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`______________
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`______________
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`
`
`
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`FORD MOTOR COMPANY
`Petitioner,
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`v.
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`PAICE LLC & ABELL FOUNDATION, INC.
`Patent Owners.
`
`______________
`
`
`
`U.S. Patent No. 8,214,097 to Severinsky et al.
`IPR Case No. IPR2014-01415
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`
`
`DECLARATION OF DR. JEFFREY L. STEIN IN SUPPORT OF
`SECOND PETITION FOR INTER PARTES REVIEW UNDER
`35 U.S.C. § 311 ET SEQ. AND 37 C.F.R. § 42.100 ET SEQ.
`(CLAIMS 1-6, 8-16, 18-26, 28-30 and 34 OF U.S. PATENT NO. 8,214,097)
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`TABLE OF CONTENTS
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`I.
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`INTRODUCTION ........................................................................................... 5
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`A.
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`Engagement ........................................................................................... 5
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`B.
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`C.
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`Background and Qualifications ............................................................. 5
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`Compensation and Prior Testimony ...................................................... 8
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`D. Materials and Information Considered .................................................. 8
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`II.
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`RELEVANT LEGAL STANDARDS ............................................................. 9
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`A. General .................................................................................................. 9
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`B.
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`C.
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`Priority Dates for Claimed Subject Matter..........................................10
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`Claim Construction Standard ..............................................................11
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`D. Anticipation .........................................................................................12
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`E.
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`Obviousness .........................................................................................13
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`III. THE PERSON OF ORDINARY SKILL IN THE RELEVANT FIELD
`AND IN THE RELEVANT TIMEFRAME ..................................................17
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`IV. STATE OF THE ART AS OF 1998 ..............................................................19
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`A.
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`Engine Fundamentals ..........................................................................19
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`B.
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`C.
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`Electric Motor Fundamentals ..............................................................22
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`HEV Architecture ................................................................................23
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`1.
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`2.
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`3.
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`Series HEVs ..............................................................................24
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`Parallel HEVs ............................................................................25
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`Series-Parallel HEVs ................................................................27
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`D.
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`Controls ...............................................................................................29
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`E.
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`F.
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`Emissions .............................................................................................31
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`Electrical Characteristics .....................................................................44
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`V.
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`THE ‘097 PATENT .......................................................................................46
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`A.
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`Background of the ‘097 Patent ............................................................46
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`B.
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`C.
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`Prosecution History of the ‘097 Patent ...............................................48
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`Construction of Terms in the Challenged Claims ...............................55
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`D.
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`Priority Claim ......................................................................................58
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`VI. PATENTABILITY ANALYSIS OF THE CHALLENGED CLAIMS ........60
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`A. Overview of the Prior Art ....................................................................60
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`1.
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`2.
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`3.
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`4.
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`U.S. Patent No. 5,343,970 (“Severinsky ‘970”) .......................60
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`Society of Automotive Engineering Pub. No. 950493
`(“Anderson”) .............................................................................61
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`U.S. Patent No. 5,865,263 (“Yamaguchi”) ...............................62
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`Toyota Technical Review Vol. 47, No. 2 (“Takaoka”) ............63
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`B.
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`Ground 1: The Combination of Severinsky ‘970 and Anderson
`Teaches all of the Limitations of Claims 1, 2, 5, 6, 8-12, 15, 16,
`18-22, 25, 26, 28 and 29 ......................................................................63
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`1.
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`2.
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`3.
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`4.
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`5.
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`6.
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`7.
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`Independent Claim 1 .................................................................63
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`Dependent Claims 2, 5, 6, 8, 9 and 10 ....................................100
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`Independent Claim 11 .............................................................123
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`Dependent Claims 12, 15, 16, 18, 19 and 20 ..........................163
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`Independent Claim 21 .............................................................186
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`Dependent Claims 22, 25, 26, 28 and 29 ................................238
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`Rationale for Combining Severinsky ‘970 and Anderson ......252
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`C.
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`Ground 2: The Combination of Severinsky ‘970, Anderson and
`Yamaguchi Teaches All of the Limitations of Claims 3, 13 and
`23 .......................................................................................................258
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`1.
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`2.
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`3.
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`4.
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`Claim 3 ....................................................................................258
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`Claim 13 ..................................................................................262
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`Claim 23 ..................................................................................267
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`Rationale for Combining Yamaguchi with Severinsky
`‘970 and Anderson ..................................................................273
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`D. Ground 3: The Combination of Severinsky ‘970, Anderson,
`Yamaguchi and Takaoka Teaches All of the Limitations of
`Claims 4, 14 and 24 ...........................................................................278
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`1.
