. 

Wright’s teachings include that there is a “settings application” on the 

mobile device giving a user the “[a]bility to modify” or “override” settings such as 

“visual settings” and “location.” EX-1005, [0078-0103]. Wright’s “user interface 

module 218” allows users specify “supplemental policy definitions or 

customization of policy definitions based upon user input” and other “aspect of a 

policy.” EX-1005, [0061], [0065], [0173], [0178]. Such “settings” and usercustomizable policy aspects are part of the device service state and are information 

about a user preference or render those elements obvious. EX-1003, ¶572. 

Furthermore, a POSA would understand that it would be obvious that a 

mobile device would store “information about a user preference” as part of its 

state of its device to provide services to a user. EX-1003, ¶573. 

o. Claim 16 

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[16.0] The method of claim 1, wherein the device service state 

comprises information associated with an encryption key. 

Limont’s “[p]olicy updates” may force using a “specified version of 

encryption algorithm [and] a specified key length.” EX-1004, [0009]. This 

information is “information associated with an encryption key” that is part of the 

device’s service state. EX-1003, ¶¶577-578. 

. 

Although, the claimed “information” is not required to be transmitted,, 

Limont in view of Wright discloses this limitation. As detailed in element 1.3, 

Wright’s mobile device uses “cryptographic information” which is a “key for user 

with a cryptographic authentication protocol” that is stored in configuration 

information such as policies sent to the mobile device. EX-1005, [0078-0103]. 

Thus, when Limont transmits its stored “policy settings” (see element 1.1), those 

settings would include the encryption keys (or, at a minimum, information 

associated with an encryption key) associated with the policies. EX-1003, ¶579-

580. 

Wright’s keys allow the mobile device to authenticate updated policies. EX1005, [0130-0131]. Moreover, Wright’s communication between the mobile 

device and the server (to send / receive, for example, Limont’s policy settings) uses 

a secure protocol that involves the transmissions of “information associated with 

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an encryption key” to establish the session. EX-1005, [0133-0159]. EX-1003, 

¶581. 

A POSA understood that using an encryption key to limit access to stored 

data “reduce[s] the likelihood of a compromised device or a device with 

noncompliant policy setting being able to access data” and would be confident of 

its success, as discussed in the Motivation to Combine section. EX-1004, [0071]. 

EX-1003, ¶582. 

p. Claim 17 

[17.0] The method of claim 1, wherein the device service state 

comprises an agent report, a service usage record, a transaction record, or 

an integrity report. 

Limont and Wright discloses the device service state as discussed with 

reference to claim element 1.1 and further discloses a service usage measure 

(record) as discussed in Claim 6, and further discloses an integrity report as 

discussed in claim 11. Wright discloses a transaction record in its “status, 

configuration, error logs, audit logs, and debug information” and “event logs.” 

EX-1005, [0269], [0079], [0197]; EX-1003, ¶¶584-591. 

Although not claimed, a POSA understood that these portions of the device 

service could be transmitted to the server to “determin[e] if a requesting mobile 

device’s policy setting are appropriate for accessing data.” EX-1004, [0077]; EX1003, ¶591. 

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q. Claim 18 

[18.0] The method of claim 1, wherein the device service state 

comprises user status information, device status information, application 

status information, a device location, or a device quality-of-service (QOS) 

state. 

As discussed for claim limitation 1.1, Limont teaches that the configuration 

settings (device service state) can include application program settings (application 

status information). Furthermore, Limont’s server module determines whether 

sufficient resources (device status information) have been allocated at the mobile 

device in response to the mobile device request, which can include determining if 

correct plug-ins for viewing content are included at the mobile device (application 

status information) or if the mobile device connection speed to download a 

webpage can be accomplished in a reasonable amount of time (device QOS/device 

status information). EX-1004, [0077]. Wright’s device service state stores and 

uses the device location. EX-1005, FIGs. 2B, 3A; 3D-3E , [0174-0212]. EX1003, ¶¶593-598. 

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B. Ground 2: Claims 3-5 are obvious over Limont in view of Wright 

and Xu and in further view of Polson. 

Ground 2 addresses Challenged Claims 3-5 that recite an “intermediate 

networking device” that “forwards” data or “assists” other devices in 

communicating. Polson describes the type of client device used in Limont’s 

network. Polson’s client device acts as a gateway between the WWAN and 

WLAN to forward data between the two networks pursuant to policies 

programmed by the network. EX-1003, ¶¶600-695. 