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`2.
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`3.
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`4.
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`Claim 4 ....................................................................................278
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`Claim 14 ..................................................................................280
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`Claim 24 ..................................................................................283
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`Rationale for Combining Takaoka with Severinsky ‘970,
`Anderson and Yamaguchi .......................................................286
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`E.
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`Ground 4: The Combination of Severinsky ‘970 and Takaoka
`Teaches All of the Limitations of Claims 30 and 34 ........................289
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`1.
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`2.
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`3.
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`Claim 30 ..................................................................................289
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`Claim 34 ..................................................................................307
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`Rationale for Combining Severinsky ‘970 and Takaoka ........313
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`F.
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`Non-obviousness factors ...................................................................318
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`VII. CONCLUSION ............................................................................................320
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`VIII. APPENDICES TO DECLARATION OF DR. JEFFREY L. STEIN .........321
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`I.
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`INTRODUCTION
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`A. Engagement
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`1. My name is Jeffrey L. Stein. I have been retained by counsel for Ford
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`Motor Company (“Ford”) as an expert witness in the above-captioned proceeding.
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`I have been asked to provide analysis and my opinion about the state of the art of
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`the technology described in U.S. Patent No. 8,214,097 (“the ‘097 Patent,” Ex.
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`1101) and on the patentability of claims 1-6, 8-16, 18-26, 28-30 and 34 (“the
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`challenged claims”) of the ‘097 Patent.
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`B.
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`2.
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`Background and Qualifications
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`I am currently a Professor of Mechanical Engineering at the
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`University of Michigan, Ann Arbor Campus, and the former Associate Director of
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`the Automotive Research Center at the University of Michigan. I have studied,
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`taught and/or practiced in the relevant hybrid electric vehicle (HEV) control
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`technology for over 20 years.
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`3.
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`I received my Ph.D. degree in Mechanical Engineering from
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`Massachusetts Institute of Technology in 1983. I received a Masters of Science
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`degree in Mechanical Engineering and a Bachelors of Science degree in
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`Mechanical Engineering from Massachusetts Institute of Technology in 1976.
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`4.
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`In my capacity as a Professor, I teach undergraduate and graduate
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`courses in mechanical design, dynamics, systems and control engineering. In my
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`capacity as a Professor, I also do research in the area of automotive system design
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`and control as well as machine design and control. In several of my research
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`projects, my students and I discovered unique ways to model, design and control
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`automotive powertrains including hybrid powertrains.
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`5.
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` In addition to being the former Associate Director of the Automotive
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`Research Center at the University of Michigan, I am also the former Principle
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`Investigator (PI) of the project “A Multi-Scale Design and Control Framework for
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`Dynamically Coupled Sustainable and Resilient Infrastructures, with Application
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`to Vehicle-to-Grid Integration.” I am currently the PI of a project “Sustainable
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`Transportation for a 3rd Century: An Interdisciplinary Approach to Addressing the
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`Last Mile Problem for Enhanced Accessibility.” In my work at the Automotive
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`Research Center, and on these projects, I have developed computer–based methods
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`for facilitating the design evaluation of automotive powertrains including hybrid
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`powertrains.
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`6.
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` From 1983 through 1987 and 1991 through the present, I have also
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`worked as an Independent Consultant concentrating in the area of design and risk
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`analysis of mechanical systems and manufacturing machines. Much of this work is
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`particularly germane to the area of automotive powertrains. Some examples
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`include: hybrid electric vehicles, automated mechanical transmissions and transfer
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`cases for on-demand four-wheel drive.
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`7.
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`From 1988 through 1991, I was also employed as an Independent
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`Consultant for Failure Analysis Associates in San Francisco, California, focusing
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`on the design and risk analysis of mechanical systems and manufacturing
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`machines.
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`8.
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`I am a registered Professional Engineer in the State of Michigan, and
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`am a member of several professional engineering organizations including the
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`Society of Automotive Engineers, National Society of Professional Engineers, the
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`American Society of Mechanical Engineers, the Society of Manufacturing
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`Engineers, and the American Society for Engineering Education.
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`9.
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`In my work, I have had a number of opportunities to deal with U.S.
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`Patents. This work has included infringement and validity analysis in the areas of
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`hybrid electric vehicle powertrain design, CNC machine tool control, automotive
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`transfer case design and control, automotive interior lighted mirror design,
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`automated mechanical transmissions, agricultural seed meters, automotive shipping
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`containers, medical beds and automated chemical immunoassay machines.