1. Polson 

Polson teaches a “gateway” between WWAN and LANs (wireless and 

wireless). Polson broadly defines “gateway:” 

“[G]ateway” refers to any computing device capable of facilitating 

transmission of data from one or more LANS to one or more WWANs, 

and transmission of data from the one or more WWANs to the one or 

more LANS. 

EX-1008, [0026]. For example, Polson’s gateway establishes a forwarding link 

between a WWAN network (e.g., a cellular network) and a WLAN network (e.g., 

an 802.11 network). EX-1008, [0022-0023], [0051-0056]. Polson’s “routing 

engine” forwards between networks. EX-1008, [0020]. 

Polson describes “portable” gateway embodiments carried by a user 

permitting “teams of users” to use the WWAN / cellular connection by connecting 

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to the WLAN. EX-1008, [0027]. Polson’s gateway creates a wireless “hotspot” 

allowing WiFi devices to share a cellular connection. EX-1003, ¶¶120-130. 

Polson’s gateway includes extensive ability to download and enforce 

policies from the cellular network controlling use of the WWAN and WLAN 

connections. As detailed for claim 5, Polson identifies numerous policy types 

implemented by the gateway – including “customized” policies specific to a “large 

corporate user.” EX-1008, [0037]. These policies are enforced by “subscriber 

determination logic.” EX-1008, [0020], [0029-0042], [0056-0058], claim 24. 

Polson’s gateway downloads new policies wirelessly from the wireless 

service provider including policies that restrict or allow the LAN users to access 

the WWAN network. EX-1008, [0032-0034], [0078]. These gateway / server 

interactions allows user to change their service plan resulting in policy updates. 

EX-1008, [0031], [0078]; claims 7, 19. 

2. Motivation To Combine Polson With Limont, Wright and 

Xu. 

Polson provides a client device that fits Limont like a glove. EX-1003, 

¶¶604-639. Limont teaches managing, enforcing, and updating configuration 

settings (policies) on client devices such as mobile devices. EX-1004, Title, 

[0016-0018]. 

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A “mobile device' is defined as a subset of computer systems that 

primarily (or solely) access networked data using wireless mechanisms 

and are easily transportable by a human.... 

EX-1004, [0036]. However, Limont’s “invention” encompasses “personal 

computers, laptop computers, hand-held devices, multi-processor systems, 

microprocessor-based or programmable consumer electronics, network PCs....” 

EX-1004, [0037]. 

Polson’s “gateways” are “any computing device” capable of forwarding data 

between WWAN and WLAN networks. EX-1008, [0026]. Polson’s gateway 

embodiments are “easily transportable by a human.” 

[0027] [G]ateway 108 may be adapted to be powered through ... an 

internal or external battery. Inclusion of the [battery] power supplies 

enables the gateway 108 to be used in portable settings. For example, 

teams of users may carry the gateway 108 in a briefcase or bag. 

EX-1008, [0027]. Thus, Polson’s gateway meets the category of Limont’s devices 

benefiting from Limont’s policy management system. EX-1003, ¶¶605-615. 

Limont’ problems to be solved include allowing corporate administrators to 

ensure that policies can be updated for devices used by employees outside the 

normal “wired” offices. EX-1004, [0005-0015]. EX-1004, [0010]. Thus, 

corporate administrators needed solutions (as provided by Wright, Xu, and Polson) 

for enforcing policies for traveling users. 

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A POSA would have recognized that Polson’s teaching of a mobile/portable 

gateway supplements Limont’s teaching of policy management for traveling users. 

EX-1003, ¶¶616-620. A POSA would have recognized that Polson’s added layer 

of policy enforcement at the WWAN/WLAN gateway can be used to supplement 

(or even replace) the policy enforcement of other end-user devices (such as mobile 

phones or laptops), particularly for travelers. EX-1003, ¶621. 

Polson provides a similar solution to Limont, Wright and Xu. Polson’s 

gateway allows for downloading customized policies specific to subscriber 

agreements and such “customization may be implemented by a wireless service 

provider for a certain customer, for example for a large corporate customer of the 

wireless service provider.” EX-1008, [0037]. Thus, Polson’s teachings would add 

the benefit to Limont of applying customized corporate policies across all 

corporate users of the WLAN provided by Polson’s gateway. EX-1003, ¶¶62. 