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`10.
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`I have authored over 65 journal articles, including at least 13 articles
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`that are related to hybrid electric vehicles. I have also contributed to over 115
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`refereed conference papers, including at least 18 papers that are related to hybrid
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`electric vehicles.
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`11. My Curriculum Vitae is submitted herewith as Appendix A, and
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`provides a listing of all publications on which I am a named author.
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`C. Compensation and Prior Testimony
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`12.
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`I am being compensated at a rate of $425 per hour to provide analysis
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`and testimony in this inter partes review proceeding. My compensation is not
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`contingent on the outcome of any matter or the specifics of my testimony. I have
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`no financial interest in the Petition.
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`13.
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`I have previously provided expert testimony in over 15 patent-related
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`matters. My Curriculum Vitae, provided in Appendix A, identifies some of the
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`areas in which I have previously provided expert testimony.
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`D. Materials and Information Considered
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`14. My findings, as explained below, are based on my years of education,
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`research, experience, and background in the fields discussed above, as well as my
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`investigation and study of relevant materials. In forming my opinions, I have
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`considered the materials I identify in this declaration and those listed in Appendix
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`B.
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`15. Additionally, I am aware of information generally available to, and
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`relied upon by, persons of ordinary skill in the art at the relevant times, including
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`technical dictionaries and technical reference materials (including textbooks,
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`manuals, technical papers and articles); some of my statements below are expressly
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`based on such awareness.
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`16. Due to procedural limitations for inter partes reviews, the grounds of
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`unpatentability discussed herein are based solely on prior patents and other printed
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`publications. I understand that Petitioner reserves all rights to assert other grounds
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`for unpatentability or invalidity, not addressed herein, at a later time. Thus, the
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`absence of discussion of such matters here should not be taken as indicating that
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`there are no such additional grounds for unpatentability and invalidity of the ‘097
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`Patent.
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`II. RELEVANT LEGAL STANDARDS
`
`A. General
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`17.
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`In expressing my opinions and considering the subject matter of the
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`challenged claims of the ‘097 Patent, I am relying upon certain basic legal
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`principles that have been provided to me.
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`18.
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`I understand that in this proceeding Ford has the burden of proving
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`that the challenged claims of the ‘097 Patent are unpatentable by a preponderance
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`of the evidence. I understand that under “a preponderance of the evidence”
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`standard, Ford must show that a fact is more likely true than it is not.
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`19.
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` I understand that for an invention claimed in a patent to be found
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`patentable, it must be, among other things, new and not obvious from what was
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`known before the invention was made.
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`20.
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`I understand the information that is used to evaluate whether a
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`claimed invention is patentable is generally referred to as “prior art” and includes
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`patents and printed publications (e.g., books, journal publications, articles on
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`websites, product manuals, etc.).
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`21.
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`I understand that there are two ways in which prior art may render a
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`patent claim unpatentable. First, the prior art can be shown to “anticipate” the
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`claim. Second, the prior art can be shown to have made the claim “obvious” to a
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`person of ordinary skill in the art. My understanding of the two legal standards is
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`set forth below.
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`B.
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`22.
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`Priority Dates for Claimed Subject Matter
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`I understand that in order to be considered “prior art,” patents or
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`printed publications must predate the pertinent priority dates for the subject matter
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`claimed in the ‘097 Patent.
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`23.
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`I have been informed that a patent is only entitled to a priority date
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`based on an earlier filed application if the earlier filed application meets the
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`requirements of 35 U.S.C. §112. Specifically, I have been informed that 35 U.S.C.
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`§ 112, ¶ 1 requires that the specification of a patent or patent application must
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`“contain a written description of the invention, and the manner and process of
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`making and using it, in such full, clear, concise, and exact terms as to enable any
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`person skilled in the art to which it pertains, or with which it is most nearly
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`connected, to make and use the [invention] . . . .” I understand that the
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`requirements of this provision are commonly called the written description
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`requirement and the enablement requirement.
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`24.
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`I have been informed that compliance with both the written
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`description requirement and enablement requirement must be determined as of the
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`effective filing date of the application for which priority is sought.
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`25.
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`I have been informed that to satisfy the written description
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`requirement a patent’s specification should reasonably convey to a person of skill
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`in the art that the inventor had possession of the claimed invention as of the
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`effective filing date of the application.
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`C. Claim Construction Standard
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`26.
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`I understand that in this proceeding, the claims must be given their
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`broadest reasonable interpretation consistent with the specification. The claims
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`after being construed in this manner are then to be compared to the information in
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`the prior art, which for this proceeding is limited to patents and printed
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`publications. I also understand that, at the same time, absent some reason to the
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`contrary, claim terms are typically given their ordinary and accustomed meaning as
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`would be understood by one of ordinary skill in the art.
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`27.
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`I understand that in other forums, such as in federal courts, different
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`standards of proof and claim interpretation control, which are not applied by the
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`U.S. Patent and Trademark Office for inter partes review. Accordingly, any
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`interpretation or construction of the challenged claims in this proceeding, either
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`implicitly or explicitly, should not be viewed as constituting, in whole or in part,
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`Petitioner’s own interpretation or construction, except as regards the broadest
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`reasonable construction of the claims presented.
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`D. Anticipation
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`28.
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`I understand that the following standards govern the determination of
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`whether a patent claim is “anticipated” by the prior art.
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`29.
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`I understand that, for a patent to be “anticipated” by the prior art, each
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`and every limitation of the claim must be found, expressly, implicitly or inherently,
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`in a single prior art reference. I further understand that the requirement of strict
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`identity between the claim and the reference is not met if a single element or
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`limitation required by the claim is missing from the applied reference.
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`30.
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`I understand that claim limitations that are not expressly described in
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`a prior art reference may still be there if they are implicit or inherent to the thing or
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`process being described in the prior art. I have been informed that to establish
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`inherency, the extrinsic evidence must make clear that the missing descriptive
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`matter is necessarily present in the thing described in the reference and that it
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`would be so recognized by persons of ordinary skill in the art. I have been
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`informed that inherency cannot be established just because a certain thing may
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`result from a given set of circumstances.
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`31.
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`I understand that it is acceptable to consider evidence other than the
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`information in a particular prior art document to determine if a feature is
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`necessarily present in or inherently described by that reference.
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`E. Obviousness
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`32.
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`I understand that for a single reference or a combination of references
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`to render obvious a claimed invention, a person of ordinary skill in the art must
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`have been able to arrive at the claimed invention by altering or combining the
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`applied references.
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`33.
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`I have been informed that a patent claim can be found unpatentable as
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`obvious where the differences between the subject matter taught to be patented and
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`the prior art are such that the subject matter as a whole would have been obvious at
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`the time the invention was made to a person of ordinary skill in the relevant field.
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`Specifically, I understand that the obviousness question involves a consideration
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`of:
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`a) the scope and content of the prior art;
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`b) the differences between the prior art and the claims at issue;
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`c) the knowledge of a person of ordinary skill in the pertinent art; and
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`d) whatever objective factors indicating obviousness or non-obviousness
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`may be present in any particular case – referred to as “secondary
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`considerations.”
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`34. Such secondary considerations include: (a) commercial success of a
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`product due to the merits of the claimed invention; (b) a long-felt, but unmet need
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`for the invention; (c) failure of others to find the solution provided by the claimed
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`invention; (d) deliberate copying of the invention by others; (e) unexpected results
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`achieved by the invention; (f) praise of the invention by others skilled in the art;
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`(g) the taking of licenses under the patent by others and (h) the patentee proceeded
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`contrary to the accepted wisdom of the prior art. Secondary considerations are
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`relevant where there is a connection, or nexus, between the evidence and the
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`claimed invention.
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`35.
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`In addition, I understand that the obviousness inquiry should not be
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`done in hindsight, but must be done using the perspective of a person of ordinary
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`skill in the relevant art as of the effective filing date of the patent claim.
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`36.
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`I understand that in order for a claimed invention to be considered
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`obvious, there must be some rationale for combining cited references as proposed.
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`37.