Furthermore, as noted in element 1.1, Limont’s policies on the mobile 

devices may be modified to reflect additional needs of mobile users such as 

changing the speed or wireless networks/protocols. Polson matches this ability in 

allowing for its mobile users to change their subscription as needed and update the 

related policies to match the new capabilities of the subscription. 

[T]he subscriber determination logic of gateway 108 may facilitate a 

subscriber in altering their existing WWAN 112 access ability ... the 

subscriber may be able to change their service agreement to one that 

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allows for WWAN 112 access via gateway 108, or to purchase 

WWAN 112 access on another basis, e.g., a certain period of time, a 

certain quantity of bytes downloaded, etc. An example of a service 

agreement that does not permit use of gateway 108 may be a service 

agreement that envisions the subscriber only being able to use a single 

computer at a time to access the carrier's WWAN 112. Another 

example of a service agreement that doesn't permit a gateway 108 is 

one that's designed specifically for a phone. In a subset of such an 

example, the service agreement may permit use of gateway 108, but 

only in connection with a single computer at a time.

EX-1004, [0031]. Limont’s management system provides the vehicle for altering 

Polson’s WWAN/WLAN access policies. EX-1003, ¶623. 

Polson’s “gateway may also facilitate a subscriber in altering the features of 

his/her service agreement” and change features such as “a quality of service, a 

throughput limitation, and a data transfer rate limitation” that are provided in 

“policies” transmitted to the gateway by a “server.” EX-1008, [0078-0079], Fig. 8. 

Limont similarly describes that a “server” sends the policy updates to the clients to 

modify the service (policies) such as “connection speed.” EX-1004, [0077]. A 

POSA evaluating Limont would recognize that Limont’s advantage of updating 

policies using a server to a client is replicated by Polson’s client gateway which 

provides additional devices (and device types) for Limont’s corporate 

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administrators to effectuate the desire to control data usage and policy enforcement 

for traveling users. EX-1003, ¶¶624-629. 

Based on their complementary capabilities in managing, enforcing and 

updating policies for traveling users (including corporate users), a POSA 

recognized the benefits of including Polson’s teaching of a portable WWAN 

gateway as one of the managed mobile devices managed by Limont’s network 

servers. EX-1003, ¶¶630. 

Moreover, a POSA would have had a reasonable expectation of success in 

the combination. EX-1003, ¶¶631-639. Limont’s managed devices need the 

capabilities to: (1) communicate with network servers; (2) receive updated 

policies; and (3) enforce those policies. Polson’s gateway already performs all 

three functions using the same basic components (processor, memory, 

WLAN/WWAN interfaces) that implement Limont’s managed client devices. EX1003, ¶¶632-633. 

The presence of Wright (and optionally Xu) does not impact the 

combination with Polson. EX-1003, ¶¶633-638, 165-222. Like Wright, Polson 

uses encryption on its various interfaces. EX-1008, Fig. 13 (encryption on WiFi 

interface). Polson and Wright (and Xu) describe compatible devices with 

computing and storage capabilities which would facilitate storage of any network 

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access information and policies in encrypted and/or secure memory as detailed in 

Wright and Xu. EX-1003, ¶¶633-638, 165-222. 

3. Detailed Application to the Challenged Claims 

a. Claims 3-5 “The method of claim 1, wherein the wireless end-user 

device is an intermediate networking device... 

Claims 3-5 recite the requirement that the end-user devices is an 

intermediate network device. The ‘042 Patent distinguishes the claimed 

““intermediate networking devices” as being different from “mobile 

communications devices” such as a “mobile phone.” 

a communications device can be an intermediate networking device, 

such as 3G/4G WWAN to WLAN bridges/routers/gateways, ..., and 

other intermediate network devices, or a mobile communications 

device, such as a mobile phone, a PDA, an eBook reader, a music 

device, an entertainment/gaming device, a computer, laptop, a netbook, 

a tablet, a home networking system, and/or any other mobile 

communications device) 

EX-1001, 5:41-50. The “or” clearly delineates between an “intermediate 

networking device” (as recited in these claims) and “mobile communication 

device[s].” EX-1003, ¶¶672-675. Thus, if PO attempts to restrict the term 

“intermediate networking device” to any specific device format (e.g., “mobile 

phone”), such a construction conflicts with the ‘042 Patent and would be incorrect. 