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` Obviousness may also be shown by demonstrating that it would have
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`been obvious to modify what is taught in a single piece of prior art to create the
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`patented invention. Obviousness may be shown by establishing that it would have
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`been obvious to combine the teachings of more than one item of prior art. In
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`determining whether a piece of prior art could have been combined with other prior
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`art or with other information within the knowledge of one of ordinary skill in the
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`art, the following are examples of approaches and rationales that may be
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`considered:
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`(A) Combining prior art elements according to known methods to
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`yield predictable results;
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`(B) Simple substitution of one known element for another to obtain
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`predictable results;
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`(C) Use of a known technique to improve similar devices (methods,
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`or products) in the same way;
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`(D)
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` Applying a known technique to a known device (method, or
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`product) ready for improvement to yield predictable results;
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`(E)
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` Applying a technique or approach that would have been
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`“obvious to try” (i.e., choosing from a finite number of
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`identified, predictable solutions, with a reasonable expectation
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`of success);
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`(F) Known work in one field of endeavor may prompt variations of
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`it for use in either the same field or a different one based on
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`design incentives or other market forces if the variations would
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`have been predictable to one of ordinary skill in the art; or
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`(G) Some teaching, suggestion, or motivation in the prior art that
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`would have led one of ordinary skill to modify the prior art
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`reference or to combine prior art reference teachings to arrive at
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`the claimed invention. I also understand that this suggestion or
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`motivation may come from such sources as explicit statements
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`in the prior art, or from the knowledge or common sense of one
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`of ordinary skill in the art.
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`38.
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`I understand that an invention that might be considered an obvious
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`variation or modification of the prior art may be considered non-obvious if one or
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`more prior art references discourages or lead away from the line of inquiry
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`disclosed in the reference(s). A reference does not “teach away” from an invention
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`simply because the reference suggests that another embodiment of the invention is
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`better or preferred. My understanding of the doctrine of teaching away requires a
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`clear indication that the combination should not be attempted (e.g., because it
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`would not work or explicit statement saying the combination should not be made).
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`III. THE PERSON OF ORDINARY SKILL IN THE RELEVANT FIELD
`AND IN THE RELEVANT TIMEFRAME
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`39.
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` Based on my review of these materials, I believe that the relevant
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`field for purposes of the ‘097 Patent is system, methods and apparatuses for
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`controlling and operating a hybrid electric vehicle (“HEV”) and methods for
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`improving fuel economy and reducing emissions. (See ‘097 Patent, Ex. 1101 at
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`1:24-32 (“Field of the Invention”).)
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`40.
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` As described in Section I(B) above, I have extensive experience in
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`the relevant field, including experience relating to hybrid powertrain control
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`strategies and the related architecture. Based on my experience, I have an
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`established understanding of the relevant field.
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`41.
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`I understand that a “person of ordinary skill in the art” is one who is
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`presumed to be aware of all pertinent art as of the relevant timeframe, thinks along
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`conventional wisdom in the art, and is a person of ordinary creativity. I understand
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`that the level of skill in the art is evidenced by the prior art references. It is my
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`understanding that the ‘097 Patent is to be interpreted based on how it would be
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`read by a person of ordinary skill in the art. It is my understanding that factors such
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`as the education level of those working in the field, the sophistication of the
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`technology, the types of problems encountered in the art, the prior art solutions to
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`those problems, and the speed at which innovations are made may help establish
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`the level of skill in the art. I understand that a person of ordinary skill in the art is
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`not a specific real individual, but rather is a hypothetical individual having the
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`qualities reflected by the factors above.
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`42.
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`I understand the relevant timeframe for evaluating a claim is at the
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`time of the invention, which is based on the effective filing date of each claim, or
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`the date at which the subject matter of the claim was first disclosed in an
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`application in such full, clear, concise, and exact terms as to enable the person
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`skilled in the art to make and use the claimed invention. The earliest claimed
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`priority date of the ‘097 Patent is September 14, 1998. (‘097 Patent, Ex. 1101 at
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`1.) For reasons not addressed in this Declaration or the Petition it accompanies,
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`the effective filing date of claims 9, 19 and 28 of the ‘097 Patent is April 2, 20011.
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`However, I have assumed a September 14, 1998 priority date for purposes of my
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`analysis below, as the priority date is not relevant to the specific grounds of
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`unpatentability forming the basis of this challenge. In my opinion, given the
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`relevant field and relevant timeframe of the ‘097 Patent, a person of ordinary skill
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`in the art would have: 1) a graduate degree in mechanical, electrical or automotive
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`1 The issue of the effective filing date of claim 38, of the ‘097 Patent was taken up
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`in a separate Petition for Inter Partes Review and supporting Declaration filed
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`April 4, 2014 in Case No. IPR2014-00570. Claim 38, like claims 9, 19 and 28 of
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`the presently challenged claims, includes the limitation “wherein energy is
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`supplied [to the motor] from the battery. . . at a [voltage] of at least 500 volts
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`under peak load conditions” which is not supported until April 2, 2001.