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Moreover, by 2009, it was well-known to a POSA that such WLAN 

gateways (as Polson’s) for forwarding traffic between WLAN and WWAN could 

be implemented in the form / size factor of a mobile phone or laptop. EX-1003, 

¶¶223-254 (citing and discussing EX-1017, EX-1018, EX-1019, EX-1020). 

 [3.0] ... for forwarding traffic between a wireless widearea network (WWAN) and a wireless local-area network (WLAN). 

Polson teaches a WWAN / WLAN gateway that meets this claim. EX-1003, 

¶¶643-667. The ‘042 Patent identifies “gateways” as “intermediate network 

device.” “[A] communications device can be an intermediate networking device, 

such as 3G/4G WWAN to WLAN bridges/routers/gateways ....” EX-1001, 5:41-

43; EX-1003 ¶¶643-646. 

Polson’s “gateway” is “any computing device capable of” forwarding data 

between WWAN / WLAN networks. Polson depicts the gateway in Figure 1: 

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EX-1008, Fig. 1 (annotated). The gateway connects to “wired” and “wireless” 

LANs interfaces and WWAN interfaces. EX-1008, [0020]; EX-1003 ¶¶648-649. 

Polson’s gateway forwards (routes) data between the WWAN and WLAN 

based on the user’s subscription policies: 

[T]he routing engine of gateway 108 may facilitate two-way 

transmission of data to and from the one or more LANs and to and from 

one or more WWANs. As mentioned above, capabilities of the routing 

engine may be affected by the results of the subscriber determination 

logic. That is, receipt from and transmission to a WWAN may be based 

on a service agreement between a user and a wireless service provider. 

EX-1008, [0039]. 

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For example, data received from the WWAN can be forwarded to the 

recipient device on the WLAN: 

EX-1008, Fig. 6; [0070-0073]. EX-1003, ¶¶647-655. 

Figure 4 depicts the analogous operation when the gateway receives data 

from the LAN, determines to which network the data is addresses and forwards the 

LAN RX data to the WWAN TX queue. 

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EX-1008, Fig. 4; [0063-0067]. EX-1003, ¶¶647-661. 

Limont identifies that “intermediate network devices” can exist on 

communication link 132 or 133 between an end-user device and servers. EX-1004, 

[0043], [0056]. Polson’s “gateway” devices correspond to Limont’s intermediate 

network devices and provide additional security by allowing Limont’s server to 

control the policies on those intermediate network devices (Polson’s gateways) and 

the devices attached to those gateways using the WLAN interfaces. EX-1003, 

¶¶662-666. 

Thus, in one proposed combination, Polson’s gateway would be placed on 

link 132 and allow mobile device 101 to use the WLAN interface and forward data 

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to the WWAN interface toward the server. Similarly, Limont’s policy settings 

include Polson’s policies. EX-1003, ¶666. 

b. Claim 4 

[4.0] ... comprising a cellular device, the intermediate networking 

device for forwarding traffic between the wireless access network and a 

second network. 

Polson discloses the claimed “intermediate networking device for 

forwarding” as “cellular device” as detailed for claim 3. The WWAN may be 

“cellular.” EX-1008, [0051] (“The WWAN interface 110 may be ... cellular, PCS, 

and WiMax WWAN interfaces.”); [0054-0056], [0005]. EX-1003, ¶¶669-676. 

c. Claim 5 

[5.0] ... and the particular service policy setting assists one or more 

other end-user devices in communicating over the wireless access network 

via the intermediate networking device. 

Polson’s gateway is an intermediate networking device. See claim 3. Polson 

teaches several policy settings that assist other end-user devices in communicating 

over the wireless access networks (both WLAN and WWAN). EX-1003, ¶¶678-

695. 

Polson’s WWAN gateway includes “subscriber determination logic” applied 

to the devices and networks to which the gateway connects. EX-1008, [0029-

0040]. The forwarding of data depends on the “service agreement” as 

implemented by the policies in the gateway. EX-1008, [0039]. 

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Polson teaches switching between WWAN interfaces based “a different 

WWAN interface is stronger, or where the provider associated with the current 

WWAN interface 110 does not provide service.” EX-1008, [0052]. Polson’s 

WWAN switching mirrors Limont’s described functionality of evaluating the 

“connection speed” and potentially updating the policies (such as the “network 

interface settings [and] wireless protocol settings”) to use a new network providing 

the required connection speed and performs the “assist” in this claim. EX-1003, 

¶¶682-687. 

Another “assist” policy is that the “LAN 104 users may be authenticated 

onto the gateway ... for WWAN 112 access....” EX-1008, [0035]. By 

“authenticating” the LAN users to allow for “WWAN access,” the policy settings 

“assists” other end-user devices (the LAN users) in communicating over the 

WWAN as claimed and as taught in Limont. EX-1003, ¶¶688-691. 

Polson’s identifies additional policies that assist other end-user devices in 

accessing the WWAN including: 

 the gateway will “allow” (or restrict) use of the WWAN “according to the 

[subscriber’s] service agreement and/or the policies of the wireless service 

provider” including “quality of service ..., the throughput provided, the 

cumulative bits per hour, day or month, port-forwarding, on-board VPN....” 

EX-1008, [0029-0030]; 

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 specifying access for “certain period of time, a certain quantity of bytes 

downloaded, etc.” or a particular number or type of device or a particular IP 

address. EX-1008, [0031-0032]; 

 Policies allowing specific access (e.g., “unrestricted and restricted” access) 

to different aspects (“Access Point Name”) on a cellular network (“GSM.”) 

EX-1008, [0033]; 

 Policies allowing access based on the SIM, MIN or ESSID. EX-1008, 

[0034]; 

 Policies that “coordinate the wired and wireless access” for subscribers 

where “such coordination of wired and wireless access may be a feature of 

the service agreement, such as, for example, simultaneous wired and 

wireless access to maximize throughput for a premium service agreement” 

or the ability to have a “wireless preference” for access. EX-1008, [0036] 

 “Customizable” policies to better the “overall user experience” including 

specific “customization may be implemented by a wireless service provider 

for a certain customer, for example for a large corporate customer of the 

wireless service provider.” EX-1008, [0037]. 

 Policies that allow end-users to switch between different WWAN providers 

(networks) based on user preferences for access. EX-1008, [0038]. 

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Each of these policies programmed into, and implemented by, Polson’s 

gateway assists other users (for example, the LAN users) in communicating over 

the WWAN by, for example, allowing for access and specifying the contours of 

such access. EX-1003, ¶¶692-693. Moreover, Limont also specifically identifies 

such policies to be programmed into the client devices, such as Polson’s gateway, 

as detailed in Ground 1 above. EX-1004, [0073], EX-1003, ¶¶693, 695. 

 

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VII. THE BOARD SHOULD NOT EXERCISE ITS DISCRETION AND 

DENY INSTITUTION 

A. The Board Should Not Deny Institution Under 35 U.S.C. § 325 

Limont, Xu and Polson have not been considered by an Examiner or the 

Board against the Challenged Claims. Although Wright (as issued) was submitted 

by the applicant with over 1000 prior art references, the Examiner did not apply or 

discuss Wright. The claims were allowed in a first office action allowance without 

substantive comment. Because this Petition presents combinations of prior art and 

arguments that were not previously considered, the Board should not 

discretionarily deny institution under these circumstances. 

B. The Board Should Not Deny Institution Under 35 U.S.C.§ 314(a) 

The Board has discretion to deny institution under 35 U.S.C. § 314(a). 

Related to the Director’s June 2022 interim guidance regarding application of the 

Fintiv factors3

, (1) the Petition is particularly strong in the underlying merits, and 

(2) Petitioners will not pursue in the Related Litigation any ground raised in this 

IPR. Thus, under the Interim Guidance, the Board should not deny institution. 

 

3

 Interim Procedure For Discretionary Denials In AIA Post Grant Proceedings 

With Parallel District Court Litigation, PTO Director’s Memorandum (June 21, 

2022). 

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Nevertheless, the Board’s decision in Sotera Wireless, Inc. v. Masimo Corp., 

IPR2020-01019, Paper 12 (Dec. 1, 2020) instructs that a holistic view of the 

remaining Fintiv factors also weighs in favor of institution. 

Factor 1 is neutral because no request for stay has been filed. 

Under factor 2, trial date has been set for May 19, 2025. EX-1022. A Final 

Written Decision is expected in the present matter in November 2025. Considering 

the uncertainties of litigation scheduling, particularly as here where multiple trials 

are scheduled for the same date, this factor weighs against discretionary denial. 