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`engineering with at least some experience in the design and control of combustion
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`engines, electric or hybrid electric vehicle propulsion systems, or design and
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`control of automotive transmissions, or 2) a bachelor's degree in mechanical,
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`electrical or automotive engineering and at least five years of experience in the
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`design and control of combustion engines, electric vehicle propulsion systems, or
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`automotive transmissions.
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`43. Based on my experience, I have an understanding of the capabilities
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`of a person of ordinary skill in the relevant field as of September 1998. I have
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`supervised and directed many such persons over the course of my career.
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`IV. STATE OF THE ART AS OF 1998
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`A. Engine Fundamentals
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`44. An engine is a transformer; it transforms chemical energy into
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`mechanical energy:
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`The purpose of internal combustion engine is the production of
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`mechanical power from the chemical energy contained in the fuel. In
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`internal combustion engines this energy is released by burning or
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`oxidizing the fuel inside the engine.
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`(Heywood2,3 Ex. 1109 at 11.)
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`2 John B. Heywood, Internal Combustion Engine Fundamentals (McGraw-Hill
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`1988)
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`45. To control the mechanical power of the engine you have to control the
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`combustion process. Engine controls control the amount of air and fuel provided
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`to the engine to control the amount of mechanical power that is produced.
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`46. Most conventional engines for automobiles are reciprocating engines
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`in which a piston translates back and forth in a cylinder, and transmits power to the
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`drive shaft through a connecting rod and crank mechanism. (See Heywood, Ex.
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`1109 at 19.) The majority of reciprocating engines are spark ignited and operate on
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`a four-stroke cycle, as shown in Figure 1-2 below:
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`Heywood, Ex. 1109 at 20, Figure 1-2 (annotated)
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`3 John Heywood is the preeminent researcher in automotive engines and
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`powertrain and his book is widely used as a textbook in schools and cited in
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`scholarly articles (9,406 cites by Google Scholar 3/28/14).
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`1. An intake stroke, which starts with the piston at [top center] TC and
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`ends with the piston at [bottom center] BC, which draws fresh mixture
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`into the cylinder. To increase the mass inducted, the inlet valve opens
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`shortly before the stroke starts and closes after it ends.
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`2. A compression stroke, when both valves are closed and the mixture
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`inside the cylinder is compressed to a small fraction of its initial
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`volume. Toward the end of the compression stroke, combustion is
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`initiated and the cylinder pressure rises more rapidly.
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`3. A power stroke, or expansion stroke, which starts with the piston at
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`TC and ends at BC as the high-temperature, high-pressure, gases push
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`the piston down and force the crank to rotate. About five times as
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`much work is done on the piston during the power stroke as the piston
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`had to do during compression. As the piston approaches BC the
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`exhaust valve opens to initiate the exhaust process and drop the
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`cylinder pressure to close to the exhaust pressure.
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`4. An exhaust stroke, where the remaining burned gases exit the
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`cylinder: first, because the cylinder pressure may be substantially
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`higher than the exhaust pressure; then as they are swept out by the
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`piston as it moves toward TC. As the piston approaches TC the inlet
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`valve opens. Just after TC the exhaust valve closes and the cycle
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`starts again.
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`(Heywood, Ex. 1109 at 20-21.)
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`47. Engine control strategies are implemented to help insure that the
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`proper amount of fuel and air enters the engine with the goal of complete
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`combustion (i.e., operating at a stoichiometric air/fuel ratio) for the purpose of
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`reducing emissions and improving fuel economy.
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`48. A catalyst is defined as “[a]ny substance of which a fractional
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`percentage notably affects the rate of a chemical reaction without itself being
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`consumed or undergoing a chemical change.” (The Condensed Chemical
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`Dictionary4, Ex. 1117 at 3.) In automotive applications catalysts are used for after
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`treatment of the noxious products of incomplete combustion. The heat created by
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`the combustion process generates energy which is mechanically converted to
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`output mechanical power (torque times rotational speed) and also generates
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`noxious emissions. The noxious emissions are treated in a secondary reaction
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`through a catalyst, which further reduces emissions from noxious to harmless.
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`Controlling engine emissions is difficult during rapid changes in output engine
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`torque (i.e., transient conditions) because: a) it takes time to measure the effects of
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`combustion downstream of the engine; b) it takes time to use that feedback to
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`update the air-fuel mixture; and c) it takes time for the updated air-fuel mixture to
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`travel to the combustion chamber.
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`B.
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`Electric Motor Fundamentals
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`4 Gessner G. Hawley, The Condensed Chemical Dictionary (Van Nostrand
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`Reinhold Co., 9th ed. 1977)
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