Factor 3 favors institution. The co-pending litigation is in its early stages, 

and the investment in it has been minimal. The parties have not exchanged 

proposed claim terms or constructions, and will not complete claim construction 

briefing until September 2024. The Markman hearing is not until November 2024. 

Fact discovery is not set to close until December 2024, and expert discovery is not 

set to close until February 2025.; See PEAG LLC v. Varta Microbattery GMBH, 

IPR2020-01214, Paper 8 at 17 (Jan. 6, 2021) (finding that since no claim 

construction hearing had yet been held and discovery was not completed, the little 

investment in the parallel proceeding weighed against discretionary denial). Thus, 

this factor weighs against discretionary denial. 

Under factor 4, there will not be complete overlap in the issues raised in the 

IPR and the Related Litigation and this favors institution. The Related Litigations 

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do not involve claims 10, 11, and 15 challenged herein. Also, PO asserted 300+

claims from four patents in the Related Litigations (EX-1021) – an amount that far 

exceeds the number of claims that the district court will allow at trial. See 

https://txed.uscourts.gov/?q=model-order-focusing-patent-claims-and-prior-artreduce-costs. (Model Order limiting patentees to a “Final Election of Asserted 

Claims, which shall identify no more than five asserted claims per patent ... and no 

more than a total of 16 claims”). Thus, it is highly unlikely the district court 

addresses the validity of even all 15 asserted claims of the ‘042. 

Under factor 5, Petitioners are defendants in the Related Litigations. This 

factor is neutral as it is “far from an unusual circumstance that a petitioner in inter 

partes review and a defendant in a parallel district court proceeding are the same.” 

See Sand Revolution II LLC v. Continental Intermodal Group-Trucking LLC, 

IPR2019-01393, Paper 24 at 12-13 (PTAB June 16, 2020). 

Under factor 6, other circumstances weigh in favor of institution. Here, the 

merits of the Petition are particularly strong and the claims did not receive any 

analysis during prosecution. For example, Limont is directed at the same problem 

and proposes the same solution as the ’042 Patent, and discloses identical 

architecture and the identical concepts disclosed in the ’042 Patent, thus 

demonstrating that the Petition is particularly strong in the merits. 

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When viewed holistically, the timing of the present Petition is reasonable, 

there has been relatively limited investment in the Related Litigation, and there is 

minimal overlap between the present IPR and the Related Litigation. Further, 

coupling these Fintiv considerations with compelling evidence of unpatentability 

presented in the Petition, the efficiency and integrity of the IPR process is best 

served by instituting review. 

VIII. Mandatory Notices Under 37 C.F.R. §42.8 

A. Real Party-in-Interest (37 C.F.R. § 42.8(b)(1))

The real party-in-interest in this Petition is Cellco Partnership d/b/a Verizon 

Wireless, Verizon Corporate Services Group Inc., T-Mobile USA, Inc., AT&T 

Services, Inc., AT&T Mobility LLC, and AT&T Corp..4

 

4

 Out of an abundance of caution, Petitioners identify all current defendants in the 

below identified cases as potential real parties in interest only for the purpose of 

this proceeding and only to the extent that Patent Owner contends that these 

separate legal entities should be named real parties in interest in this IPR. 

Petitioners do so to avoid the potential expenditure of resources to resolve such a 

challenge. Petitioners also acknowledge that each petitioner has a number of 

affiliates. No unnamed entity is funding, controlling, or otherwise has an 

opportunity to control or direct this Petition or Petitioner’s participation in any 

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B. Related Matters (37 C.F.R. § 42.8(b)(2)) 

1. Judicial Matters 

As of the filing date of this Petition and to the best knowledge of Petitioners, 

the ’042 Patent is involved in the following litigations (the “Related Litigations”): 

 Headwater Research LLC v Verizon Communications Inc., et al, Case 

No. 2:23-cv-00352-JRG-RSP (EDTX); 

 Headwater Research LLC v AT&T Inc., et al, Case No. 2:23-cv00398-JRG-RSP (EDTX); 

 Headwater Research LLC v T-Mobile US, Inc., et al, Case No. 2:23-

cv-00379-JRG-RSP (EDTX); 

Administrative Matters: 

As of the filing date of this Petition and to the best knowledge of, the ’042 

Patent has not been subject to any Petitions for inter partes reviews. 

2. Related Patents 

See Exhibit 1023. 

C. Lead/Back-up Counsel (37 C.F.R. § 42.8(b)(3)): 

Lead Counsel: 

Patrick D. McPherson, USPTO Reg. No. 46,255 

 

resulting IPR. Petitioners are also not aware of any affiliate that would be barred 

from filing this Petition under 35 U.S.C. § 315(e). 

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DUANE MORRIS LLP 

901 New York Avenue N.W., Suite 700 East 

Washington, DC 20001 

P: (202) 776-7800 

F: (202) 776-7801; 

PDMcPherson@duanemorris.com

Back-up Counsel: 

Kevin P. Anderson, Reg. No. 43,471 

DUANE MORRIS LLP 

901 New York Avenue N.W., Suite 700 East 

Washington, D.C. 20001 

P: (202) 776-5213 

F: (202) 776-7801 

kpanderson@duanemorris.com 

D. Notice of Service Information (37 C.F.R. § 42.8(b)(4)): 

Please direct all correspondence to lead and back-up counsel at the above 

addresses. Petitioners consents to electronic service at the email addresses above. 

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IX. CONCLUSION 

Petitioners have established a reasonable likelihood of prevailing on all 

Challenged Claims of the ’042 Patent and requests the Board institute inter partes

review and then cancel all claims. 

Respectfully submitted, 

DUANE MORRIS LLP 

BY: /Patrick D. McPherson/ 

Patrick D. McPherson 

USPTO Reg. No. 46,255 

Duane Morris LLP 

505 9th Street NW, Suite 1000 

Washington, D.C. 20004 

Dated: April 19, 2024

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5698
Petition for Inter Partes Review of U. S. Patent No. 9,198,042 

CERTIFICATION OF SERVICE ON PATENT OWNER 

Pursuant to 37 C.F.R. §§ 42.6(e), 42.8(b)(4) and 42.105, the undersigned 

certifies that on the April 19, 2024, a complete and entire copy of this Petition for 

Inter Partes Review of U.S. Patent No. 9,198,042 and all supporting exhibits were 

served via Federal Express, postage prepaid, to the Patent Owner by serving the 

correspondence address of record for the ’042 Patent: 

106963 - Headwater Research LLC 

C/O Farjami & Farjami LLP 

26522 La Alameda Ave., Suite 360 

Mission Viejo, CA 

UNITED STATES 

With a courtesy copy to PO’s litigation counsel at: 

Reza Mirzaie (CA SBN 246953) 

rmirzaie@raklaw.com 

Neil Rubin (CA SBN) 

nrubin@raklaw.com 

Paul A. Kroeger (CA SBN 229074) 

pkroeger@raklaw.com 

Philip X. Wang (CA SBN 262239) 

pwang@raklaw.com 

James N. Pickens (CA SBN 307474) 

jpickens@raklaw.com 

Adam Hoffman 

ahoffman@raklaw.com 

Jacob Buczko 

jbuczko@raklaw.com 

Minna Chan 

mchan@raklaw.com 

Christian Conkle 

cconkle@raklaw.com 

RUSS AUGUST & KABAT 

12424 Wilshire Blvd. 12th Floor 

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Petition for Inter Partes Review of U. S. Patent No. 9,198,042 

2 

 /Kevin P. Anderson/ 

Kevin P. Anderson 

901 New York Avenue, N.W., 

Suite 700 East 

P: (202) 776-7800 

F: (202) 776-7801 

KPAnderson@duanemorris.com 

ATTORNEY FOR PETITIONERs 

 

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Petition for Inter Partes Review of U. S. Patent No. 9,198,042 

3 

CERTIFICATE OF COMPLIANCE 

 Pursuant to 37 C.F.R. § 42.24 et seq., the undersigned certifies that this 

document complies with the type-volume limitations. This document contains 

13,691 words as calculated by the “Word Count” feature of Microsoft Word 2010, 

the word processing program used to create it. 

Dated: April 19, 2024 By: Kevin P. Anderson 

 Kevin P. Anderson, 

Reg. No. 46,255 

 Duane Morris LLP 

 901 New York Avenue, N.W., 

Suite 700 East 

 Washington D.C., 20001 

 P: (202) 776-7800 

 F: (202) 776-7801 

 KPAnderson@duanemorris.com

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